Vol. 76 Tuesday, No. 206 October 25, 2011

Pages 65927–66168

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 76, No. 206

Tuesday, October 25, 2011

Agriculture Department NOTICES See Animal and Plant Health Inspection Service Agency Information Collection Activities; Proposals, See Forest Service Submissions, and Approvals, 66034 Alcohol, Tobacco, Firearms, and Explosives Bureau Commodity Futures Trading Commission NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Effective Date for Swap Regulation, 65999–66004 Submissions, and Approvals: Annual Firearms Manufacturing and Exportation Report, Corporation for National and Community Service 66084 NOTICES Agency Information Collection Activities; Proposals, Animal and Plant Health Inspection Service Submissions, and Approvals, 66043–66044 RULES Brucellosis in Swine: Defense Department Addition of Texas to List of Validated Brucellosis-Free NOTICES States, 65935–65936 Arms Sales Notifications, 66044–66051 Importation of Fresh Baby Kiwi from Chile under Systems Fiscal Year 2010 U.S. Special Operations Command Approach, 65933–65935 Inventory List of Contracts for Services; Availability, National Poultry Improvement Plan and Auxiliary 66051 Provisions; Correction, 65935 PROPOSED RULES Drug Enforcement Administration Controlled Import Permits, 65976–65985 NOTICES Importation of Litchi and Longan Fruit from Vietnam Into Agency Information Collection Activities; Proposals, the Continental United States, 65985–65988 Submissions, and Approvals: Importation of Mangoes from Australia, 65988–65991 Application for Import Quota for Ephedrine, NOTICES Pseudoephedrine, and Phenylpropanolamine, 66084– Environmental Assessments; Availability, etc.: 66085 Field Testing Avian Influenza–Marek’s Disease Vaccine, Application for Registration and Application for H5 Subtype, Serotype 3, Live Marek’s Disease Vector, Registration Renewal, 66085–66086 66032–66033 Plants for Planting Whose Importation is Not Authorized Education Department Pending Pest Risk Analysis: NOTICES Availability of Data Sheets for Taxa of Plants for Planting Agency Information Collection Activities; Proposals, that are Quarantine Pests or Hosts of Quarantine Submissions, and Approvals, 66051–66052 Pests, 66033 Bureau of Safety and Environmental Enforcement Employee Benefits Security Administration RULES NOTICES Industry Workshops: Investment Advice – Participants and Beneficiaries, 66136– Technical and Regulatory Challenges in Deep and Ultra- 66167 deep Outer Continental Shelf Waters, 66078–66079 Energy Department Centers for Disease Control and Prevention See Federal Energy Regulatory Commission NOTICES Agency Information Collection Activities; Proposals, Environmental Protection Agency Submissions, and Approvals, 66069–66071 PROPOSED RULES Meetings: Approval and Promulgation of Air Quality Implementation Partnerships to Advance National Occupational Research Plans: Agenda, 66071–66072 Missouri; Reasonably Available Control Technology for the 8-Hour Ozone National Ambient Air Quality Coast Guard Standard, 66013–66018 RULES NOTICES Safety Zones: Agency Information Collection Activities; Proposals, Waverly Country Club Fireworks Display on the Submissions, and Approvals, 66061–66063 Willamette River, Portland, OR, 65963–65965 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Commerce Department Application for Reimbursement to Local Governments for See Foreign-Trade Zones Board Emergency Response to Hazardous Substance See International Trade Administration Releases, 66063–66064 See National Institute of Standards and Technology Project Waivers of Section 1605 (Buy American See National Oceanic and Atmospheric Administration Requirement) of American Recovery and Reinvestment See National Telecommunications and Information Act of 2009: Administration Borough of Ocean Gate, NJ, 66064–66065

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Executive Office of the President Qualification of Drivers; Exemption Applications; Diabetes See Presidential Documents Mellitus, 66120–66123 Qualification of Drivers; Exemption Applications; Vision, Federal Aviation Administration 66123–66124 RULES Airworthiness Directives: Federal Railroad Administration Airbus Airplanes, 65936–65938 NOTICES Airbus Model A310 Series Airplanes, 65938–65941 Petitions for Waivers of Compliance, 66125–66126 Rolls-Royce plc RB211–524 Series, RB211–Trent 700 Public Hearing, 66126 Series, and RB211–Trent 800 Series Turbofan Engines, 65941–65944 Federal Reserve System Establishments of Class E Airspace: NOTICES Tatitlek AK, 65944 Formations of, Acquisitions by, and Mergers of Bank Modification of Class B Airspace: Holding Companies, 66068–66069 Seattle, WA, 65945–65951 Standard Instrument Approach Procedures, and Takeoff Fish and Wildlife Service Minimums and Obstacle Departure Procedures, 65951– PROPOSED RULES 65953 Endangered and Threatened Wildlife and Plants: PROPOSED RULES Delisting of the Plant Frankenia johnstonii (Johnstons Airworthiness Directives: frankenia), 66018–66021 Boeing Co. Model 757 Airplanes, 65991–65995 EADS CASA (Type Certificate Previously Held by Food and Drug Administration Construcciones Aeronauticas, S.A.) Airplanes, NOTICES 65995–65997 Agency Information Collection Activities; Proposals, Rolls-Royce plc (RR) RB211–535 Series Turbofan Engines, Submissions, and Approvals: 65997–65999 Channels of Trade Policy for Commodities With Residues of Pesticide Chemicals, 66072 Federal Communications Commission Debarment Orders: RULES Albert Ronald Cioffi, 66072–66073 Contributions to Telecommunications Relay Services Fund, Guidance for Industry; Availability: 65965–65970 What You Need to Know About Administrative Detention Facilitating Use of Microwave for Wireless Backhaul and of Foods, 66073–66074 Other Uses and Providing Additional Flexibility, etc.: Small Entity Compliance Guide; Availability: Correction, 65970–65971 Required Warnings for Cigarette Packages and NOTICES Advertisements, 66074–66075 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 66065–66068 Foreign Assets Control Office NOTICES Federal Emergency Management Agency Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Major Disaster Declarations: Travel Service Provider and Carrier Service Provider New York; Amendment No. 8, 66077–66078 Submission, 66132 Pennsylvania; Amendment No. 2, 66077 Unblocking of Specially Designated Nationals and Blocked Texas; Amendment No. 9, 66078 Persons Pursuant to Executive Order 12978, 66132– 66133 Federal Energy Regulatory Commission NOTICES Foreign-Trade Zones Board Applications for License Amendments: NOTICES Northern States Power Co., 66052–66053 Application for Proposed Foreign-Trade Zone under Applications: Alternative Site Framework: Exelon Corp., Constellation Energy Group, Inc., 66054 Ada and Canyon Counties, ID, 66034–66035 High Point Gas Transmission, LLC, 66053–66054 Southern Natural Gas Co., LLC, 66054–66055 Forest Service Meetings: NOTICES South Carolina Public Service Authority, 66055 Meetings: Orders Approving Interpretation of Reliability Standard: Madera County Resource Advisory Committee, 66033 North American Electric Reliability Corp., 66055–66057 Sabine–Angelina Resource Advisory Committee; Orders Approving Regional Reliability Standard: Cancellation, 66033–66034 North American Electric Reliability Corp., 66057–66060 Staff Attendances, 66060–66061 Health and Human Services Department See Centers for Disease Control and Prevention Federal Motor Carrier Safety Administration See Food and Drug Administration NOTICES See National Institutes of Health Agency Information Collection Activities; Proposals, Submissions, and Approvals: Homeland Security Department Application for Certificate of Registration for Foreign See Coast Guard Motor Carriers and Foreign Motor Private Carriers, See Federal Emergency Management Agency 66119–66120 See U.S. Customs and Border Protection

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Interior Department Maritime Administration See Bureau of Safety and Environmental Enforcement NOTICES See Fish and Wildlife Service Agency Information Collection Activities; Proposals, See Land Management Bureau Submissions, and Approvals, 66126–66127 See National Park Service Requested Administrative Waivers of Coastwise Trade Laws: Internal Revenue Service Vessel CAP II, 66127–66128 PROPOSED RULES National Highway Traffic Safety Administration Modifications of Certain Derivative Contracts; Hearing RULES Cancellation, 66011–66012 Greenhouse Gas Emissions Standards and Fuel Efficiency Partner’s Distributive Share, 66012–66013 Standards for Medium- and Heavy-Duty Engines and Vehicles: International Trade Administration Correcting Amendments, 65971 NOTICES NOTICES Agency Information Collection Activities; Proposals, Denials of Petitions for Decisions of Inconsequential Submissions, and Approvals: Noncompliance: Application for Insular Watch and Jewelry Program CFMOTO Powersports, Inc., 66128–66130 Benefits, 66035–66036 Grant of Petition for Decision of Inconsequential Antidumping Duty Administrative Reviews; Results, Noncompliance: Amendments, Extensions, etc.: Mazda North American Operations, 66130 Folding Metal Tables and Chairs from People’s Republic of China, 66036–66039 National Institute of Standards and Technology Sulfanilic Acid from the People’s Republic of China and NOTICES India, 66039–66040 Framework and Roadmap for Smart Grid Interoperability Standards, Release 2.0 (Draft), 66040 International Trade Commission Meetings: PROPOSED RULES Feasibility of Establishing a NIST/Industry Consortium Preliminary Plan for Retrospective Analysis of Existing on Concrete Rheology; Enabling Metrology, 66040– Rules, 66004–66006 66041 National Institutes of Health Justice Department NOTICES See Alcohol, Tobacco, Firearms, and Explosives Bureau Meetings: See Drug Enforcement Administration Center for Scientific Review, 66075–66076 See Justice Programs Office National Human Genome Research Institute, 66076 NOTICES National Institute of Dental and Craniofacial Research, Lodging of Consent Decrees Under CERCLA, 66083 66077 Lodging of Consent Decrees Under the Clean Air Act, National Institute of Diabetes and Digestive and Kidney 66083–66084 Diseases, 66076–66077

Justice Programs Office National Oceanic and Atmospheric Administration NOTICES RULES Agency Information Collection Activities; Proposals, Fisheries of Exclusive Economic Zone Off Alaska: Submissions, and Approvals: Atka Mackerel in Bering Sea and Aleutian Islands Identity Theft Supplement to the National Crime Management Area; Closure, 65975 Victimization Survey, 66086–66087 Pacific Ocean Perch in Eastern Aleutian District of Bering Sea and Aleutian Islands Management Area; Closure, Labor Department 65972 Reallocation of Crab Prohibited Species Catch See Employee Benefits Security Administration Allowances in Bering Sea and Aleutian Islands See Occupational Safety and Health Administration NOTICES Management Area, 65973–65975 Request for comments under Executive Order 12898, 66087 Fisheries of the Northeastern United States: Atlantic Herring Fishery; Adjustment to Management Area 1A Sub-Annual Catch Limit, 65971–65972 Land Management Bureau PROPOSED RULES NOTICES Fisheries of the Caribbean, Gulf of Mexico, and South Environmental Impact Statements; Availability, etc.: Atlantic: K Road Calico Solar Project, San Bernardino County, CA, Generic Annual Catch Limits/Accountability Measures 66079 Amendment for the Gulf of Mexico, 66021–66031 Meetings: NOTICES Northwest Colorado Resource Advisory Council, 66079– Meetings: 66080 Caribbean Fishery Management Council, 66041–66042 Proposed Class II Reinstatements of Terminated Oil and Mid-Atlantic Fishery Management Council, 66041 Gas Leases: Permit Modifications: Utah, 66080 Endangered Species; File No. 1551, 66042 Proposed Reinstatements of Terminated Oil and Gas Leases: Request for Nominations: CACA 52030, CA, 66080–66081 Advisory Committee on Commercial Remote Sensing, Nevada, 66081 66042–66043

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National Park Service New York; Amendment 4, 66111 NOTICES North Carolina; Amendment 7, 66110 Agency Information Collection Activities; Proposals, Pennsylvania; Amendment 1, 66110–66111 Submissions, and Approvals: Pennsylvania; Amendment 2, 66110 Nomination of Properties for Listing on the National Texas; Amendment 3, 66109 Register of Historic Places, 66081–66082 Meetings: Social Security Administration Cape Cod National Seashore Advisory Commission, PROPOSED RULES 66082–66083 Revised Medical Criteria for Evaluating Congenital National Christmas Tree Lighting, 66082 Disorders That Affect Multiple Body Systems, 66006– 66011 National Science Foundation NOTICES NOTICES Cost-of-Living Increase and Other Determinations for 2012, Antarctic Conservation Act Permit Modifications, 66089 66111–66117

National Telecommunications and Information Susquehanna River Basin Commission Administration NOTICES Projects Approved for Consumptive Uses of Water, 66117– NOTICES 66119 Performance Review Board; Membership, 66043 Transportation Department Nuclear Regulatory Commission See Federal Aviation Administration NOTICES See Federal Motor Carrier Safety Administration Access Authorization Program for Nuclear Power Plants, See Federal Railroad Administration 66089–66090 See Maritime Administration Facility Operating License Amendments: See National Highway Traffic Safety Administration Virginia Electric and Power Co., Surry Power Station, Units 1 and 2, 66090–66095 Treasury Department Meetings; Sunshine Act, 66095–66096 See Foreign Assets Control Office See Internal Revenue Service Occupational Safety and Health Administration RULES NOTICES CBP Audit Procedures: Agency Information Collection Activities; Proposals, Use of Sampling Methods and Offsetting of Submissions, and Approvals, 66087–66089 Overpayments and Over-Declarations, 65953–65963 NOTICES Presidential Documents Agency Information Collection Activities; Proposals, ADMINISTRATIVE ORDERS Submissions, and Approvals, 66131–66132 Child Soldiers Prevention Act of 2008; Certification and Determination (Presidential Determination) U.S. Customs and Border Protection No. 2012–01 of October 4, 2011, 65927–65931 RULES CBP Audit Procedures: Railroad Retirement Board Use of Sampling Methods and Offsetting of NOTICES Overpayments and Over-Declarations, 65953–65963 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 66096 Separate Parts In This Issue Securities and Exchange Commission NOTICES Part II Applications: Labor Department, Employee Benefits Security RiverPark Advisors, LLC, et al., 66096–66103 Administration, 66136–66167 Meetings; Sunshine Act, 66103 Petition for Review of Division of Trading and Markets, etc.: NASDAQ OMX BX, Inc., 66103–66105 Reader Aids Self-Regulatory Organizations; Proposed Rule Changes: Consult the Reader Aids section at the end of this page for NYSE Amex LLC, 66105–66107 phone numbers, online resources, finding aids, reminders, NYSE Arca, Inc., 66107–66109 and notice of recently enacted public laws. To subscribe to the Federal Register Table of Contents Small Business Administration LISTSERV electronic mailing list, go to http:// NOTICES listserv.access.gpo.gov and select Online mailing list Disaster Declarations: archives, FEDREGTOC-L, Join or leave the list (or change New Jersey, 66111 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Administrative Orders: Presidential Determination No. 2012–01 of October 4, 2011 ...... 65927 7 CFR 319...... 65933 Proposed Rules: 319 (3 documents) ...... 65976, 65985, 65988 9 CFR 56...... 65935 78...... 65935 14 CFR 39 (3 documents) ...... 65936, 65938, 65941 71 (2 documents) ...... 65944, 65945 97...... 65951 Proposed Rules: 39 (3 documents) ...... 65991, 65995, 65997 17 CFR Proposed Rules: Ch. 1 ...... 65999 19 CFR 162...... 65953 163...... 65953 Proposed Rules: Ch. II ...... 66004 20 CFR Proposed Rules: 404...... 66006 26 CFR Proposed Rules: 1 (2 documents) ...... 66011, 66012 29 CFR 2550...... 66136 33 CFR 165...... 65963 40 CFR Proposed Rules: 52...... 66013 47 CFR 1...... 65965 64...... 65965 101...... 65970 49 CFR 523...... 65971 535...... 65971 50 CFR 648...... 65971 679 (3 documents) ...... 65972, 65973, 65975 Proposed Rules: 17...... 66018 622...... 66021

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Federal Register Presidential Documents Vol. 76, No. 206

Tuesday, October 25, 2011

Title 3— Presidential Determination No. 2012–01 of October 4, 2011

The President Certification and Determination With Respect to the Child Soldiers Prevention Act of 2008

Memorandum for the Secretary of State

Pursuant to section 404 of the Child Soldiers Prevention Act of 2008 (CSPA) (title IV, Public Law 110–457), I hereby: certify that the Government of Chad has implemented measures that include an action plan and actual steps to come into compliance with the standards outlined in the CSPA, and has implemented policies and mechanisms to prohibit and prevent future government or government-supported use of child soldiers and to ensure that no children are recruited, conscripted, or otherwise compelled to serve as child soldiers. I hereby determine that it is in the national interest of the United States to waive the application of the prohibition in section 404(a) of the CSPA with respect to Yemen; and further determine that it is in the national interest of the United States to waive in part the application of the prohibition in section 404(a) of the CSPA with respect to the Democratic Republic of the Congo, to allow for continued provision of International Military Education and Training and non-lethal Excess Defense Articles, and issuance of licenses for direct commercial sales of military equipment; and I hereby waive such provisions accordingly. You are authorized and directed to submit this determination to the Congress, along with the accompanying Memorandum of Justification, and to publish the determination in the Federal Register.

THE WHITE HOUSE, WASHINGTON, October 4, 2011.

Billing code 4710–10–P

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[FR Doc. 2011–27718 Filed 10–24–11; 8:45 am] Billing code 4710–10–C

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Rules and Regulations Federal Register Vol. 76, No. 206

Tuesday, October 25, 2011

This section of the FEDERAL REGISTER Background would be allowed under this contains regulatory documents having general The regulations in ‘‘Subpart—Fruits rulemaking could affect domestic kiwi applicability and legal effect, most of which growers. The commenter suggested that are keyed to and codified in the Code of and Vegetables’’ (7 CFR 319.56–1 through 319.56–52, referred to below as we should have provided a more Federal Regulations, which is published under extensive discussion of that potential 50 titles pursuant to 44 U.S.C. 1510. the regulations) prohibit or restrict the importation of fruits and vegetables into impact, including statistics, in the The Code of Federal Regulations is sold by the United States from certain parts of preamble to the March 2011 proposed the Superintendent of Documents. Prices of the world to prevent the introduction rule. The commenter did not present new books are listed in the first FEDERAL and dissemination of plant pests that are any new information, however. REGISTER issue of each week. new to or not widely distributed within In the economic analysis that the United States. accompanied the proposed rule and was Previously, under the regulations, the summarized in the preamble, we DEPARTMENT OF AGRICULTURE importation into the United States of concluded that we expect the impact of fresh baby kiwi fruit imports from Chile Animal and Plant Health Inspection fresh baby kiwi (Actinidia arguta) from to be minimal for domestic producers Service Chile was allowed only if the fruit was fumigated with methyl bromide. On due to timing differences (baby kiwi would likely be imported from Chile 7 CFR Part 319 March 21, 2011, however, we published in the Federal Register (76 FR 15225– during the off-season for U.S. producers) [Docket No. APHIS–2010–0018] 15228, Docket No. APHIS–2010–0018) a and the small quantity that we 1 RIN 0579–AD37 proposal to amend the fruits and anticipated would be imported. The full vegetables regulations to allow the economic analysis, which was Importation of Fresh Baby Kiwi From importation into the continental United conducted in accordance with Executive Chile Under a Systems Approach States of baby kiwi fruit from Chile, Order 12866 and the Regulatory subject to a systems approach. We Flexibility Act and was posted on the AGENCY: Animal and Plant Health proposed that the fruit would have to be Regulations.gov Web site along with the Inspection Service, USDA. grown in a place of production that is proposed rule, featured a more ACTION: Final rule. registered with the Government of Chile extensive discussion of the possible and certified as having a low prevalence economic impact of the rulemaking, SUMMARY: We are amending the fruits of Brevipalpus chilensis. The fruit including the potential impact on small and vegetables regulations to allow the would have to undergo pre-harvest importation into the continental United growers. As the commenter did not sampling at the registered production States of baby kiwi fruit from Chile, present any evidence to the contrary, we site. Following post-harvest processing, subject to a systems approach. Under stand by our original determination that the fruit would have to be inspected in this systems approach, the fruit must be the economic impact of the rulemaking Chile at an approved inspection site. grown in a place of production that is on domestic growers of baby kiwi is Each consignment of fruit would have to registered with the Government of Chile likely to be minimal. be accompanied by a phytosanitary and certified as having a low prevalence A commenter from a State Department certificate with an additional of Brevipalpus chilensis. The fruit must of Agriculture stated that shipments of declaration stating that the fruit had undergo pre-harvest sampling at the baby kiwi from Chile should not be been found free of Brevipalpus chilensis allowed entry into Florida until the registered production site. Following based on field and packinghouse post-harvest processing, the fruit must effectiveness of the phytosanitary inspections. measures required under the proposed be inspected in Chile at an approved We solicited comments concerning inspection site. Each consignment of systems approach has been our proposal for 60 days ending May 20, demonstrated through their use on baby fruit must be accompanied by a 2011. We received 23 comments by that phytosanitary certificate with an kiwi imported from Chile into lower- date. They were from private citizens, risk States. additional declaration stating that the growers, shippers, trade associations, a fruit had been found free of Brevipalpus We have determined, for the reasons State department of agriculture, described in the risk management chilensis based on field and industry groups, and the Government of packinghouse inspections. This final document (RMD) that accompanied the Chile. Most of the commenters March 2011 proposed rule, that the rule allows for the safe importation of supported the proposed rule, with only fresh baby kiwi from Chile using measures specified in the RMD will one opposing it outright and another effectively mitigate the risk associated mitigation measures other than supporting it with reservations. The fumigation with methyl bromide. with the importation of baby kiwi from issues raised by the commenters are Chile. The commenter did not provide DATES: Effective Date: November 25, discussed below. any evidence suggesting that the 2011. One commenter, while generally mitigations are not effective. Therefore, FOR FURTHER INFORMATION CONTACT: Mr. supportive of the proposed rule, we are not taking the action requested David B. Lamb, Import Specialist, expressed concern about how the by the commenter. Regulatory Coordination and imports of baby kiwi from Chile that For greater clarity, we are making a Compliance, PPQ, APHIS, 4700 River change in this final rule to the Road Unit 133, Riverdale, MD 20737– 1 To view the proposed rule, the PRA, the RMD, the economic analysis, and the comments we requirement for an additional 1231; (301) 734–0627. received, go to http://www.regulations.gov/ declaration on the phytosanitary SUPPLEMENTARY INFORMATION: #!docketDetail;D=APHIS-2010-0018. certificate accompanying shipments of

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baby kiwi from Chile. As originally imported under this rule will be Chile. Harvested baby kiwi must be proposed, the additional declaration preempted while the fruit is in foreign placed in field cartons or containers that had to state that the fruit in the commerce. Fresh baby kiwi are are marked to show the official consignment was inspected and found generally imported for immediate registration number of the production free of Brevipalpus chilensis. This final distribution and sale to the consuming site. Registration must be renewed rule provides that the additional public, and remain in foreign commerce annually. declaration must also state that the fruit until sold to the ultimate consumer. The (b) Low-prevalence production site was grown, packed, and shipped in question of when foreign commerce certification. The fruit must originate accordance with the requirements of the ceases in other cases must be addressed from a low-prevalence production site systems approach. on a case-by-case basis. No retroactive to be imported under the conditions in Therefore, for the reasons given in the effect will be given to this rule, and this this section. Between 1 and 30 days proposed rule and in this document, we rule will not require administrative prior to harvest, random samples of fruit are adopting the proposed rule as a final proceedings before parties may file suit must be collected from each registered rule, with the change discussed in this in court challenging this rule. production site under the direction of document. the NPPO of Chile. These samples must Paperwork Reduction Act undergo a pest detection and evaluation Executive Order 12866 and Regulatory In accordance with the Paperwork method as follows: The fruit must be Flexibility Act Reduction Act of 1995 (44 U.S.C. 3501 washed using a flushing method, placed This final rule has been determined to et seq.), the information collection or in a 20- mesh sieve on top of a 200-mesh be not significant for the purposes of recordkeeping requirements included in sieve, sprinkled with a liquid soap and Executive Order 12866 and, therefore, this rule have been approved by the water solution, washed with water at has not been reviewed by the Office of Office of Management and Budget high pressure, and washed with water at Management and Budget. (OMB) under OMB control number low pressure. The process must then be In accordance with the Regulatory 0579–0374. repeated. The contents of the 200-mesh Flexibility Act, we have analyzed the sieve must then be placed on a petri potential economic effects of this action E-Government Act Compliance dish and analyzed for the presence of on small entities. The analysis is The Animal and Plant Health live Brevipalpus chilensis mites. If a summarized below. Copies of the full Inspection Service is committed to single live B. chilensis mite is found, the analysis are available on the compliance with the E-Government Act production site will not qualify for Regulations.gov Web site (see footnote 1 to promote the use of the Internet and certification as a low-prevalence in this document for a link to other information technologies, to production site. Each production site Regulations.gov) or by contacting the provide increased opportunities for may have only one opportunity per person listed under FOR FURTHER citizen access to Government season to qualify as a low-prevalence INFORMATION CONTACT. information and services, and for other production site, and certification of low This final rule amends the regulations purposes. For information pertinent to prevalence will be valid for one harvest to allow the importation of fresh baby E-Government Act compliance related season only. The NPPO of Chile will kiwi fruit from Chile into the to this rule, please contact Mrs. Celeste present a list of certified production continental United States under a Sickles, APHIS’ Information Collection sites to APHIS. systems approach. The systems Coordinator, at (301) 851–2908. (c) Post-harvest processing. After approach provides an alternative to harvest, all damaged or diseased fruits fumigation with methyl bromide of baby List of Subjects in 7 CFR Part 319 must be culled at the packinghouse and kiwi imported from Chile into the Coffee, Cotton, Fruits, Imports, Logs, must be packed into new, clean boxes, continental United States. Nursery stock, Plant diseases and pests, crates, or other APHIS-approved The impact of fresh baby kiwi fruit Quarantine, Reporting and packing containers. Each container must imports from Chile will be minimal for recordkeeping requirements, Rice, have a label identifying the registered domestic producers due to timing Vegetables. production site where the fruit differences (baby kiwi are likely to be Accordingly, we are amending 7 CFR originated and the packing shed where imported from Chile during the off- part 319 as follows: it was packed. season for U.S. producers) and the small (d) Phytosanitary inspection. Fruit quantity expected to be imported. PART 319—FOREIGN QUARANTINE must be inspected in Chile at an APHIS- Although most U.S. growers of baby NOTICES approved inspection site under the kiwi fruit are small entities by the direction of APHIS inspectors in ■ standards of the Small Business 1. The authority citation for part 319 coordination with the NPPO of Chile Administration, our analysis concludes continues to read as follows: following any post-harvest processing. that the effects of this rule on U.S. baby Authority: 7 U.S.C. 450, 7701–7772, and A biometric sample must be drawn and kiwi fruit producers, regardless of their 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR examined from each consignment. Baby size, will be minimal. 2.22, 2.80, and 371.3. kiwi in any consignment may be Under these circumstances, the ■ 2. A new § 319.56–53 is added to read shipped to the continental United States Administrator of the Animal and Plant as follows: under the conditions of this section only Health Inspection Service has if the consignment passes inspection as determined that this action will not § 319.56–53 Fresh baby kiwi from Chile. follows: have a significant economic impact on Fresh baby kiwi (Actinidia arguta) (1) Fruit presented for inspection a substantial number of small entities. may be imported into the continental must be identified in the shipping United States from Chile under the documents accompanying each lot of Executive Order 12988 following conditions: fruit to specify the production site or This final rule allows baby kiwi to be (a) Production site registration. The sites in which the fruit was produced imported into the continental United production site where the fruit is grown and the packing shed or sheds in which States from Chile. State and local laws must be registered with the national the fruit was processed. This and regulations regarding baby kiwi plant protection organization (NPPO) of identification must be maintained until

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the fruit is released for entry into the FOR FURTHER INFORMATION CONTACT: Dr. DEPARTMENT OF AGRICULTURE United States. C. Stephen Roney, DVM, Senior Staff (2) A biometric sample of the boxes, Officer, NPIP, VS, APHIS, USDA, 1506 Animal and Plant Health Inspection crates, or other APHIS-approved Klondike Road, Suite 300, Conyers, GA Service packing containers from each 30094–5104; (770) 922–3496. consignment will be selected by the 9 CFR Part 78 SUPPLEMENTARY INFORMATION: NPPO of Chile, and the fruit from these [Docket No. APHIS–2011–0005] boxes, crates, or other APHIS-approved Background packing containers will be visually Brucellosis in Swine; Add Texas to List In a final rule that was published in inspected for quarantine pests. A of Validated Brucellosis-Free States portion of the fruit must be washed with the Federal Register on March 22, 2011 soapy water and the collected filtrate (76 FR 15791–15798, Docket No. AGENCY: Animal and Plant Health must be microscopically examined for APHIS–2009–0031), and effective on Inspection Service, USDA. B. chilensis. If a single live B. chilensis April 21, 2011, we amended the ACTION: Affirmation of interim rule as mite is found during the inspection National Poultry Improvement Plan (the final rule. process, the certified low-prevalence Plan) and its auxiliary provisions by production site where the fruit was providing new or modified sampling SUMMARY: We are adopting as a final grown will lose its certification. and testing procedures for Plan rule, without change, an interim rule (e) Phytosanitary certificate. Each participants and participating flocks. that amended the brucellosis regulations consignment of fresh baby kiwi must be We also amended the regulations in 9 concerning the interstate movement of accompanied by a phytosanitary CFR part 56, which set out conditions swine by adding Texas to the list of certificate issued by the NPPO of Chile for the payment of indemnity for costs validated brucellosis-free States. The that contains an additional declaration associated with poultry that are infected interim rule was necessary to relieve stating that the fruit in the consignment with or exposed to the H5 or H7 certain restrictions on interstate was inspected and found free of subtypes of low pathogenic avian movement of breeding swine from Brevipalpus chilensis and was grown, influenza. Texas. packed, and shipped in accordance with In § 56.3, we simplified the list of DATES: Effective on October 25, 2011, the requirements of 7 CFR 319.56–53. types of poultry eligible for 100 percent we are adopting as a final rule the (Approved by the Office of Management and indemnity in paragraph (b) by replacing interim rule published at 76 FR 28885– Budget under control number 0579–0374) former paragraphs (b)(1) through (b)(6) 28886 on May 19, 2011. Done in Washington, DC, this 19th day of with new paragraphs (b)(1) and (b)(2) FOR FURTHER INFORMATION CONTACT: Dr. October 2011. and redesignating former paragraph Troy Bigelow, Swine Health Programs, Kevin Shea, (b)(7) as paragraph (b)(3). However, our Aquaculture, Swine, Equine, and amendatory instructions for Acting Administrator, Animal and Plant Poultry Programs, National Center for Health Inspection Service. accomplishing this change neglected to Animal Health Programs, VS, APHIS, remove former paragraph (b)(3), [FR Doc. 2011–27577 Filed 10–24–11; 8:45 am] 210 Walnut Street Room 891, Des resulting in the presence of two Moines, IA 50309; (515) 284–4121. BILLING CODE 3410–34–P paragraphs designated (b)(3) in the Code SUPPLEMENTARY INFORMATION: of Federal Regulations. This document DEPARTMENT OF AGRICULTURE corrects that error. Background List of Subjects in 9 CFR Part 56 Brucellosis is a contagious disease Animal and Plant Health Inspection caused by bacteria of the genus Brucella. Service Animal diseases, Indemnity The disease mainly affects cattle, bison, payments, Low pathogenic avian and swine, but goats, sheep, horses, and 9 CFR Part 56 influenza, Poultry. even humans are susceptible. In its principal animal hosts, it causes loss of [Docket No. APHIS–2009–0031] Accordingly, we are amending 9 CFR part 56 as follows: young through spontaneous abortion or RIN 0579–AD21 birth of weak offspring, reduced milk PART 56—CONTROL OF H5/H7 LOW production, and infertility. There is no National Poultry Improvement Plan and PATHOGENIC AVIAN INFLUENZA economically feasible treatment for Auxiliary Provisions; Correction brucellosis in livestock. In humans, brucellosis initially causes flu-like AGENCY: Animal and Plant Health ■ 1. The authority citation for part 56 symptoms, but the disease may develop Inspection Service, USDA. continues to read as follows: into a variety of chronic conditions, ACTION: Correcting amendment. Authority: 7 U.S.C. 8301–8317; 7 CFR including arthritis. Humans can be 2.22, 2.80, and 371.4. treated for brucellosis with antibiotics. SUMMARY: In a final rule that was In an interim rule 1 effective and published in the Federal Register on § 56.3 [Amended] published in the Federal Register on March 22, 2011, and effective on April ■ 2. In § 56.3, the first paragraph (b)(3) May 19, 2011 (76 FR 28885–28886, 21, 2011, we amended the regulations is removed. Docket No. APHIS–2011–0005), we for the control of H5/H7 low pathogenic amended the brucellosis regulations in avian influenza to simplify the list of Done in Washington, DC, this 19th day of 9 CFR part 78 by adding Texas to the list types of poultry eligible for 100 percent October 2011. of validated brucellosis-free States in indemnity, among other changes. This Kevin Shea, § 78.43. That action relieved certain document corrects an error in our Acting Administrator, Animal and Plant amendatory instructions accomplishing Health Inspection Service. 1 To view the interim rule and the comment we that change. [FR Doc. 2011–27579 Filed 10–24–11; 8:45 am] received, go to http://www.regulations.gov/ DATES: Effective Date: October 25, 2011. BILLING CODE 3410–34–P #!docketDetail;D=APHIS-2011-0005.

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restrictions on the interstate movement AD results from mandatory continuing Moreover detailed analysis has highlighted of breeding swine from Texas. airworthiness information (MCAI) that the Low Pressure Valve (LPV) wires were Comments on the interim rule were originated by an aviation authority of not segregated by design. another country to identify and correct Due to design similarities, A310, A300–600 required to be received on or before July and A300–600ST aeroplanes can be affected, 18, 2011. We received one comment by an unsafe condition on an aviation depending on the wires installation in the that date. The comment, from a State product. The MCAI describes the unsafe concerned area. animal health agency, supported the condition as: If left uncorrected, the wire chafing could interim rule. Therefore, for the reasons An operator reported several cases of wire impact fire protection and detection system. given in the interim rule, we are damages at the pylon/wing interface. It may also induce dormant failure on LPV adopting the interim rule as a final rule Analysis revealed that wires damages are due preventing its closure leading to a permanent without change. to installation quality issue resulting from and uncontrolled fire (in case of fire ignited lack of information in installation drawings upstream the High Pressure Valve (HPV)). This action also affirms the For the reasons explained above, this AD information contained in the interim and job cards. Moreover detailed analysis has highlighted requires the modification of the electrical rule concerning Executive Order 12866 that the Low Pressure Valve (LPV) wires were installation in the pylon/wing interface to and the Regulatory Flexibility Act, not segregated by design. avoid wire damages. Executive Orders 12372 and 12988, and Shortly after this [EASA] AD was issued, * * * * * it was discovered that Airbus Service the Paperwork Reduction Act. If left uncorrected, the wire chafing could Further, for this action, the Office of Bulletin (SB) A310–24–2106, associated to impact fire protection and detection system. Airbus modification 13541, contained wrong Management and Budget has waived its It may also induce dormant failure on LPV Low Pressure Valve installation drawings. review under Executive Order 12866. preventing its closure leading to a permanent This makes it impossible for the operators to and uncontrolled fire (in case of fire ignited List of Subjects in 9 CFR Part 78 accomplish the SB instructions. upstream the High Pressure Valve (HPV)). Consequently, Airbus have revised the SB to Animal diseases, Bison, Cattle, Hogs, * * * * * correct the error. Quarantine, Reporting and Revision 1 of this [EASA] AD is issued to We are issuing this AD to require require modification 13541 to be recordkeeping requirements, actions to correct the unsafe condition Transportation. incorporated in accordance with the on these products. instructions of Airbus SB A310–24–2106 at PART 78—BRUCELLOSIS DATES: This AD becomes effective Revision 1. November 29, 2011. The modification includes a general ■ Accordingly, we are adopting as a ADDRESSES: You may examine the AD visual inspection of wires for damage, final rule, without change, the interim docket on the Internet at http:// and repair if necessary. You may obtain rule that amended 9 CFR part 78 and www.regulations.gov or in person at the further information by examining the that was published at 76 FR 28885– U.S. Department of Transportation, MCAI in the AD docket. 28886 on May 19, 2011. Docket Operations, M–30, West Comments Done in Washington, DC, this 19th day of Building Ground Floor, Room W12–140, October 2011. 1200 New Jersey Avenue, SE., We gave the public the opportunity to Kevin Shea, Washington, DC. participate in developing this AD. We considered the comment received. Acting Administrator, Animal and Plant FOR FURTHER INFORMATION CONTACT: Dan Health Inspection Service. Rodina, Aerospace Engineer, Request To Change Compliance Time International Branch, ANM–116, [FR Doc. 2011–27572 Filed 10–24–11; 8:45 am] UPS stated that it agreed with the BILLING CODE 3410–34–P Transport Airplane Directorate, FAA, 1601 Lind Avenue, SW., Renton, actions proposed in the NPRM (76 FR Washington 98057–3356; telephone 15870, March 22, 2011); however, it (425) 227–2125; fax (425) 227–1149. requested that the 30-month compliance DEPARTMENT OF TRANSPORTATION time be extended to 36 months. UPS SUPPLEMENTARY INFORMATION: stated that extending the compliance Federal Aviation Administration Discussion time to 36 months would reduce the potential for special maintenance visits 14 CFR Part 39 We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR for unmodified airplanes. UPS stated [Docket No. FAA–2011–0255; Directorate part 39 to include an AD that would that the additional 6 months would Identifier 2010–NM–253–AD; Amendment apply to the specified products. That reduce potential operator hardship and 39–16844; AD 2011–22–02] NPRM was published in the Federal allow for a timely correction of the unsafe condition. UPS also stated that, RIN 2120–AA64 Register on March 22, 2011 (76 FR 15870). That NPRM proposed to correct in accordance with EASA Airworthiness Airworthiness Directives; Airbus an unsafe condition for the specified Directive 2010–0178, dated August 23, Airplanes products. The European Aviation Safety 2010; Airbus Mandatory Service Agency (EASA), which is the Technical Bulletin A300–24–6106, dated March AGENCY: Federal Aviation Agent for the Member States of the 31, 2010; and Airbus Mandatory Service Administration (FAA), Department of European Community, has issued Bulletin A310–24–2106, dated May 27, Transportation (DOT). revised parallel mandatory continuing 2010; the original wire damage was a ACTION: Final rule. airworthiness information (MCAI) AD result of installation defects during 2010–0178R1, dated May 20, 2011. The production, and the issues related to SUMMARY: We are adopting a new revised MCAI states: wiring segregation, conduit installation, airworthiness directive (AD) for all and improved clamping and lacing were Airbus Model A310 series airplanes; An operator reported several cases of wire all identified by Airbus during the two- damages at the pylon/wing interface. Model A300 B4–600, B4–600R, and F4– Analysis revealed that wires damages are due year investigation process. UPS stated 600R series airplanes; and Model C4– to installation quality issue resulting from that these design improvements are not 605R variant F airplanes (collectively lack of information in installation drawings related to the correction of the called A300–600 series airplanes). This and job cards. installation defects, and they are not

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critical airworthiness concerns, thus We might also have required different or on the distribution of power and justifying a longer compliance period. actions in this AD from those in the responsibilities among the various We disagree with extending the MCAI in order to follow our FAA levels of government. compliance time. In developing an policies. Any such differences are For the reasons discussed above, I appropriate compliance time, we highlighted in a NOTE within the AD. certify this AD: considered the safety implications and 1. Is not a ‘‘significant regulatory Revised Costs of Compliance normal maintenance schedules for action’’ under Executive Order 12866; timely accomplishment of the Since the NPRM (76 FR 15870, March 2. Is not a ‘‘significant rule’’ under the modification. The FAA considered the 22, 2011) was issued, Airbus has issued DOT Regulatory Policies and Procedures potential repercussion of wire chafing Mandatory Service Bulletin A310–24– (44 FR 11034, February 26, 1979); and and the fact that some failures are 2106, Revision 01, including Appendix 3. Will not have a significant hidden. In particular, there may be some 01, dated April 4, 2011, which updated economic impact, positive or negative, dormant failures on the LPV preventing the cost for required parts to $1,340 per on a substantial number of small entities its closure in case of fire upstream the product. We have revised the Costs of under the criteria of the Regulatory HPVs. Accomplishment of the service Compliance section of this AD Flexibility Act. bulletins will correct the electrical accordingly to reflect the new parts cost. We prepared a regulatory evaluation installation if there are any defects, Costs of Compliance of the estimated costs to comply with avoiding further damages at the pylon/ this AD and placed it in the AD docket. wing interface. Affected operators, We estimate that this AD will affect however, may request an extension of 185 products of U.S. registry. We also Examining the AD Docket the compliance time under the estimate that it will take about 16 work- You may examine the AD docket on provisions of paragraph (h)(1) of this AD hours per product to comply with the the Internet at http:// by submitting data substantiating that basic requirements of this AD. The www.regulations.gov; or in person at the the change would provide an acceptable average labor rate is $85 per work-hour. Docket Operations office between 9 a.m. level of safety. Required parts will cost up to $1,340 and 5 p.m., Monday through Friday, per product. Where the service Revised Service Information except Federal holidays. The AD docket information lists required parts costs contains the NPRM (76 FR 15870, Since the NPRM (76 FR 15870, March that are covered under warranty, we March 22, 2011), the regulatory 22, 2011) has been issued, EASA has have assumed that there will be no evaluation, any comments received, and issued Airworthiness Directive 2010– charge for these parts. As we do not other information. The street address for 0178R1, dated May 20, 2011. We have control warranty coverage for affected the Docket Operations office (telephone received a report that Airbus Mandatory parties, some parties may incur costs (800) 647–5527) is in the ADDRESSES Service Bulletin A310–24–2106, dated higher than estimated here. Based on section. Comments will be available in May 27, 2010, associated with Airbus these figures, we estimate the cost of the AD docket shortly after receipt. Modification 13541, contained the this AD to the U.S. operators to be up wrong installation drawings of the LPV. to $499,500, or $2,700 per product. List of Subjects in 14 CFR Part 39 This made it impossible for operators to Authority for This Rulemaking Air transportation, Aircraft, Aviation accomplish the instructions in that safety, Incorporation by reference, service bulletin. Airbus has issued Title 49 of the United States Code Safety. Mandatory Service Bulletin A310–24– specifies the FAA’s authority to issue 2106, Revision 01, including Appendix rules on aviation safety. Subtitle I, Adoption of the Amendment 01, dated April 4, 2011, to address the section 106, describes the authority of Accordingly, under the authority error. We have revised paragraph (g) of the FAA Administrator. ‘‘Subtitle VII: delegated to me by the Administrator, this AD accordingly to reflect the new Aviation Programs,’’ describes in more the FAA amends 14 CFR part 39 as service information. detail the scope of the Agency’s follows: authority. Conclusion We are issuing this rulemaking under PART 39—AIRWORTHINESS We reviewed the available data, the authority described in ‘‘Subtitle VII, DIRECTIVES including the comment received, and Part A, Subpart III, Section 44701: determined that air safety and the General requirements.’’ Under that ■ 1. The authority citation for part 39 public interest require adopting the AD section, Congress charges the FAA with continues to read as follows: with the change described previously. promoting safe flight of civil aircraft in Authority: 49 U.S.C. 106(g), 40113, 44701. We determined that this change will not air commerce by prescribing regulations increase the economic burden on any for practices, methods, and procedures § 39.13 [Amended] operator or increase the scope of the AD. the Administrator finds necessary for ■ 2. The FAA amends § 39.13 by adding safety in air commerce. This regulation Differences Between This AD and the the following new AD: is within the scope of that authority MCAI or Service Information 2011–22–02 Airbus: Amendment 39–16844. because it addresses an unsafe condition Docket No. FAA–2011–0255; Directorate We have reviewed the MCAI and that is likely to exist or develop on Identifier 2010–NM–253–AD. related service information and, in products identified in this rulemaking general, agree with their substance. But action. Effective Date we might have found it necessary to use (a) This airworthiness directive (AD) different words from those in the MCAI Regulatory Findings becomes effective November 29, 2011. to ensure the AD is clear for U.S. We determined that this AD will not Affected ADs operators and is enforceable. In making have federalism implications under (b) None. these changes, we do not intend to differ Executive Order 13132. This AD will substantively from the information not have a substantial direct effect on Applicability provided in the MCAI and related the States, on the relationship between (c) This AD applies to all Airbus Model service information. the national government and the States, A300 B4–601, B4–603, B4–620, and B4–622

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airplanes; Model A300 B4–605R and B4– In accordance with 14 CFR 39.19, send your Issued in Renton, Washington, on October 622R airplanes; Model A300 F4–605R and request to your principal inspector or local 11, 2011. F4–622R airplanes; Model A300 C4–605R Flight Standards District Office, as Ali Bahrami, Variant F airplanes; and Model A310–203, appropriate. If sending information directly Manager, Transport Airplane Directorate, –204, –221, –222, –304, –322, –324, and –325 to the International Branch, send it to ATTN: Aircraft Certification Service. airplanes; certificated in any category. Dan Rodina, Aerospace Engineer, [FR Doc. 2011–27005 Filed 10–24–11; 8:45 am] Subject International Branch, ANM–116, Transport Airplane Directorate, FAA, 1601 Lind BILLING CODE 4910–13–P (d) Air Transport Association (ATA) of Avenue, SW., Renton, Washington 98057– America Code 24: Electrical Power. 3356; telephone (425) 227–2125; fax (425) Reason 227–1149. Information may be e-mailed to: 9- DEPARTMENT OF TRANSPORTATION [email protected]. Before (e) The mandatory continuing Federal Aviation Administration airworthiness information (MCAI) states: using any approved AMOC, notify your appropriate principal inspector, or lacking a An operator reported several cases of wire 14 CFR Part 39 damages at the pylon/wing interface. principal inspector, the manager of the local Analysis revealed that wires damages are due flight standards district office/certificate [Docket No. FAA–2011–0650; Directorate to installation quality issue resulting from holding district office. The AMOC approval Identifier 2010–NM–257–AD; Amendment lack of information in installation drawings letter must specifically reference this AD. 39–16846; AD 2011–22–04] and job cards. (2) Airworthy Product: For any requirement Moreover detailed analysis has highlighted in this AD to obtain corrective actions from RIN 2120–AA64 that the Low Pressure Valve (LPV) wires were a manufacturer or other source, use these not segregated by design. actions if they are FAA-approved. Corrective Airworthiness Directives; Airbus Model A310 Series Airplanes * * * * * actions are considered FAA-approved if they If left uncorrected, the wire chafing could are approved by the State of Design Authority AGENCY: Federal Aviation impact fire protection and detection system. (or their delegated agent). You are required Administration (FAA), Department of to assure the product is airworthy before it It may also induce dormant failure on LPV Transportation (DOT). preventing its closure leading to a permanent is returned to service. and uncontrolled fire (in case of fire ignited ACTION: Final rule. Related Information upstream the High Pressure Valve (HPV)). SUMMARY: We are adopting a new * * * * * (i) Refer to MCAI European Aviation Safety Agency Airworthiness Directive 2010– airworthiness directive (AD) for the Compliance 0178R1, excluding Appendix 01, dated May products listed above. This AD results (f) You are responsible for having the 20, 2011; Airbus Mandatory Service Bulletin from mandatory continuing actions required by this AD performed within A300–24–6106, dated March 31, 2010; and airworthiness information (MCAI) the compliance times specified, unless the Airbus Mandatory Service Bulletin A310–24– originated by an aviation authority of actions have already been done. 2106, Revision 01, including Appendix 01, another country to identify and correct dated April 4, 2011; for related information. Actions an unsafe condition on an aviation Material Incorporated by Reference product. The MCAI describes the unsafe (g) Within 30 months or 4,000 flight hours condition as: after the effective date of this AD, whichever (j) You must use Airbus Mandatory Service occurs first: Modify the electrical installation Bulletin A300–24–6106, excluding Appendix [T]he FAA has published SFAR 88 (Special in the pylon/wing interface on the left-hand 01, dated March 31, 2010; or Airbus Federal Aviation Regulation 88). and right-hand side by doing a general visual Mandatory Service Bulletin A310–24–2106, In their letters referenced 04/00/02/07/01– inspection of wires for damage and doing all Revision 01, including Appendix 01, dated L296, dated March 4th, 2002, and 04/00/02/ applicable repairs, replace the cable tie with April 4, 2011; as applicable; to do the actions 07/03–L024, dated February 3rd, 2003, the lacing tape, improve the electrical required by this AD, unless the AD specifies [Joint Aviation Authorities] JAA installation at the level of the electrical ramp, otherwise. recommended the application of a similar and improve the segregation of both routes of (1) The Director of the Federal Register regulation to the National Aviation Authorities (NAA). the LPV channels 1 and 2 between LPV approved the incorporation by reference of Under this regulation, all holders of type connector and ramp; in accordance with the this service information under 5 U.S.C. Accomplishment Instructions of Airbus certificates for passenger transport aircraft 552(a) and 1 CFR part 51. Mandatory Service Bulletin A300–24–6106, with either a passenger capacity of 30 or (2) For service information identified in excluding Appendix 01, dated March 31, more, or a payload capacity of 3,402 kg this AD, contact Airbus SAS—EAW 2010 (for Airbus Model A300 B4–600, B4– (7,500 lb) or more which have received their 600R, and F4–600R series airplanes, and (Airworthiness Office), 1 Rond Point Maurice certification since January 1st, 1958, are Model C4–605R Variant F airplanes); or Bellonte, 31707 Blagnac Cedex, France; required to conduct a design review against Airbus Mandatory Service Bulletin A310–24– telephone +33 5 61 93 36 96; fax +33 5 61 explosion risks. 93 44 51; e-mail account.airworth- 2106, Revision 01, including Appendix 01, * * * * * dated April 4, 2011 (for Airbus Model A310 [email protected]; Internet http:// www.airbus.com. The unsafe condition is insufficient series airplanes). Do all applicable repairs electrical bonding of the over-wing before further flight. (3) You may review copies of the service information at the FAA, Transport Airplane refueling cap adapter, which could FAA AD Differences Directorate, 1601 Lind Avenue, SW., Renton, result in a possible fuel ignition source Note 1: This AD differs from the MCAI Washington. For information on the in the fuel tanks. We are issuing this AD and/or service information as follows: No availability of this material at the FAA, call to require actions to correct the unsafe differences. 425–227–1221. condition on these products. (4) You may also review copies of the DATES: This AD becomes effective Other FAA AD Provisions service information that is incorporated by November 29, 2011. (h) The following provisions also apply to reference at the National Archives and The Director of the Federal Register Records Administration (NARA). For this AD: approved the incorporation by reference information on the availability of this (1) Alternative Methods of Compliance of a certain publication listed in this AD (AMOCs): The Manager, International material at NARA, call 202–741–6030, or go Branch, ANM–116, FAA, has the authority to to: http://www.archives.gov/federal_register/ as of November 29, 2011. approve AMOCs for this AD, if requested code_of_federal_regulations/ ADDRESSES: You may examine the AD using the procedures found in 14 CFR 39.19. ibr_locations.html. docket on the Internet at http://

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www.regulations.gov or in person at the (k), and sub-paragraph (1) of Note 1 of We are issuing this rulemaking under U.S. Department of Transportation, this AD to refer to Airbus Service the authority described in ‘‘Subtitle VII, Docket Operations, M–30, West Bulletin A310–28–2142, Revision 04, Part A, Subpart III, Section 44701: Building Ground Floor, Room W12–140, dated November 30, 2010, and added General requirements.’’ Under that 1200 New Jersey Avenue, SE., paragraph (i) to this AD to give credit for section, Congress charges the FAA with Washington, DC. actions accomplished in accordance promoting safe flight of civil aircraft in FOR FURTHER INFORMATION CONTACT: Dan with Airbus Mandatory Service Bulletin air commerce by prescribing regulations Rodina, Aerospace Engineer, A310–28–2142, Revision 03, dated for practices, methods, and procedures International Branch, ANM–116, November 18, 2009. the Administrator finds necessary for safety in air commerce. This regulation Transport Airplane Directorate, FAA Conclusion 1601 Lind Avenue, SW., Renton, is within the scope of that authority Washington 98057–3356; telephone We reviewed the available data and because it addresses an unsafe condition (425) 227–2125; fax (425) 227–1149. determined that air safety and the that is likely to exist or develop on SUPPLEMENTARY INFORMATION: public interest require adopting the AD products identified in this rulemaking with the changes described previously. action. Discussion We determined that these changes will Regulatory Findings We issued a notice of proposed not increase the economic burden on rulemaking (NPRM) to amend 14 CFR any operator or increase the scope of the We determined that this AD will not part 39 to include an AD that would AD. have federalism implications under apply to the specified products. That Executive Order 13132. This AD will Differences Between This AD and the not have a substantial direct effect on NPRM was published in the Federal MCAI or Service Information Register on July 5, 2011 (76 FR 39035). the States, on the relationship between That NPRM proposed to correct an We have reviewed the MCAI and the national government and the States, unsafe condition for the specified related service information and, in or on the distribution of power and products. The MCAI states: general, agree with their substance. But responsibilities among the various we might have found it necessary to use levels of government. [T]he FAA has published SFAR 88 (Special different words from those in the MCAI For the reasons discussed above, I Federal Aviation Regulation 88). In their letters referenced 04/00/02/07/01– to ensure the AD is clear for U.S. certify this AD: L296, dated March 4th, 2002, and 04/00/02/ operators and is enforceable. In making 1. Is not a ‘‘significant regulatory 07/03–L024, dated February 3rd, 2003, the these changes, we do not intend to differ action’’ under Executive Order 12866; JAA recommended the application of a substantively from the information 2. Is not a ‘‘significant rule’’ under the similar regulation to the National Aviation provided in the MCAI and related DOT Regulatory Policies and Procedures Authorities (NAA). service information. (44 FR 11034, February 26, 1979); and Under this regulation, all holders of type We might also have required different 3. Will not have a significant certificates for passenger transport aircraft actions in this AD from those in the with either a passenger capacity of 30 or economic impact, positive or negative, more, or a payload capacity of 3,402 kg MCAI in order to follow our FAA on a substantial number of small entities (7,500 lb) or more which have received their policies. Any such differences are under the criteria of the Regulatory certification since January 1st, 1958, are highlighted in a NOTE within the AD. Flexibility Act. required to conduct a design review against Costs of Compliance We prepared a regulatory evaluation explosion risks. of the estimated costs to comply with * * * * * We estimate that this AD will affect this AD and placed it in the AD docket. * * * [This EASA AD] requires the 66 products of U.S. registry. We also additional work introduced by Airbus SB estimate that it will take about 4 work- Examining the AD Docket A310–28–2142 at revision 3. hours per product to comply with the You may examine the AD docket on The unsafe condition is insufficient basic requirements of this AD. The the Internet at http:// electrical bonding of the over-wing average labor rate is $85 per work-hour. www.regulations.gov; or in person at the refueling cap adapter, which could Required parts will cost about $200 per Docket Operations office between 9 a.m. result in a possible fuel ignition source product. Where the service information and 5 p.m., Monday through Friday, in the fuel tanks. You may obtain lists required parts costs that are except Federal holidays. The AD docket further information by examining the covered under warranty, we have contains the NPRM (76 FR 39035, July MCAI in the AD docket. assumed that there will be no charge for 5, 2011), the regulatory evaluation, any these parts. As we do not control comments received, and other Comments warranty coverage for affected parties, information. The street address for the We gave the public the opportunity to some parties may incur costs higher Docket Operations office (telephone participate in developing this AD. We than estimated here. Based on these (800) 647–5527) is in the ADDRESSES received no comments on the NPRM (76 figures, we estimate the cost of this AD section. Comments will be available in FR 39035, July 5, 2011) or on the to the U.S. operators to be $35,640, or the AD docket shortly after receipt. determination of the cost to the public. $540 per product. List of Subjects in 14 CFR Part 39 Authority for This Rulemaking Revision to Airbus Mandatory Service Air transportation, Aircraft, Aviation Bulletin A310–28–2142 Title 49 of the United States Code safety, Incorporation by reference, Airbus has issued Mandatory Service specifies the FAA’s authority to issue Safety. Bulletin A310–28–2142, Revision 04, rules on aviation safety. Subtitle I, Adoption of the Amendment dated November 30, 2010. No additional section 106, describes the authority of work is included in this revision for the FAA Administrator. ‘‘Subtitle VII: Accordingly, under the authority airplanes modified by any previous Aviation Programs,’’ describes in more delegated to me by the Administrator, issue of this document. We have detail the scope of the Agency’s the FAA amends 14 CFR part 39 as changed paragraphs (g), (g)(1), (g)(2), (h), authority. follows:

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PART 39—AIRWORTHINESS 20, 2005; and Airbus Mandatory Service Under this regulation, all holders of type DIRECTIVES Bulletin A310–28–2142, Revision 03, dated certificates for passenger transport aircraft November 18, 2009; have been done; with either a passenger capacity of 30 or ■ 1. The authority citation for part 39 certificated in any category. more, or a payload capacity of 3,402 kg continues to read as follows: (2) Model A310–304, A310–322, A310– (7,500 lb) or more which have received their 324, and A310–325 airplanes (fitted with certification since January 1st, 1958, are Authority: 49 U.S.C. 106(g), 40113, 44701. trim tank), all serial numbers, except required to conduct a design review against airplanes on which Airbus Mandatory explosion risks. § 39.13 [Amended] Service Bulletin A310–28–2143, dated July * * * * * ■ 20, 2005; Airbus Mandatory Service Bulletin 2. The FAA amends § 39.13 by adding The unsafe condition is insufficient electrical the following new AD: A310–28–2153, dated July 20, 2005; and Airbus Mandatory Service Bulletin 310–28– bonding of the over-wing refueling cap 2011–22–04 Airbus: Amendment 39– 2142, Revision 03, dated November 18, 2009; adapter, which could result in a possible fuel 16846. FAA–2011–0650; Directorate have been done; certificated in any category. ignition source in the fuel tanks. Identifier 2010–NM–257–AD. Subject Compliance Effective Date (d) Air Transport Association (ATA) of (f) You are responsible for having the (a) This airworthiness directive (AD) America Code 28: Fuel System. actions required by this AD performed within becomes effective November 29, 2011. the compliance times specified, unless the Reason actions have already been done. Affected ADs (e) The mandatory continuing Resistance Measurement (b) None. airworthiness information (MCAI) states: [T]he FAA has published SFAR 88 (Special (g) For configuration 05 and 06 airplanes, Applicability Federal Aviation Regulation 88). as identified in Airbus Mandatory Service (c) This AD applies to airplanes identified In their letters referenced 04/00/02/07/01– Bulletin A310–28–2142, Revision 04, dated in paragraphs (c)(1) and (c)(2) of this AD. L296, dated March 4th, 2002, and 04/00/02/ November 30, 2010, on which any Airbus (1) Airbus Model A310–203, A310–204, 07/03–L024, dated February 3rd, 2003, the service bulletin identified in table 1 of this A310–221 and A310–222 airplanes (without [Joint Aviation Authorities] JAA AD has been done: Within 3 months after the trim tank), all serial numbers, except recommended the application of a similar effective date of this AD, do the actions in airplanes on which Airbus Mandatory regulation to the National Aviation paragraph (g)(1) or (g)(2) of this AD, as Service Bulletin A310–28–2143, dated July Authorities (NAA). applicable.

TABLE 1—PREVIOUSLY ACCOMPLISHED AIRBUS SERVICE BULLETINS

Airbus Service Bulletin Revision Date

Airbus Mandatory Service Bulletin A310–28–2142 ...... August 26, 2005. Airbus Mandatory Service Bulletin A310–28–2142 ...... 01 July 17, 2006. Airbus Mandatory Service Bulletin A310–28–2142 ...... 02 September 3, 2007.

(1) For configuration 05 airplanes: Do a corresponding resistance measurements and appropriate. Send information to Attn: Dan resistance check of the inboard and outboard corrective actions required by paragraphs (g) Rodina, Aerospace Engineer, International over-wing refuel cap mounts between the and (h) of this AD. Branch, ANM–116, Transport Airplane flange face of the refuel insert and the wing, Directorate, FAA 1601 Lind Avenue, SW., FAA AD Differences in accordance with the Accomplishment Renton, Washington 98057–3356; telephone Instructions of Airbus Mandatory Service Note 1: This AD differs from the MCAI (425) 227–2125; fax (425) 227–1149. Bulletin A310–28–2142, Revision 04, dated and/or service information as follows: Information may be e-mailed to: 9-ANM-116- November 30, 2010. (1) Airbus Mandatory Service Bulletin [email protected]. Before using (2) For configuration 06 airplanes: Do a A310–28–2142, Revision 04, dated November any approved AMOC, notify your appropriate resistance check of the outboard over-wing 30, 2010, specifies that if any resistance principal inspector, or lacking a principal refuel cap mounts between the flange face of measurement is more than 10 mohm, inspector, the manager of the local flight the refuel insert and the wing, in accordance corrective actions must be done. This AD standards district office/certificate holding with the Accomplishment Instructions of specifies that if any resistance measurement district office. The AMOC approval letter Airbus Mandatory Service Bulletin A310–28– is 10 mohm or greater, corrective actions must specifically reference this AD. 2142, Revision 04, dated November 30, 2010. must be done. (2) Airworthy Product: For any requirement (2) Paragraphs (1), (2), and (4) of European in this AD to obtain corrective actions from Corrective Action Aviation Safety Agency (EASA) a manufacturer or other source, use these (h) If during any resistance measurement Airworthiness Directive 2010–0199, dated actions if they are FAA-approved. Corrective required by paragraph (g)(1) or (g)(2) of this September 30, 2010, include actions that are actions are considered FAA-approved if they AD, a resistance of 10 milliohm (mohm) or not required in this AD. These actions are are approved by the State of Design Authority greater is found: Before further flight, do all required by AD 2007–20–04, Amendment (or their delegated agent). You are required applicable corrective actions, in accordance 39–15214 (72 FR 56258, October 3, 2007). to assure the product is airworthy before it with the Accomplishment Instructions of is returned to service. Airbus Mandatory Service Bulletin A310–28– Other FAA AD Provisions 2142, Revision 04, dated November 30, 2010. (j) The following provisions also apply to Related Information this AD: (k) Refer to MCAI EASA Airworthiness Credit for Actions Accomplished in (1) Alternative Methods of Compliance Directive 2010–0199, dated September 30, Accordance With Previous Service (AMOCs): The Manager, International 2010; and Airbus Mandatory Service Bulletin Information Branch, ANM–116, Transport Airplane A310–28–2142, Revision 04, dated November (i) Resistance measurements and corrective Directorate, FAA, has the authority to 30, 2010. actions done in accordance with Airbus approve AMOCs for this AD, if requested Mandatory Service Bulletin A310–28–2142, using the procedures found in 14 CFR 39.19. Material Incorporated by Reference Revision 03, dated November 18, 2009, In accordance with 14 CFR 39.19, send your (l) You must use Airbus Mandatory Service before the effective date of this AD are request to your principal inspector or local Bulletin A310–28–2142, Revision 04, dated acceptable for compliance with the Flight Standards District Office, as November 30, 2010, to do the actions

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required by this AD, unless the AD specifies RB211 Service Bulletin No. 72–D133. The Rolls-Royce RB211 Service Bulletin No. 72– otherwise. lives of two of these liners were confirmed D133, engines incorporating Rolls-Royce (1) The Director of the Federal Register to be below the currently valid borescope RB211 Service Bulletin No. 72–E902 are also approved the incorporation by reference of inspection interval. Ultimately, crack considered to be potentially affected and are this service information under 5 U.S.C. propagation could result in hot gas breakout therefore included in the applicability of this 552(a) and 1 CFR part 51. with potential of downstream component AD. (2) For service information identified in distress and multiple turbine blade release This AD requires a change to the initial this AD, contact Airbus SAS–EAW beyond containment capabilities of the and repeat borescope inspection intervals for (Airworthiness Office), 1 Rond Point Maurice engine casings. Thus, cracking of this nature the front combustion liner. constitutes a potentially unsafe condition. Bellonte, 31707 Blagnac Cedex, France; Comments telephone: +33 5 61 93 36 96; fax: +33 5 61 Since Rolls-Royce Service Bulletin No. 72– 93 44 51; e-mail: account.airworth- E902 introduces further developments of We gave the public the opportunity to [email protected]; Internet: http:// Rolls-Royce RB211 Service Bulletin No. 72– participate in developing this AD. We www.airbus.com. D133, engines incorporating Rolls-Royce considered the comments received. (3) You may review copies of the service RB211 Service Bulletin No. 72–E902 are also information at the FAA, Transport Airplane considered to be potentially affected and are Request To Expand Address for Service Directorate, 1601 Lind Avenue, SW., Renton, therefore included in the applicability of this Information AD. Washington. For information on the One commenter, Rolls-Royce plc (RR), availability of this material at the FAA, call We are issuing this AD to detect cracks asked us to consider changing the 425–227–1221. in the front combustion liner, which (4) You may also review copies of the information for getting the service could result in hot section distress, information to ‘‘For any questions service information that is incorporated by multiple blade release, and possible reference at the National Archives and concerning the technical content of the Records Administration (NARA). For damage to the airplane. requirements in this AD (NPRM), please information on the availability of this DATES: This AD becomes effective contact your designated Rolls-Royce material at NARA, call 202–741–6030, or go November 29, 2011. The Director of the representative for a copy of the service to: http://www.archives.gov/federal_register/ Federal Register approved the information, please download the code_of_federal_regulations/ incorporation by reference of certain _ publication from your Aeromanager ibr locations.html. publications listed in this AD as of account at http:// Issued in Renton, Washington, on October November 29, 2011. www.aeromanager.com. If you do not 13, 2011. ADDRESSES: The Docket Operations have a designated representative or an Ali Bahrami, office is located at Docket Management Aeromanager account, please contact Manager, Transport Airplane Directorate, Facility, U.S. Department of Corporate Communications at Rolls- Aircraft Certification Service. Transportation, 1200 New Jersey Royce plc, PO Box 31, Derby, DE24 8BJ, [FR Doc. 2011–27393 Filed 10–24–11; 8:45 am] Avenue, SE., West Building Ground United Kingdom, phone: 011–44–1331– BILLING CODE 4910–13–P Floor, Room W12–140, Washington, DC 242424, fax: 011–44–1332–249936, or 20590–0001. e-mail: http://www.rolls-royce.com/ FOR FURTHER INFORMATION CONTACT: contact/civil_team.jsp identifying the DEPARTMENT OF TRANSPORTATION Alan Strom, Aerospace Engineer, Engine correspondence as being related to Certification Office, FAA, Engine & Airworthiness Directives.’’ RR states Federal Aviation Administration Propeller Directorate, 12 New England that this should make sure that any Executive Park, Burlington, MA 01803; questions from operators of their 14 CFR Part 39 e-mail: [email protected]; phone: 781– engines and those from other parties are [Docket No. FAA–2010–0993; Directorate 238–7143; fax: 781–238–7199. directed to the area best equipped to Identifier 2010–NE–08–AD; Amendment 39– SUPPLEMENTARY INFORMATION: answer. 16849; AD 2011–22–07] We partially agree. We agree that Discussion RIN 2120–AA64 operators and maintenance providers We issued a notice of proposed need to get timely and accurate service Airworthiness Directives; Rolls-Royce rulemaking (NPRM) to amend 14 CFR information, and that additional plc RB211–524 Series, RB211–Trent part 39 to include an AD that would information is worth including. We 700 Series, and RB211–Trent 800 apply to the specified products. That changed paragraph (k) of the AD to state Series Turbofan Engines NPRM was published in the Federal ‘‘* * * contact Corporate Register on October 5, 2010 (75 FR Communications at Rolls-Royce plc PO AGENCY: Federal Aviation 61363). That NPRM proposed to correct Box 31, Derby, DE24 8BJ, United Administration (FAA), DOT. an unsafe condition for the specified Kingdom, Phone: 011–44–1331–242424, ACTION: Final rule. products. The MCAI states that: fax 011–44–1332–249936 or e-mail from Cracking has been found on the inner wall http://www.rolls-royce.com/contact/ SUMMARY: We are adopting a new civil_team.jsp identifying the airworthiness directive (AD) for the between intermediate dilution chutes on a total of five front combustion liners of the correspondence as being related to products listed above. This AD results standard corresponding to Rolls-Royce Airworthiness Directives.’’ from mandatory continuing RB211 Service Bulletin No. 72–D133. The We do not agree that operators or airworthiness information (MCAI) lives of two of these liners were confirmed maintenance providers should contact issued by an aviation authority of to be below the currently valid borescope RR for questions about this AD. We did another country to identify and correct inspection interval. Ultimately, crack not include that information in the AD. an unsafe condition on an aviation propagation could result in hot gas breakout product. The MCAI describes the unsafe with potential of downstream component Requests To Change References to the condition as: distress and multiple turbine blade release Service Bulletin That Is Incorporated beyond containment capabilities of the by Reference Cracking has been found on the inner wall engine casings. Thus, cracking of this nature between intermediate dilution chutes on a constitutes a potentially unsafe condition. Two commenters, American Airlines total of five front combustion liners of the Since Rolls-Royce Service Bulletin No. 72– (AA) and The Boeing Company standard corresponding to Rolls-Royce E902 introduces further developments of (Boeing), asked us to add ‘‘or later

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revision’’ after ‘‘Service Bulletin No. this AD to reflect six known cracking Part A, Subpart III, Section 44701: RB.211–72–AF458, Revision 2, dated events. General requirements.’’ Under that December 21, 2007.’’ Boeing stated the section, Congress charges the FAA with Request To Add a Grace Period for latest revision of Service Bulletin (SB) promoting safe flight of civil aircraft in Compliance No. RB.211–72–AF458 is Revision 4. air commerce by prescribing regulations Boeing stated that airlines have been One commenter, Boeing asked us to for practices, methods, and procedures inspecting their combustion liners to change paragraphs (f)(1)(i) and (f)(1)(iii) the Administrator finds necessary for Revision 4 of the SB and the compliance of the proposed AD to add ‘‘within 15 safety in air commerce. This regulation intervals specified in the NPRM are cycles of the date of issue of the AD’’ is within the scope of that authority consistent with RR SB RB.211–72– before the word ‘‘or.’’ Boeing states that because it addresses an unsafe condition AF458, Revision 4 and EASA AD 2009– adding the 15 cycle grace period will that is likely to exist or develop on 0243R1. AA stated the borescope give operators time to get back to base products identified in this rulemaking inspection is the same on later for the inspection. action. revisions, so the life should be counted We partially agree. No additional Regulatory Findings from the latest SB revision. grace period is required. This AD does We do not agree. On review of the SB, not require inspecting any engine earlier We determined that this AD will not we determined that the inspection than 250 cycles after the effective date have federalism implications under requirements and limits called out in of the AD. We clarified the wording of Executive Order 13132. This AD will the SB are already in the engine and paragraph (f) to make this clearer. not have a substantial direct effect on aircraft maintenance manuals. We Statement of the Possibility of Cost and the States, on the relationship between changed the AD to remove the Operational Impact Increasing the national government and the States, incorporation by reference of the SB. or on the distribution of power and One commenter, AA, asked us to One commenter, Federal Express, responsibilities among the various revise paragraph (f) of the AD to stated that cost and operational impact levels of government. specifically call out which paragraphs of could increase if certain RB211–535 For the reasons discussed above, I SB RB.211–72–AF458 are incorporated models are added to the applicability of certify this AD: by reference. AA stated the NPRM the proposed AD. The commenter 1. Is not a ‘‘significant regulatory called out all of section 3 of the SB, provided no reason for its statement. action’’ under Executive Order 12866, We agree. However, additional engine which is too prescriptive given the 2. Is not a ‘‘significant rule’’ under the models are not being added, and we are nature of the inspections. DOT Regulatory Policies and Procedures specifically excluding the RB211–535 We do not agree. On review of the SB, (44 FR 11034, February 26, 1979), we found incorporation by reference engine in response to another comment. We did not change the AD in response 3. Will not affect intrastate aviation in unnecessary. We changed the AD to Alaska, and remove the incorporation by reference to this comment. 4. Will not have a significant of the SB. Conclusion economic impact, positive or negative, Request To Remove an Engine Model We reviewed the available data, on a substantial number of small entities From the Applicability including the comments received, and under the criteria of the Regulatory One commenter, AA, asked us to determined that air safety and the Flexibility Act. remove the RR RB211–535 engine public interest require adopting the AD We prepared a regulatory evaluation model from the applicability of the with the changes described previously. of the estimated costs to comply with proposed AD. AA stated they have We determined that these changes will this AD and placed it in the AD docket. recorded no crack findings against the not increase the economic burden on Examining the AD Docket RB211–535 model. any operator or increase the scope of We agree. The thermal, acoustical, the AD. You may examine the AD docket on and vibratory stress environment of the the Internet at http:// Costs of Compliance RB211–535 combustion liner is different www.regulations.gov; or in person at the from that of the other engines to which Based on the service information, we Docket Operations office between 9 a.m. this AD applies. We removed the estimate that this AD will affect about and 5 p.m., Monday through Friday, RB211–535E4–37, RB211–535E4–B–37, 46 products of U.S. registry. We also except Federal holidays. The AD docket RB211–535E4–C–37, and RB211– estimate that it will take about 1.5 work- contains this AD, the regulatory 535E4–B–75 from the Applicability hours per product to comply with this evaluation, any comments received, and paragraph (c) of this AD, and updated AD. The average labor rate is $85 per other information. The street address for our cost estimate to reflect the fewer work-hour. No parts are required so the Docket Operations office (phone: affected engines. parts will cost $0 per product. Based on (800) 647–5527) is provided in the these figures, we estimate the cost of the ADDRESSES section. Comments will be Request To Change the Number of AD on U.S. operators to be $5,865. available in the AD docket shortly after Cracking Events receipt. One commenter, Boeing, asked us to Authority for This Rulemaking List of Subjects in 14 CFR Part 39 change paragraph (d) of the proposed Title 49 of the United States Code AD to specify that six cracking events specifies the FAA’s authority to issue Air transportation, Aircraft, Aviation have been found instead of five. Boeing rules on aviation safety. Subtitle I, safety, Incorporation by reference, states that changing paragraph (d) of the section 106, describes the authority of Safety. proposed AD will more accurately the FAA Administrator. ‘‘Subtitle VII: Adoption of the Amendment reflect the need for the inspections. Aviation Programs,’’ describes in more We agree. Although an additional detail the scope of the Agency’s Accordingly, under the authority cracking event has occurred, the AD was authority. delegated to me by the Administrator, prompted by the investigation of five We are issuing this rulemaking under the FAA amends 14 CFR part 39 as events. We changed paragraph (d) of the authority described in ‘‘Subtitle VII, follows:

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PART 39—AIRWORTHINESS Reason Initial Inspection DIRECTIVES (d) This AD results from: (f) Perform a borescope inspection of the Cracking has been found on the inner wall front combustion liner inner wall, before ■ 1. The authority citation for part 39 between intermediate dilution chutes on a accumulating the cyclic limits specified in continues to read as follows: total of five front combustion liners of the paragraphs (f)(2) and (f)(3) of this AD. Authority: 49 U.S.C. 106(g), 40113, 44701. standard corresponding to Rolls-Royce (1) If you incorporated paragraph 3.A.(2)(a) RB211 Service Bulletin No. 72–D133. The of RR Alert Service Bulletin (ASB) RB.211– § 39.13 [Amended] lives of two of these liners were confirmed 72–AF458, Revision 4, dated March 9, 2009, 2. The FAA amends § 39.13 by adding to be below the currently valid borescope inspection interval. Ultimately, crack or ASB RB.211–72–AF458, Revision 5, dated the following new AD: propagation could result in hot gas breakout April 20, 2011, you have satisfied the 2011–22–07 Rolls-Royce: Amendment 39– with potential of downstream component requirements of paragraph (f) of this AD. 16849. Docket No. FAA–2010–0993; distress and multiple turbine blade release (2) If the engine has a combustion liner Directorate Identifier 2010–NE–08–AD. beyond containment capabilities of the installed with: Effective Date engine casings. Thus, cracking of this nature (i) A LIFE on the effective date of this AD, constitutes a potentially unsafe condition. that is equal to or greater than the initial (a) This airworthiness directive (AD) Since Rolls-Royce Service Bulletin No. 72– inspection threshold specified in column (b) becomes effective November 29, 2011. E902 introduces further developments of of Table 1 of this AD or a LIFE on the Affected ADs Rolls-Royce RB211 Service Bulletin No. 72– effective date of this AD, that is not known, D133, engines incorporating Rolls-Royce (b) None. within 250 cycles after the effective date of RB211 Service Bulletin No. 72–E902 are also this AD, perform a borescope inspection as Applicability considered to be potentially affected and are therefore included in the applicability of this specified in paragraph (f) of this AD. (c) This AD applies to Rolls-Royce (RR) (ii) A LIFE on the effective date of this AD, turbofan engine models RB211–524G2–T–19, AD. that is less than the initial inspection RB211–524G3–T–19, RB211–524H2–T–19, Since EASA issued its AD, another RB211–524H–T–36, RB211–Trent 768–60, cracking event has occurred, bringing to six threshold specified in column (b) of Table 1 RB211–Trent 772–60, RB211–Trent 772B–60, the total of crack events of which we are of this AD, perform the borescope inspection RB211–Trent 875–17, RB211–Trent 877–17, aware. We are issuing this AD to detect before the LIFE exceeds the limit specified in RB211–Trent 884–17, RB211–Trent 884B–17, cracks in the front combustion liner, which column (c) of Table 1 of this AD. RB211–Trent 892–17, RB211–Trent 892B–17 could result in hot section distress, multiple and RB211–Trent 895–17 that incorporate RR blade release, and possible damage to the Repeat Inspection Service Bulletin (SB) RB.211–72–D133 or airplane. (3) Thereafter, repeat the borescope RB.211–72–E902. These engines are installed Actions and Compliance inspection specified in paragraph (f) of this on, but not limited to, Airbus A330 series AD at intervals not to exceed the cycles airplanes; Boeing 747–400 series, 767 series, (e) Unless already done, do the following specified in column (d) of Table 1 of this AD. and 777 series airplanes. actions.

TABLE 1—INITIAL INSPECTION THRESHOLDS AND LIMITS

Column (a) Column (b) Column (c) Column (d) Initial inspection limit if LIFE is less than Repeat inspection Engine model Initial inspectionthreshold the initial inspection interval threshold

(i) RB211–524G2–T–19, 524G3–T–19 and 524H2–T–19 ...... 1,150 cycles ...... 1,400 cycles ...... 1,400 cycles. (ii) RB211–524H–T–36 ...... 550 cycles ...... 800 cycles ...... 800 cycles. (iii) RB211–Trent 768–60, 772–60 and 772B–60 ...... 1,250 cycles ...... 1,500 cycles ...... 1,500 cycles. (iv) RB211–Trent 892–17, RB211–Trent 884–17, RB211–Trent 750 cycles ...... 1,000 cycles ...... 1,000 cycles. 884B–17, RB211–Trent 877–17, RB211–Trent 875–17, RB211–Trent 892B–17 and RB211–Trent 895–17 engines.

Definitions MCAI also allows use of later revisions of the information identified in this AD, contact (g) This AD defines LIFE as the lowest of: SBs. This AD does not. Corporate Communications at Rolls-Royce plc, PO Box 31, Derby, DE24 8BJ, United (1) The number of cycles-since-new of the Other FAA AD Provisions combustion liner, or Kingdom, phone: 011–44–1331–242424, fax: (2) The number of cycles-in-service (CIS) (i) Alternative Methods of Compliance 011–44–1332–249936, or e-mail: http:// since replacement of the inner wall, or (AMOCs): The Manager, Engine Certification www.rolls-royce.com/contact/civil_team.jsp Office, FAA, has the authority to approve (3) The number of CIS since the inner wall identifying the correspondence as related to AMOCs for this AD if requested using the of the combustion liner was last borescope- airworthiness directives. procedures found in 14 CFR 39.19. inspected, or inspected by performing (l) Contact Alan Strom, Aerospace paragraph 3.A.(2)(a) of RR ASB RB.211–72– Related Information Engineer, Engine Certification Office, FAA, AF458, Revision 4, dated March 9, 2009 or Engine & Propeller Directorate, 12 New ASB RB.211–72–AF458, Revision 5, dated (j) Refer to MCAI European Aviation Safety April 20, 2011. Agency Airworthiness Directive 2009– England Executive Park, Burlington, MA 0243R2, Corrected, dated February 22, 2011, 01803; e-mail: [email protected]; phone: FAA AD Differences for related information. 781–238–7143; fax: 781–238–7199, for more (h) This AD differs from the Mandatory (k) Rolls-Royce ASB RB.211–72–AF458, information about this AD. Continuing Airworthiness Information Revision 4, dated March 9, 2009, or ASB (MCAI) in that the MCAI AD applies to the RB.211–72–AF458, Revision 5, dated April Material Incorporated by Reference RB211–Trent 772C–60 engine, which is not 20, 2011, provide information on how to do (m) None. type certificated in the United States. The the actions required by this AD. For service

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Issued in Burlington, Massachusetts, on The Class E airspace areas are the Tatitlek Airport and represents the October 18, 2011. published in paragraphs 6002 and 6005, FAA’s continuing effort to safely and Peter A. White, respectively, of FAA Order 7400.9V, efficiently use the navigable airspace. Manager, Engine and Propeller Directorate, Airspace Designations and Reporting Aircraft Certification Service. Points, signed September 9, 2011, and List of Subjects in 14 CFR Part 71 [FR Doc. 2011–27513 Filed 10–24–11; 8:45 am] effective September 15, 2011, which is Airspace, Incorporation by reference, incorporated by reference in 14 CFR BILLING CODE 4910–13–P Navigation (air). 71.1. The Class E airspace designations listed in this document will be Adoption of the Amendment DEPARTMENT OF TRANSPORTATION published subsequently in the Order. With the exception of editorial changes, In consideration of the foregoing, the Federal Aviation Administration and the changes described above, this Federal Aviation Administration rule is the same as that proposed in the amends 14 CFR part 71 as follows: 14 CFR Part 71 NPRM. PART 71—DESIGNATION OF CLASS A, [Docket No. FAA–2011–0757; Airspace The Rule B, C, D, AND E AIRSPACE AREAS; AIR Docket No. 11–AAL–10] This action amends Title 14 Code of TRAFFIC SERVICE ROUTES; AND Establishment of Class E Airspace; Federal Regulations (14 CFR) part 71 by REPORTING POINTS Tatitlek, AK establishing Class E airspace at the Tatitlek Airport, Tatitlek, AK, to ■ 1. The authority citation for 14 CFR AGENCY: Federal Aviation accommodate the creation of a standard part 71 continues to read as follows: Administration (FAA), DOT. instrument approach procedure. The Authority: 49 U.S.C. 106(g), 40103, 40113, ACTION: Final rule. Class E airspace provides adequate controlled airspace extending upward 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– SUMMARY: This action establishes Class from 700 and 1,200 feet above the 1963 Comp., p. 389. E airspace at Tatitlek, AK, to surface that is necessary for the safety § 71.1 [Amended] accommodate the creation of one and management of IFR operations at standard instrument approach the airport. ■ 2. The incorporation by reference in procedure at the Tatitlek Airport. The The FAA has determined that this 14 CFR 71.1 of Federal Aviation FAA is taking this action to enhance regulation only involves an established Administration Order 7400.9V, safety and management of Instrument body of technical regulations for which Airspace Designations and Reporting Flight Rules (IFR) operations at the frequent and routine amendments are Points, signed September 9, 2011, and necessary to keep them operationally Tatitlek Airport. effective September 15, 2011, is current. It, therefore—(1) is not a DATES: Effective 0901 UTC, December amended as follows: 15, 2011. The Director of the Federal ‘‘significant regulatory action’’ under Register approves this incorporation by Executive Order 12866; (2) is not a Paragraph 6005 Class E airspace extending reference action under title 1, Code of ‘‘significant rule’’ under DOT upward from 700 feet or more above the Federal Regulations, part 51, subject to Regulatory Policies and Procedures surface of the earth. (44 FR 11034; February 26, 1979); and the annual revision of FAA Order * * * * * 7400.9 and publication of conforming (3) does not warrant preparation of a amendments. regulatory evaluation as the anticipated AAL AK E5 Tatitlek, AK [Added] impact is so minimal. Because this is a FOR FURTHER INFORMATION CONTACT: Tatitlek Airport, AK routine matter that will only affect air (Lat. 60°52′21″ N., long. 146°41′28″ W.) Martha Dunn, AAL–538G, Federal traffic procedures and air navigation, it Aviation Administration, 222 West 7th is certified that this rule will not have That airspace extending upward from 700 feet above the surface within a 6.4-mile Avenue, Box 14, Anchorage, AK 99513– a significant economic impact on a radius of the Tatitlek Airport, AK and within 7587; telephone number (907) 271– substantial number of small entities 2 miles southwest and 3.4 miles northeast of 5898; fax: (907) 271–2850; e-mail: under the criteria of the Regulatory the 149° radial from the Tatitlek Airport, AK [email protected]. Internet Flexibility Act. extending from the 6.4-mile radius to 11.8 address: http://www.faa.gov/about/ The FAA’s authority to issue rules miles southeast of the Tatitlek Airport, AK office_org/headquarters_offices/ato/ regarding aviation safety is found in and that airspace extending upward from service_units/systemops/fs/alaskan/ Title 49 of the United States Code. 1,200 feet above the surface within a 60-mile rulemaking/. Subtitle 1, Section 106 describes the radius of the Tatitlek Airport, AK. SUPPLEMENTARY INFORMATION: authority of the FAA Administrator. Subtitle VII, Aviation Programs, Issued in Anchorage, AK, on October 14, History describes in more detail the scope of the 2011. On Wednesday, August 10, 2011, the agency’s authority. Marshall G. Severson, FAA published a notice of proposed This rulemaking is promulgated Acting Manager, Alaska Flight Services. rulemaking (NPRM) in the Federal under the authority described in [FR Doc. 2011–27368 Filed 10–24–11; 8:45 am] Register to establish Class E airspace at Subtitle VII, Part A, Subpart 1, Section Tatitlek, AK (76 FR 49388). 40103, Sovereignty and use of airspace. BILLING CODE 4910–13–P Interested parties were invited to Under that section, the FAA is charged participate in this rulemaking with prescribing regulations to ensure proceeding by submitting written the safe and efficient use of the comments on the proposal to the FAA. navigable airspace. This regulation is A comment was received that the within the scope of that authority coordinates for the Tatitlek Airport were because it establishes Class E airspace incorrect. That error is corrected in this sufficient in size to contain aircraft action. executing the instrument procedure at

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DEPARTMENT OF TRANSPORTATION lead to confusion because the letters at the landing zone when they are look too similar. The FAA understands operating in Area J. Federal Aviation Administration the potential misidentification issue; One commenter questioned the however, the letters are used only for usefulness of the 7,000-foot Class B 14 CFR Part 71 rulemaking purposes to identify the ceilings in the southwest and southeast sections compared to those in the Docket No. FAA–2011–0232; Airspace various subareas of the Class B airspace. Docket No. 11–AWA–3 The letters are not published on the northern part of the Class B airspace Sectional or Terminal Area Chart where pilots can transition the area RIN 2120–AA66 depictions, so this should not result in above the Class B from multiple pilot confusion. directions. The commenter further Modification of Class B Airspace; stated that there is no reason for the Seattle, WA One commenter said the method of defining the lateral boundaries using varied ceilings on the south end because AGENCY: Federal Aviation DME from a central VOR (SEA) should these areas abut Class B areas with a Administration (FAA), DOT. be used to define the new Class B 10,000-foot ceiling. Over fifty percent of the inbound IFR ACTION: Final rule. boundaries instead of using latitude/ longitude fixes to allow DME-equipped traffic to Seattle-Tacoma International SUMMARY: This action modifies Seattle, aircraft to find the boundary more Airport comes from the south. WA Class B airspace to ensure the easily. The Class B description in this Considering the FAA requirement to containment of large turbine-powered rule uses both methods. Initially, the contain turbine-powered aircraft within aircraft operating to and from the FAA considered using radials and DME Class B airspace and due to high terrain, Seattle-Tacoma International Airport. to define the airspace, but that method there was less flexibility in the airspace The FAA is taking this action to would have resulted in the designation design on the south side as compared to enhance safety, improve the flow of air of more Class B airspace than necessary the north side. The FAA decided that traffic, and reduce the potential for to contain Seattle-Tacoma International Class B airspace was not needed above midair collision in the Seattle, WA Airport traffic. Therefore, the primary 7,000 feet MSL in the southwest and terminal area. description method uses geographic southeast sections based on the arrival DATES: Effective Date: 0901 UTC, coordinates (latitude and longitude). and departure profiles, hence the lower December 15, 2011. The Director of the Wherever possible, however, the ceiling in those areas. Another commenter suggested that Federal Register approves this airspace corners, intersections and more the upper limit of the Seattle Class B incorporation by reference action under central, lower altitude sections are airspace be lowered from 10,000 feet 1 CFR part 51, subject to the annual described with a combination of MSL to 8,000 feet MSL to allow general revision of FAA Order 7400.9 and latitude/longitude and radial/DME. aviation easier access across the publication of conforming amendments. Four commenters suggested changes airspace. FOR FURTHER INFORMATION CONTACT: Paul to accommodate paragliding and hang This Class B airspace area Gallant, Airspace, Regulations, and ATC gliding operations at Tiger Mountain. modification was initiated to ensure the Procedures Group, Office of Airspace The changes included raising the floor containment of large turbine-powered Services, Federal Aviation of Area J from the proposed 5,000 feet aircraft within Class B airspace. It was Administration, 800 Independence mean sea level (MSL) to 6,000 feet MSL, determined that an 8,000-foot ceiling Avenue, SW., Washington, DC 20591; revising the northeast corner of Area J would not contain those aircraft as telephone: (202) 267–8783. to expand the 6,000-foot area to cover required by FAA directives. This rule, SUPPLEMENTARY INFORMATION: most of the flight activity, or creating a however, does establish dual ceilings of cutout for the paragliding and hang History 10,000 feet MSL and 7,000 feet MSL for gliding operations. Another suggestion different sections of the Seattle Class B On June 17, 2011, the FAA published was made to incorporate a soaring airspace. While there are other Class B in the Federal Register a notice of cylinder with a 3-nautical mile (NM) locations with ceilings lower than proposed rulemaking (NPRM) to modify radius, up to 6,000 feet MSL to 10,000 feet MSL, each Class B design is the Seattle, WA Class B airspace area accommodate current flight activities. individually tailored to meet local (76 FR 35363). Interested parties were The FAA considered these suggestions requirements including, but not limited invited to participate in this rulemaking but chose not to adopt them because to, terrain, traffic volume, IFR effort by submitting written comments raising the Class B floor to 6,000 feet procedures serving the primary airport, on the proposal. Fourteen written MSL, or creating a cutout or cylinder, existing traffic flows through the area, comments were received in response to would impact the downwind leg for etc. the NPRM. One comment did not arrival traffic into Seattle-Tacoma One commenter contended that a pertain to the Seattle Class B proposal, International Airport as well as 3,149-foot MSL obstacle, located 1.5 NM addressing instead a Los Angeles, CA eastbound departure traffic flows from east of the gliding area, makes the 5,000- airspace issue. The Los Angeles, CA Seattle. This would result in difficulty foot MSL airspace floor unnecessary in airspace comment was forwarded to the containing arriving and departing that vicinity. appropriate office for review. All other aircraft within Class B airspace. The obstacle in question lies beneath comments received were considered Containment of turbine-powered aircraft Area M where the floor of Class B before making a determination on the within Class B airspace is required by airspace is 6,000 feet MSL. Therefore, final rule. FAA directives and is a prime safety the obstacle is not a factor. consideration. Additionally, the Tiger Discussion of Comments Mountain launch site is in close Differences From the NPRM Six commenters supported the proximity to Area M where the Class B Editorial corrections have been made proposed Class B airspace changes. floor remains at 6,000 feet MSL. to the wording of the Seattle Class B One commenter wrote that the use of Paragliders should either be at a low airspace description for standardization. letters such as ‘‘O’’ and ‘‘Q’’ to identify level just climbing off the launch site or These corrections include adding ‘‘lat.’’ sections in the Class B description could be in a descending configuration to land and ‘‘long.’’ before all geographic

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coordinates, adding the words Area K. New area with a floor of 5,000 Regulatory Evaluation Summary ‘‘bounded by a line beginning at * * *’’ feet. Changes to Federal regulations must where appropriate, and replacing the Area L. Area narrowed and described undergo several economic analyses. word ‘‘clockwise’’ with a direction with straight lines instead of curved First, Executive Order 12866 and (such as, ‘‘thence east to * * *’’) where lines. Executive Order 13563 directs that each an arc is not referenced. These Area M. Area expanded slightly on corrections are to standardize the format Federal agency shall propose or adopt a the northeast and southeast corners and regulation only upon a reasoned only. Also, in the NPRM description of described with straight lines instead of Area E, a typographical error that listed determination that the benefits of the curved lines. intended regulation justify its costs. the ‘‘40-mile’’ arc of the SEA VORTAC Area N. New area floor is raised from is corrected to read the ‘‘4-mile’’ arc. Second, the Regulatory Flexibility Act 3,000 feet to 4,000 feet in part of area, of 1980 (Pub. L. 96–354) requires Radials listed in this rule are stated in and lowered from 5,000 feet to 4,000 degrees relative to True North. With the agencies to analyze the economic feet in part of area. Boundary described impact of regulatory changes on small exception of the above noted changes by straight lines. and minor editorial corrections, this entities. Third, the Trade Agreements Area O. Area is considerably smaller. rule is the same as that published in the Act (Pub. L. 96–39) prohibits agencies Floor is lowered from 6,000 feet to 5,000 NPRM. from setting standards that create feet in part of area, and raised from unnecessary obstacles to the foreign The Rule 3,000 feet to 5,000 feet in part of area. commerce of the United States. In The FAA is amending 14 CFR part 71 Ceiling is lowered from 10,000 feet to developing U.S. standards, the Trade to modify the Seattle, WA, Class B 7,000 feet. Act requires agencies to consider airspace area. This action (depicted on Area P. Area is considerably smaller. international standards and, where the attached chart) reduces the overall Floor is lowered from 6,000 feet to 5,000 appropriate, that they be the basis of size of the Seattle Class B airspace by feet in part of area and raised from 3,000 U.S. standards. Fourth, the Unfunded approximately 194 square miles and feet to 5,000 feet in part of area. Ceiling Mandates Reform Act of 1995 (Pub. L. incorporates two different ceiling is lowered from 10,000 feet to 7,000 feet. 104–4) requires agencies to prepare a altitudes. The rule expands the eastern Area Q. Area is reshaped with straight written assessment of the costs, benefits, Class B boundary to ensure containment lines instead of curved lines. Floor is and other effects of proposed or final of turbojet aircraft, but eliminates lowered from 6,000 feet and 8,000 feet rules that include a Federal mandate unnecessary outer (arrival route) wings to 5,000 feet. Ceiling is lowered from likely to result in the expenditure by that currently extend to 30 NM. Where 10,000 feet to 7,000 feet. State, local, or tribal governments, in the possible, certain Class B boundaries are Area R. Size of area is significantly aggregate, or by the private sector, of aligned with existing VORTAC and reduced and described by straight lines $100 million or more annually (adjusted geographical features resulting in instead of curved lines. for inflation with base year of 1995). improved boundary definition. The Area S. Area is reshaped with straight This portion of the preamble following are the revisions for section of lines instead of curved lines. summarizes the FAA’s analysis of the the Seattle Class B airspace area: Area T. Area is reshaped with straight economic impacts of this rule. Area A. 2 NM arc northeast of Seattle- lines instead of curved lines and the Department of Transportation Order Tacoma International Airport is ceiling is lowered from 10,000 feet to DOT 2100.5 prescribes policies and straightened and realigned with the 7,000 feet. procedures for simplification, analysis, border of the Renton Class D airspace The above changes ensure the and review of regulations. If the area. The area just south of SEA containment of large turbine-powerd expected cost impact is so minimal that VORTAC is moved slightly to the west aircraft within Class B airspace as a proposed or final rule does not to better contain arrivals to Seattle- required by FAA directives. warrant a full evaluation, this order Tacoma International Airport runway permits that a statement to that effect 34L and departures from runway 16R. Environmental Review and the basis for it be included in the Area B. No change. preamble if a full regulatory evaluation Area C. Southeast corner is moved to The FAA has determined that this action qualifies for categorical exclusion of the cost and benefits is not prepared. the west, and floor of airspace is raised Such a determination has been made for from 1,600 feet to 1,800 feet. under the National Environmental Policy Act in accordance with FAA this rule. The reasoning for this Area D. No change. determination follows. Area E. Southeast border of airspace Order 1050.1E, ‘‘Environmental is moved slightly to the west. Impacts: Policies and Procedures,’’ After consultation with a diverse Area F. No change. paragraph 311a. This airspace action is cross-section of stakeholders that Area G. 2 NM arc northeast of Seattle- not expected to cause any potentially participated in the Ad Hoc Committee Tacoma International Airport is significant environmental impacts, and to develop the recommendations straightened and realigned with the no extraordinary circumstances exist contained in the proposed rule, and a border of the Renton Class D airspace that warrant preparation of an review of the recommendations and area. environmental assessment. comments, the FAA expects that this rule will result in minimal cost. This Area H. Entire airspace is moved east Paperwork Reduction Act slightly. Northern and southern rule will enhance safety by containing boundaries are depicted as angles The Paperwork Reduction Act of 1995 all instrument approach procedures, instead of curves. (44 U.S.C. 3507(d)) requires that the and associated traffic patterns, within Area I. Floor is lowered to 4,000 feet FAA consider the impact of paperwork the confines of Class B airspace and and the area is narrowed and described and other information collection better segregate IFR aircraft arriving/ with straight lines instead of curved burdens imposed on the public. We departing Seattle-Tacoma International lines. have determined that there is no new Airport and VFR aircraft operating in Area J. New area joins existing areas information collection requirement the vicinity of the Seattle Class B that have floors of 5,000 feet. associated with this final rule. airspace.

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This rule will enhance safety, reduce landing zone (inside area J) and go east The Amendment the potential for a midair collision in where they can climb and maneuver In consideration of the foregoing, the the Seattle area and would improve the outside of the Class B airspace. Area J’s Federal Aviation Administration flow of air traffic. As such, we estimate new floor would be reduced from 6,000 amends 14 CFR part 71 as follows: a minimal impact with substantial feet to 5,000 feet. By reducing the floor positive net benefits. The FAA has, to 5,000 feet, the FAA can safely contain PART 71—DESIGNATION OF CLASS A, therefore, determined that this rule is aircraft in Class B airspace. A currently B, C, D, AND E AIRSPACE AREAS; AIR not a ‘‘significant regulatory action’’ as active pilot outreach program will be TRAFFIC SERVICE ROUTES; AND defined in section 3(f) of Executive used to educate pilots on the types of REPORTING POINTS Order 12866, and is not ‘‘significant’’ as operations that may be encountered in defined in DOT’s Regulatory Policies ■ 1. The authority citation for part 71 Areas in J and M. and Procedures. continues to read as follows: Therefore, the FAA Administrator Regulatory Flexibility Determination Authority: 49 U.S.C. 106(g), 40103, 40113, certifies that this final rule will not have 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– The Regulatory Flexibility Act of 1980 a significant economic impact on a 1963 Comp., p.389. (Pub. L. 96–354) (RFA) establishes ‘‘as a substantial number of small entities. principle of regulatory issuance that § 71.1 [Amended] agencies shall endeavor, consistent with International Trade Impact Assessment ■ 2. The incorporation by reference in the objectives of the rule and of 14 CFR 71.1 of the Federal Aviation The Trade Agreements Act of 1979 applicable statutes, to fit regulatory and Administration Order 7400.9V, Airspace informational requirements to the scale (Pub. L. 96–39), as amended by the Designations and Reporting Points, of the businesses, organizations, and Uruguay Round Agreements Act (Pub. dated August 9, 2011, and effective governmental jurisdictions subject to L. 103–465), prohibits Federal agencies September 15, 2011, is amended as regulation. To achieve this principle, from establishing standards or engaging follows: agencies are required to solicit and in related activities that create consider flexible regulatory proposals unnecessary obstacles to the foreign Paragraph 3000 Subpart B—class B and to explain the rationale for their commerce of the United States. airspace. actions to assure that such proposals are Pursuant to these Acts, the * * * * * given serious consideration.’’ The RFA establishment of standards is not ANM WA B Seattle, WA [Revised] covers a wide-range of small entities, considered an unnecessary obstacle to Seattle-Tacoma International Airport including small businesses, not-for- the foreign commerce of the United (Primary Airport) profit organizations, and small States, so long as the standard has a (Lat. 47°27′00″ N., Long. 122°18′42″ W.) governmental jurisdictions. legitimate domestic objective, such as Seattle VORTAC (SEA) Agencies must perform a review to the protection of safety, and does not (Lat. 47°26′07″ N., Long. 122°18′35″ W.) determine whether a rule will have a operate in a manner that excludes significant economic impact on a Boundaries imports that meet this objective. The Area A. That airspace extending upward substantial number of small entities. If statute also requires consideration of the agency determines that it will, the from the surface to and including 10,000 feet international standards and, where agency must prepare a regulatory MSL within an area bounded by a line appropriate, that they be the basis for beginning at the SEA 007° radial at 3.6 DME, flexibility analysis as described in the thence to the SEA 007° radial at 4 DME, RFA. U.S. standards. The FAA has assessed the effect of this final rule and thence counterclockwise along the 4-mile arc However, if an agency determines that of the SEA VORTAC to the intersection of the a rule is not expected to have a determined that it will enhance safety SEA 326° radial at the Puget Sound significant economic impact on a and is not considered an unnecessary shoreline, thence south along the Puget substantial number of small entities, obstacle to trade. Sound shoreline to the 2-mile arc of the SEA section 605(b) of the RFA provides that VORTAC, thence counterclockwise along the Unfunded Mandates Assessment 2-mile arc of the SEA VORTAC to the SEA the head of the agency may so certify ° ° and a regulatory flexibility analysis is 202 radial, thence south to the SEA 197 Title II of the Unfunded Mandates radial at 4 DME, thence south to the SEA not required. The certification must Reform Act of 1995 (Pub. L. 104–4) 192° radial at 6 DME, thence include a statement providing the requires each Federal agency to prepare counterclockwise along the 6-mile arc of the factual basis for this determination, and a written statement assessing the effects SEA VORTAC to the SEA 163° radial, thence the reasoning should be clear. of any Federal mandate in a proposed or north to the SEA 159° radial at 4 DME, ° The FAA believes the rule will not final agency rule that may result in an thence north to the SEA 146 radial at 2 DME, thence counterclockwise along the 2- have a significant economic impact on expenditure of $100 million or more (in a substantial number of small entities as mile arc of SEA VORTAC to the SEA 069° 1995 dollars) in any one year by State, radial to the point of beginning. the economic impact is expected to be local, and tribal governments, in the minimal. The FAA received comments Area B. That airspace extending upward aggregate, or by the private sector; such from 1,100 feet MSL to and including 10,000 indicating the rule could have a a mandate is deemed to be a ‘‘significant feet MSL within an area bounded by a line significant impact on a substantial ° regulatory action.’’ The FAA currently beginning at the SEA 007 radial at 4 DME, number of small entities but the FAA ° uses an inflation-adjusted value of thence north along the SEA 007 radial to the believes the rule will accommodate 6-mile arc of the SEA VORTAC, thence these operators and not impose costs. $143.1 million in lieu of $100 million. counterclockwise along the 6-mile arc of the The areas of interest for paragliding/ This final rule does not contain such a SEA VORTAC to the SEA 342° radial, thence ° hang gliding are the landing zone which mandate; therefore, the requirements of south along the SEA 342 radial to the 4-mile 3 Title II of the Act do not apply. arc of the SEA VORTAC, thence clockwise is 4 ⁄ of a mile inside area J and the along the 4-mile arc of the SEA VORTAC to launch site which is 2 miles inside area List of Subjects in 14 CFR Part 71 the point of beginning. M. The new rule would allow general Area C. That airspace extending upward aviation pilots to miss the paragliders Airspace, Incorporation by reference, from 1,800 feet MSL to and including 10,000 launch site (inside area M) and their Navigation (air). feet MSL within an area bounded by a line

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beginning at the SEA 192° radial at 6 DME, beginning at lat. 47°48′13″ N., long. 122° 122°42′45″ W. (SEA 246° radial at 18NM), thence south along the SEA 192° radial to the 27′59″ W., (SEA 344° radial at 23NM), thence thence southeast to lat. 47°16′09″ N., long. 12-mile arc of the SEA VORTAC, thence east to lat. 47°47′59″ N., long. 122°08′02″ W. 122°36′01″ W. (SEA 230° radial at 15.5NM), counterclockwise along the 12-mile arc of the (SEA 018° radial at 23NM), thence south to thence southeast to lat. 47°13′24″ N., long. SEA VORTAC to the SEA 166° radial, thence lat. 47°44′31″ N., long. 122°07′00″ W., (SEA 122°30′14″ W. (SEA 212° radial at 15NM), north to the SEA 163° radial at 8 DME, 023° radial at 20NM), thence west to lat. thence south to lat. 47°09′13″ N., long. thence north to the SEA 163° radial at 6 47°44′39″ N., long. 122°29′41″ W. (SEA 338° 122°27′36″ W. (SEA 200° radial at 18NM), DME, thence clockwise along the 6-mile arc radial at 20NM) to the point of beginning. thence south to lat. 47°06′20″ N., long. of the SEA VORTAC to the point of Area J. That airspace extending upward 122°26′21″ W. (SEA 195° radial at 20.5NM), beginning. from 5,000 feet MSL to and including 10,000 thence southwest to lat. 47°02′35″ N., long. Area D. That airspace extending upward feet MSL within an area bounded by a line 122°30′26″ W. (SEA 199° radial at 24.9NM), from 1,800 feet MSL to and including 10,000 beginning at lat. 47°39′31″ N., long. thence northwest to lat. 47°10′55″ N., long. feet MSL within an area bounded by a line 122°05′41″ W., (SEA 033° radial at 16NM), 122°40′04″ W. (SEA 224° radial at 21.1NM) beginning at the SEA 007° radial at 6 DME, thence southeast to lat. 47°37′49″ N., long. to the point of beginning. thence counterclockwise along the 6-mile arc 121°59′59″ W., (SEA 047° radial at 17.2NM), Area P. That airspace extending upward of the SEA VORTAC to the SEA 342° radial, thence south to lat. 47°17′36″ N., long. from 5,000 feet MSL to and including 7,000 thence northwest along the SEA 342° radial 122°00′04″ W., (SEA 124° radial at 15.2NM), feet MSL within an area bounded by a line to the 12-mile arc of the SEA VORTAC, thence west to lat. 47°17′38″ N., long. beginning at lat. 47°17′38″ N., long. thence clockwise along the 12-mile arc of the 122°06′07″ W., (SEA 135° radial at 12NM) to 122°06′07″ W. (SEA 135° radial at 12NM), SEA VORTAC to the SEA 007° radial, thence the point of beginning. thence east to lat. 47°17′36″ N., long. south along the SEA 007° radial to the point Area K. That airspace extending upward 122°00′04″ W. (SEA 124° radial at 15.2NM), of beginning. from 5,000 feet MSL to and including 10,000 thence east to lat. 47°17′28″ N., long. Area E. That airspace extending upward feet MSL within an area bounded by a line 121°55′42″ W. (SEA 119° radial at 17.8NM), from 2,000 feet MSL to and including 10,000 beginning at lat. 47°38′53″ N., long. thence southwest to lat. 47°14′03″ N., long. feet MSL within an area bounded by a line 122°36′14″ W., (SEA 317° radial at 17.5NM), 121°58′57″ W. (SEA 132°degree radial at beginning at the SEA 197° radial at 4DME, thence northeast to lat. 47°42′25″ N., long. 18NM), thence south to lat. 47°11′46″ N., thence clockwise along the 4-mile arc of the 122°29′50″ W. (SEA 335° radial at 18NM), long. 121°58′59″ W. (SEA 137° radial at SEA VORTAC to the SEA 326° radial, thence thence south to lat 47°13′24″ N., long. 19.6NM), thence southwest to lat. 47°02′38″ south along the Puget Sound shoreline to the 122°30′14″ W. (SEA 212° radial at 15NM), N., long. 122°06′04″ W. (SEA 160° radial at 2-mile arc of the SEA VORTAC, thence thence north to lat. 47°16′09″ N., long. 25NM), thence northwest to lat. 47°06′16″ N., counterclockwise along the 2-mile arc of the 122°36′01″ W. (SEA 230° radial at 15.5NM) long. 122°08′34″ W. (SEA 161° radial at SEA VORTAC to the SEA 202° radial to the to the point of beginning. 21NM), thence north to lat. 47°09′17″ N., point of beginning. Area L. That airspace extending upward long. 122°08′06″ W. (SEA 157° degree radial Area F. That airspace extending upward from 6,000 feet MSL to and including 10,000 at 18.3NM) to the point to beginning. from 2,000 feet MSL to and including 10,000 feet MSL within an area bounded by a line Area Q. That airspace extending upward feet MSL within an area bounded by a line beginning at lat. 47°39′00″ N., long. from 5,000 feet MSL to and including 7,000 beginning at the SEA 342° radial at 4 DME, 122°43′03″ W. (SEA 308° radial at 21NM), feet MSL within an area bounded by a line thence north along the SEA 342° radial to the thence east to lat. 47°38′53″ N., long. beginning at lat. 47°51′15″ N., long. Puget Sound shoreline, thence south along 122°36′14″ W. (SEA 317° radial at 17.5NM), 122°30′00″ W. (SEA 343° radial at 26.3NM), the Puget Sound shoreline to the SEA 326° thence south to lat. 47°16′09″ N., long. thence east to lat. 47°51′09″ N., long. radial at 4 DME, thence clockwise along the 122°36′01″ W. (SEA 230° radial at 15.5NM), 122°05′46″ W. (SEA 019° radial at 26.5NM), 4-mile arc of SEA VORTAC to the point of thence northwest to lat. 47°18′46″ N., long./ thence southeast to lat. 47°41′54″ N., long. beginning. 122°42′45″ W. (SEA 246° radial at 18NM) to 121°55′57″ W. (SEA 044° radial at 22NM), Area G. That airspace extending upward the point of beginning. thence south to lat. 47°36′45″ N., long from 2,000 feet MSL to and including 10,000 Area M. That airspace extending upward 121°56′03″ W. (SEA 055° radial at 18.6NM), feet MSL within an area bounded by a line from 6,000 feet MSL to and including 10,000 thence northwest to lat. 47°37′49″ N., long. beginning at the SEA 007° radial at 3.6 DME, feet MSL within an area bounded by a line 121°59′59″ W. (SEA 047° radial at 17.2NM), thence north along the SEA 007° radial to the beginning at lat. 47°37′49″ N., long. thence northwest to lat. 47°39′31″ N., long. 12-mile arc of the SEA VORTAC, thence 121°59′59″ W. (SEA 047° radial at 17.2NM), 122°05′41″ W. (SEA 033° radial at 16NM), clockwise along the 12-mile arc of the SEA thence east to lat. 47°36′45″ N., long. thence north to lat. 47°44′31″ N., long. VORTAC to the SEA 022° radial, thence 121°56′03″ W. (SEA 055° radial at 18.6NM), 122°07′00″ W. (SEA 023° radial at 20NM), south along the 022° radial to the 4-mile arc thence east to lat. 47°35′39″ N., long. thence north to lat. 47°47′59″ N., long. of the SEA VORTAC, thence clockwise along 121°51′58″ W. (SEA 062° radial at 20.4NM), 122°08′02″ W. (SEA 018° radial at 23NM) the 4-mile arc of the SEA VORTAC to the thence south to lat. 47°18′18″ N., long. thence west to lat. 47°48′13″ N., long. SEA 159° radial, thence north to the SEA 121°51′40″ W. (SEA 113° radial at 19.9NM), 122°27′59″ W. (SEA 344° radial at 23NM), 146° radial at 2 DME, thence thence southwest to lat. 47°17′28″ N., long. thence south to lat. 47°44′39″ N., long. counterclockwise along the 2-mile arc of the 121°55′42″ W. (SEA 119° radial at 17.8NM), 122°29′41″ W. (SEA 338° radial at 20NM), SEA VORTAC to the SEA 069° radial to the thence west to lat. 47°17′36″ N., long. thence south to lat. 47°42′25″ N., long. point of beginning. 122°00′04″ W. (SEA 124° radial at 15.2NM) 122°29′50″ W. (SEA 335° radial at 18NM), Area H. That airspace extending upward to the point of beginning. thence southwest to lat. 47°38′53″ N., long. from 3,000 feet MSL to and including 10,000 Area N. That airspace extending upward 122°36′14″ W. (SEA 317° radial at 17.5NM), feet MSL within an area bounded by a line from 4,000 feet MSL to and including 10,000 thence west to lat. 47°39′00″ N., long. beginning at the SEA 338° radial at 20 DME, feet MSL within an area bounded by a line 122°43′03″ W. (SEA 308° radial at 21NM) to thence east to the SEA 023° radial at 20 DME, beginning at lat. 47°09′13″ N., long. the point of beginning. thence southeast to the SEA 033° radial at 16 122°27′36″ W. (SEA 200° radial at 18NM), Area R. That airspace extending upward DME, thence south to the SEA 135° radial at thence east to lat. 47°09′17″ N., long. from 6,000 feet MSL to and including 7,000 12 DME, thence southwest to the SEA 157° 122°08′06″ W. (SEA 157° radial at 18.3NM), feet MSL within an area bounded by a line radial at 18.3 DME, thence west to the SEA thence south to lat. 47′06″ 16′N., long. beginning at lat. 47°55′27″ N., long. 200° radial at 18 DME, thence northwest to 122°08′34″ W. (SEA 161° radial at 21NM), 122°27′04″ W., (SEA 349° radial 29.9NM), the SEA 212° radial at 15 DME, thence north thence west to lat. 47°06′20″ N., long. thence east to lat. 47°55′31″ N., long. to the SEA 335° radial at 18 DME to the point 122°26′21″ W. (SEA 195° radial at 20.5NM) 122°08′29″ W., (SEA 013° radial at 30.2NM), of beginning, excluding that airspace in the to the point of beginning. thence southeast to lat. 47°51′09″ N., long. areas A through G. Area O. That airspace extending upward 122°05′46″ W., (SEA 019° radial at 26.5NM), Area I. That airspace extending upward from 5,000 feet MSL to and including 7,000 thence west to lat. 47°51′15″ N., long. from 4,000 feet MSL to and including 10,000 feet MSL within an area bounded by a line 122°30′00″ W., (SEA 343° radial at 26.3NM) feet MSL within an area bounded by a line beginning at lat. 47°18′46″ N., long. to the point of beginning.

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Area S. That airspace extending upward 122°30′26″ W. (SEA 199° radial at 24.9NM) thence west to lat. 46°57′05″ N., long. from 5,000 feet MSL to and including 10,000 to the point of beginning. 122°27′35″ W. (SEA 192° radial at 29.7NM), feet MSL within an area bounded by a line Area T. That airspace extending upward to the point of beginning. beginning at lat. 47°06′20″ N., long. from 6,000 feet MSL to and including 7,000 feet MSL within an area bounded by a line Issued in Washington, DC, on October 17, 122°26′21″ W., (SEA 195° radial at 20.5NM), beginning at lat. 47°02′35″ N., long. 2011. thence east to lat. 47°06′16″ N., long. ° ′ ″ ° ° ′ ″ ° 122 30 26 W. (SEA 199 radial at 24.9NM), Gary A. Norek, 122 08 34 W., (SEA 161 radial at 21NM), thence east to lat. 47°02′38″ N., long. thence southeast to lat. 47°02′38″ N., long. 122°06′04″ W., (SEA 160° radial at 25NM), Acting Manager, Airspace, Regulations and 122°06′04″ W., (SEA 160° radial at 25NM), thence southwest to lat. 46°57′13″ N., long. ATC Procedures Group. thence west to lat. 47°02′35″ N., long. 122°08′03″ W., (SEA 166° radial at 29.8NM), BILLING CODE 4910–13–P

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[FR Doc. 2011–27367 Filed 10–24–11; 8:45 am] federal_register/ contained for each SIAP as modified by BILLING CODE 4910–13–C code_of_federal_regulations/ FDC/P–NOTAMs. ibr_locations.html. The SIAPs, as modified by FDC Availability—All SIAPs are available P–NOTAM, and contained in this DEPARTMENT OF TRANSPORTATION online free of charge. Visit nfdc.faa.gov amendment are based on the criteria to register. Additionally, individual contained in the U.S. Standard for Federal Aviation Administration SIAP and Takeoff Minimums and ODP Terminal Instrument Procedures copies may be obtained from: (TERPS). In developing these changes to 14 CFR Part 97 1. FAA Public Inquiry Center (APA– SIAPs, the TERPS criteria were applied [Docket No. 30809; Amdt. No. 3449] 200), FAA Headquarters Building, 800 only to specific conditions existing at Independence Avenue, SW., the affected airports. All SIAP Standard Instrument Approach Washington, DC 20591; or amendments in this rule have been Procedures, and Takeoff Minimums 2. The FAA Regional Office of the previously issued by the FAA in a FDC and Obstacle Departure Procedures; region in which the affected airport is NOTAM as an emergency action of Miscellaneous Amendments located. immediate flight safety relating directly to published aeronautical charts. The AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: circumstances which created the need Administration (FAA), DOT. Richard A. Dunham III, Flight Procedure for all these SIAP amendments requires ACTION: Final rule. Standards Branch (AFS–420) Flight making them effective in less than Technologies and Programs Division, 30 days. SUMMARY: This rule establishes, amends, Flight Standards Service, Federal Because of the close and immediate suspends, or revokes Standard Aviation Administration, Mike relationship between these SIAPs and Instrument Approach Procedures Monroney Aeronautical Center, 6500 safety in air commerce, I find that notice (SIAPs) and associated Takeoff South MacArthur Blvd., Oklahoma City, and public procedure before adopting Minimums and Obstacle Departure OK 73169 (Mail Address: P.O. Box these SIAPs are impracticable and Procedures for operations at certain 25082, Oklahoma City, OK 73125) contrary to the public interest and, airports. These regulatory actions are telephone: (405) 954–4164. where applicable, that good cause exists needed because of the adoption of new SUPPLEMENTARY INFORMATION: This rule for making these SIAPs effective in less or revised criteria, or because of changes amends Title 14, Code of Federal than 30 days. occurring in the National Airspace Regulations, Part 97 (14 CFR part 97) by System, such as the commissioning of Conclusion amending the referenced SIAPs. The new navigational facilities, adding new complete regulatory description of each The FAA has determined that this obstacles, or changing air traffic SIAP is listed on the appropriate FAA regulation only involves an established requirements. These changes are Form 8260, as modified by the National body of technical regulations for which designed to provide safe and efficient Flight Data Center (FDC)/Permanent frequent and routine amendments are use of the navigable airspace and to Notice to Airmen (P–NOTAM), and is necessary to keep them operationally promote safe flight operations under incorporated by reference in the current. It, therefore—(1) Is not a instrument flight rules at the affected amendment under 5 U.S.C. 552(a), ‘‘significant regulatory action’’ under airports. 1 CFR part 51, and § 97.20 of Title 14 Executive Order 12866; (2) is not a DATES: This rule is effective October 25, of the Code of Federal Regulations. ‘‘significant rule’’ under DOT regulatory 2011. The compliance date for each The large number of SIAPs, their Policies and Procedures (44 FR 11034; SIAP, associated Takeoff Minimums, complex nature, and the need for a February 26, 1979); and (3) does not and ODP is specified in the amendatory special format make their verbatim warrant preparation of a regulatory provisions. publication in the Federal Register evaluation as the anticipated impact is The incorporation by reference of expensive and impractical. Further, so minimal. For the same reason, the certain publications listed in the airmen do not use the regulatory text of FAA certifies that this amendment will regulations is approved by the Director the SIAPs, but refer to their graphic not have a significant economic impact of the Federal Register as of October 25, depiction on charts printed by on a substantial number of small entities 2011. publishers of aeronautical materials. under the criteria of the Regulatory ADDRESSES: Availability of matter Thus, the advantages of incorporation Flexibility Act. incorporated by reference in the by reference are realized and List of Subjects in 14 CFR Part 97 amendment is as follows: publication of the complete description For Examination— of each SIAP contained in FAA form Air Traffic Control, Airports, 1. FAA Rules Docket, FAA documents is unnecessary. This Incorporation by reference, and Headquarters Building, 800 amendment provides the affected CFR Navigation (air). Independence Avenue, SW., sections and specifies the types of SIAP Issued in Washington, DC, on October 14, Washington, DC 20591; and the corresponding effective dates. 2011. 2. The FAA Regional Office of the This amendment also identifies the Ray Towles, region in which the affected airport is airport and its location, the procedure Deputy Director, Flight Standards Service. located; and the amendment number. 3. The National Flight Procedures Adoption of the Amendment The Rule Office, 6500 South MacArthur Blvd., Accordingly, pursuant to the Oklahoma City, OK 73169 or This amendment to 14 CFR part 97 is authority delegated to me, Title 14, 4. The National Archives and Records effective upon publication of each Code of Federal regulations, Part 97, 14 Administration (NARA). For separate SIAP as amended in the CFR part 97, is amended by amending information on the availability of this transmittal. For safety and timeliness of Standard Instrument Approach material at NARA, call 202–741–6030, change considerations, this amendment Procedures, effective at 0901 UTC on or go to: http://www.archives.gov/ incorporates only specific changes the dates specified, as follows:

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PART 97—STANDARD INSTRUMENT ■ 2. Part 97 is amended to read as § 97.31 RADAR SIAPs; § 97.33 RNAV APPROACH PROCEDURES follows: SIAPs; and § 97.35 COPTER SIAPs, By amending: § 97.23 VOR, VOR/ Identified as follows: ■ 1. The authority citation for part 97 DME, VOR or TACAN, and VOR/DME continues to read as follows: or TACAN; § 97.25 LOC, LOC/DME, * * *Effective Upon Publication Authority: 49 U.S.C. 106(g), 40103, 40106, LDA, LDA/DME, SDF, SDF/DME; §§ 97.23, 97.25, 97.27, 97.29, 97.31, 97.33 40113, 40114, 40120, 44502, 44514, 44701, § 97.27 NDB, NDB/DME; § 97.29 ILS, and 97.35 [Amended] 44719, 44721–44722. ILS/DME, MLS, MLS/DME, MLS/RNAV;

AIRAC Date State City Airport FDC No. FDC Date Subject

17–Nov–11 ... AZ Phoenix ...... Phoenix Sky Harbor Intl...... 1/0068 9/23/11 This NOTAM, published in TL 11–23, is hereby rescinded in its entirety. 17–Nov–11 ... GQ Agana ...... Guam Intl ...... 1/0544 9/29/11 This NOTAM, published in TL 11–23, is hereby rescinded in its entirety. 17–Nov–11 ... GQ Agana ...... Guam Intl ...... 1/0545 9/29/11 This NOTAM, published in TL 11–23, is hereby rescinded in its entirety. 17–Nov–11 ... GQ Agana ...... Guam Intl ...... 1/0546 9/29/11 This NOTAM, published in TL 11–23, is hereby rescinded in its entirety. 17–Nov–11 ... GQ Agana ...... Guam Intl ...... 1/0547 9/29/11 This NOTAM, published in TL 11–23, is hereby rescinded in its entirety. 17–Nov–11 ... CA Los Angeles .. Los Angeles Intl ...... 1/0228 10/4/11 RNAV (RNP) Z RWY 6R, Orig. 17–Nov–11 ... CA Los Angeles .. Los Angeles Intl ...... 1/0229 10/4/11 RNAV (RNP) Z RWY 7L, Orig. 17–Nov–11 ... CA Los Angeles .. Los Angeles Intl ...... 1/0231 10/4/11 RNAV (RNP) Z RWY 24R, Orig. 17–Nov–11 ... CA Los Angeles .. Los Angeles Intl ...... 1/0233 10/4/11 RNAV (RNP) Z RWY 7R, Orig. 17–Nov–11 ... CA Los Angeles .. Los Angeles Intl ...... 1/0234 10/4/11 RNAV (RNP) Z RWY 6L, Orig. 17–Nov–11 ... ID Boise ...... Boise Air Terminal/Gowen 1/0239 8/9/11 RNAV (RNP) Z RWY 28R, Orig-A. Fld. 17–Nov–11 ... ID Boise ...... Boise Air Terminal/Gowen 1/0240 8/9/11 RNAV (RNP) Z RWY 10L, Orig-A. Fld. 17–Nov–11 ... ID Boise ...... Boise Air Terminal/Gowen 1/0242 8/9/11 RNAV (RNP) Z RWY 10R, Orig-A. Fld. 17–Nov–11 ... ID Boise ...... Boise Air Terminal/Gowen 1/0243 8/9/11 RNAV (RNP) Z RWY 28L, Orig-A. Fld. 17–Nov–11 ... ID Hailey ...... Friedman Memorial ...... 1/0586 9/23/11 RNAV (RNP) Y RWY 31, Amdt 1A. 17–Nov–11 ... AZ Tucson ...... Tucson Intl ...... 1/0831 10/4/11 RNAV (RNP) Y RWY 29R, Orig. 17–Nov–11 ... AZ Tucson ...... Tucson Intl ...... 1/0832 10/4/11 RNAV (RNP) Y RWY 11L, Orig. 17–Nov–11 ... PA Zelienople ...... Zelienople Muni ...... 1/2717 10/6/11 RNAV (GPS) RWY 35, Orig-C. 17–Nov–11 ... MT Butte ...... Bert Mooney ...... 1/3061 9/26/11 ILS Y RWY 15, Amdt 7. 17–Nov–11 ... OH Chillicothe ...... Ross County ...... 1/3080 10/6/11 Takeoff Minimums and Obstacle DP, Amdt 3. 17–Nov–11 ... OH Chillicothe ...... Ross County ...... 1/3081 10/6/11 RNAV (GPS) RWY 23, Orig-A. 17–Nov–11 ... FL Ocala ...... Ocala Intl-Jim Taylor Field .... 1/3325 10/6/11 RNAV (GPS) RWY 18, Amdt 2. 17–Nov–11 ... VA Norfolk ...... Norfolk Intl ...... 1/3530 10/6/11 ILS OR LOC RWY 5, Amdt 25. 17–Nov–11 ... OR Eugene ...... Mahlon Sweet Field ...... 1/3644 9/28/11 RNAV (RNP) Z RWY 16L, Orig. 17–Nov–11 ... IL Effingham ...... Effingham County Memorial 1/4102 10/4/11 VOR RWY 1, Amdt 10. 17–Nov–11 ... IL Effingham ...... Effingham County Memorial 1/4103 10/4/11 RNAV (GPS) RWY 1, Orig. 17–Nov–11 ... IL Effingham ...... Effingham County Memorial 1/4104 10/4/11 Takeoff Minimums and Obstacle DP, Amdt 5. 17–Nov–11 ... IL Effingham ...... Effingham County Memorial 1/4107 10/4/11 LOC RWY 29, Amdt 1C. 17–Nov–11 ... MI Lansing ...... Capital Region Intl ...... 1/4472 10/6/11 ILS OR LOC RWY 28L, Amdt 26A. 17–Nov–11 ... TX Uvalde ...... Garner Field ...... 1/4475 10/6/11 RNAV (GPS) RWY 33, Orig. 17–Nov–11 ... GA Atlanta ...... Hartsfield-Jackson Atlanta 1/4513 10/6/11 ILS OR LOC RWY 27L, Amdt 16A; ILS Intl. RWY 27L (CAT II), Amdt 16A. 17–Nov–11 ... NC Goldsboro ...... Goldsboro-Wayne Muni ...... 1/4568 10/4/11 Takeoff Minimums and Obstacle DP, Amdt 1. 17–Nov–11 ... ME Presque Isle .. Northern Maine Rgnl Arpt At 1/4664 10/4/11 Takeoff Minimums and Obstacle DP, Amdt Presque Isle. 4. 17–Nov–11 ... NE Columbus ...... Columbus Muni ...... 1/7813 9/19/11 VOR RWY 14, Amdt B. 17–Nov–11 ... NE Columbus ...... Columbus Muni ...... 1/7814 9/19/11 VOR RWY 32, Amdt 14A. 17–Nov–11 ... NE Columbus ...... Columbus Muni ...... 1/7815 9/19/11 VOR/DME RWY 32, Amdt 3. 17–Nov–11 ... NE Columbus ...... Columbus Muni ...... 1/7816 9/19/11 LOC/DME RWY 14, Amdt 8A. 17–Nov–11 ... NE Columbus ...... Columbus Muni ...... 1/7817 9/19/11 RNAV (GPS) RWY 14, Orig-A. 17–Nov–11 ... MO Kansas City ... Charles B. Wheeler Down- 1/8566 9/19/11 ILS OR LOC RWY 19, Amdt 22. town. 17–Nov–11 ... IA Dubuque ...... Dubuque Rgnl ...... 1/9888 9/23/11 VOR RWY 36, Amdt 6A.

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[FR Doc. 2011–27361 Filed 10–24–11; 8:45 am] for conducting a formal audit authorized (B) Nothing in this paragraph shall be BILLING CODE 4910–13–P under the statute. construed to authorize a refund not otherwise On October 21, 2009, CBP published authorized under section 520 [of the Tariff in the Federal Register (74 FR 53964) a Act of 1930, as amended, 19 U.S.C. 1520]. The proposed amendments also DEPARTMENT OF HOMELAND proposed rule to amend title 19 of the included removal of the term SECURITY Code of Federal Regulations (19 CFR) pertaining to prior disclosure ‘‘compliance assessments’’ from 19 CFR U.S. Customs and Border Protection procedures and audit procedures by Part 163 as the term has become amending §§ 162.74, 163.1, and 163.11 superfluous as a result of CBP policy DEPARTMENT OF THE TREASURY (19 CFR 162.74, 163.1 and 163.11). The changes with respect to audits. proposed amendments concerned the II. Discussion of Comments 19 CFR Parts 162 and 163 use of statistical sampling methods by CBP and private parties and the Comments were solicited on the [CBP Dec. 11–20; USCBP–2009–0029] offsetting of overpayments of duties and proposed rule, and nine commenters fees or over-declarations of quantities or responded. Collectively, the RIN 1515–AD65 (Formerly RIN 1505–AC00) values on finally liquidated entries 1 commenters raised numerous issues that CBP sets forth and responds to below. CBP Audit Procedures; Use of against underpayments or under- Sampling Methods and Offsetting of declarations on finally liquidated A. Proposed Amendments Regarding Overpayments and Over-Declarations entries under certain prescribed Statistical Sampling circumstances. The proposed changes Comment: One commenter asserted AGENCY: U.S. Customs and Border regarding sampling methods were that there is no authority in the customs Protection, Department of Homeland designed to reflect in the regulations (19 Security; Department of the Treasury. laws for CBP to employ statistical CFR 163.11) a practice recognized in sampling in an audit and that customs ACTION: Final rule. both government and industry as the laws and regulations require an entry- most practical and expeditious way to SUMMARY: This document amends the by-entry review. reliably assess voluminous numbers of CBP response: CBP disagrees. Under U.S. Customs and Border Protection transactions, such as are often section 1509, CBP is authorized to (CBP) regulations by adding provisions encountered per audit in the modern conduct audits of importers (and others for the use of sampling methods in CBP commercial importation environment. A subject to the customs laws and other audits and prior disclosure cases and for corresponding change was proposed to laws enforced by CBP) to ensure the offsetting of overpayments and over- the CBP prior disclosure regulations (19 compliance with the customs laws of declarations when an audit involves a CFR 162.74) to reflect that sampling the United States and other laws calculation of lost duties, taxes, or fees may be used by private parties enforced by CBP. Section 1509 does not or monetary penalties under 19 U.S.C. submitting prior disclosures. The specify or limit the methods CBP may 1592. The sampling provision may be proposed changes regarding offsetting use in conducting an audit, thereby used by both CBP and private parties in reflected the amendment made by the leaving these decisions to CBP certain circumstances. The offsetting Trade Act of 2002 (‘‘Trade Act’’) (Pub. discretion. Statistical sampling is a provision is in accordance with CBP’s L. 107–210, 116 Stat. 933 (2002)) to legitimate and widely accepted method authority under 19 U.S.C. 1509(b)(6). section 1509 pertaining to CBP audit of examining vast amounts of data to DATES: This rule is effective procedures (19 CFR 163.11). produce reliable results. As pointed out December 27, 2011. Section 382 of the Trade Act amended in the proposed rule regarding the FOR FURTHER INFORMATION CONTACT: For section 1509(b) by adding the following proposed offsetting amendments, Legal Aspects: Alan C. Cohen, Penalties paragraph (6): Congress acknowledged that CBP has Branch, Regulations and Rulings, Office (6)(A) If, during the course of any audit and retains the authority to define an of International Trade (202) 325–0062; conducted under this subsection, the audit’s time period, scope, and For Audit and Operational Aspects: Customs Service [now CBP] identifies methodology.2 Keith Richard, Regulatory Audit, Office overpayments of duties or fees or over- Comment: Several commenters declarations of quantities or values that are of International Trade, (704) 401–4701. requested that CBP provide audit within the time period and scope of the audit guidelines and/or an informed SUPPLEMENTARY INFORMATION: that the Customs Service [CBP] has defined, then in calculating the loss of revenue or compliance publication on statistical I. Background monetary penalties under section 592 [of the sampling that includes information on CBP is authorized to conduct audits Tariff Act of 1930, as amended; 19 U.S.C. statistical sampling factors and under 19 U.S.C. 1509 (section 1509) 1592], the Customs Service [CBP] shall treat parameters used by CBP in audits. (sometimes referred to in this document the overpayments or over-declarations on These aids would help importers finally liquidated entries as an offset to any understand statistical sampling and as CBP audits or section 1509 audits). underpayments or under-declarations also The statute authorizes CBP to examine effectively apply sampling in internal identified on finally liquidated entries, if audits and prior disclosures. the records of, including conducting an such overpayments or over-declarations were audit of, parties subject to the agency’s not made by the person being audited for the 2 purpose of violating any provision of law. In House Report 107–320 pertaining to the authority for the following purposes: offsetting law, Congress provided that ‘‘[a] ascertaining the correctness of any government audit should be an even-handed and entry; determining the liability of any 1 The term ‘‘liquidation’’ refers to the formal neutral evaluation of a person’s compliance with person for duty, fees, and taxes due, or fixing of the terms of the entry by CBP. In the law. liquidation, CBP fixes the appraisement, * * * The Committee redrafted this provision on which may be due, the United States; classification, and duties, taxes, and fees owed on the basis of concerns from Customs [now CBP]. It determining liability for fines and imported merchandise (19 U.S.C. 1500). An entry is the Committee’s intention that this provision penalties; or insuring compliance with is said to be ‘‘finally liquidated’’ when the period shall not affect in any way Customs’ [CBP’s] current the laws of the United States for filing a protest under 19 U.S.C. 1514 has authority to define an audit’s scope, time period, expired. To protest the liquidation of an entry, the and methodology.’’ While this report applies to the administered by CBP. Under section protest must be filed within 180 days of the date offsetting law, this statement of Congressional 1509(b), specific procedures are set forth of liquidation (19 U.S.C. 1514(c)(3)(A)). intent is relevant to CBP’s audit authority.

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CBP response: CBP cannot provide to employing sampling in accordance CBP response: In most cases, the specific guidance regarding sampling with widely accepted professional penalty for prior disclosure is based on parameters because assessing sampling standards and best practices to ensure the lost duty or lost revenue amount risk and establishing sampling the efficiency and accuracy of audits (interest on that amount). Thus, parameters involve the auditor’s that employ sampling. assuming that the prior disclosure meets professional judgment applied on a Comment: One commenter requested all requirements and that CBP has case-by-case basis to the unique facts of that CBP clarify whether CBP will use approved the sampling results, a specific audit situation. However, statistical sampling to calculate including the projection as applied, the information and basic guidelines on penalties under 19 U.S.C. 1592 and the reduced penalty for the prior disclosure statistical sampling and auditing are circumstances under which it may do would apply to the lost duty or revenue currently provided as part of the so. as calculated, either by CBP or by the Focused Assessment Program (FAP) on CBP response: As set forth in the claimant with CBP approval. (See 19 the CBP Web site at http://cbp.gov/xp/ proposed regulations and this final rule, CFR Part 171, App. B.) cgov/trade/trade_programs/audits/ CBP may use statistical sampling in an Comment: One commenter claimed focused_assessment/fap_documents/. audit in circumstances it determines are that statistical sampling will not reduce The Web site information will appropriate for its use under section the cost to audited entities because the eventually be removed, and CBP will 1509, including the calculation of lost audit scope will be expanded to publish an informed compliance duties and/or monetary penalties under multiple years, thus requiring the document following the effective date of 19 U.S.C. 1592 (section 1592) or lost audited entity to expend additional this rule. As set forth in the proposed revenue and monetary penalties under resources. rule, CBP expects private parties to 19 U.S.C. 1593a (section 1593a). In some CBP response: CBP disagrees. Audits employ a sampling plan and sampling circumstances, CBP may determine that already cover multiple years, whether procedures that are consistent with an entry-by-entry review and the review method is entry-by-entry or generally recognized sampling calculation are more appropriate to the statistical sampling. The review of approaches. A number of commercial situation. CBP notes that use of entries over a particular time period will statistical sampling programs are sampling is not strictly limited to be less costly when sampling is available for guidance on sampling in section 1509 audits (unlike offsetting employed because fewer entries are addition to the above mentioned which is so limited), but its use will be actually examined by CBP, thus sources. CBP may reject a private party’s concentrated in the audit program. requiring less audit time on the audited sampling plan and/or methodology if it Comment: One commenter suggested entity’s premises, less time required of is not consistent with generally that CBP’s use of sampling and the audited entity to pull supporting recognized sampling approaches. projection to calculate penalties under records and documents, and less time For purposes of clarity, CBP is adding section 1592 in an audit context should required from audited entity personnel. to the regulation a description of be subject to agreement by the audited Comment: One commenter asserted ‘‘projection,’’ which refers to the party prior to commencement of the that statistical sampling should be application of the sampling results to audit. utilized only to conduct annual audits the universe of transactions identified as CBP response: Pursuant to section of the audited entity and that expanded- within the time period and scope of the 1509, and as set forth in this final rule scope audits by CBP as a result of audit. Accordingly, a new paragraph (19 CFR 163.11), CBP has sole discretion statistical sampling should be limited to (c)(2) under § 163.11 is added in this to determine the audit’s methodology: violations of 19 U.S.C. 1592 and/or final rule, and paragraph (c)(2) of either entry-by-entry, statistical 1593(a) that are discovered in the course proposed § 163.11 is redesignated as sampling or, in some circumstances, of single-year audits. paragraph (c)(3) in this final rule. both. Statistical sampling is a widely CBP response: CBP disagrees. First, Comment: One commenter asserted accepted and legitimate method of the scope of audits will not be expanded that statistical sampling of entries and examining extensive quantities of data due to CBP’s use of statistical sampling projection will not produce accurate in an audit context and includes, by methods. Some audits cover multiple audits unless an audit takes into definition, projection of sample results years whether the method of review is account the specifics for each to the universe of transactions set forth entry-by-entry or sampling. Second, it is transaction, such as circumstances of in the sampling plan. Neither the statute within CBP’s discretion to determine its sale, relationship of the seller to the nor the regulations subject CBP’s audit program goals in accordance with buyer, related parties versus non-related authority to determine an audit’s agency priorities. That discretion parties, trade preference program methodology to the concurrence of the includes determining the purpose and transaction, etc. audited entity. In accordance with the the time period and scope of audits. CBP response: CBP conducts proposed regulation and this final rule CBP will not adopt this limiting formula performance audits in accordance with (§ 163.11(c)(1)), CBP and the audited for implementing its audit program. generally accepted government audit entity will discuss the specifics of the Comment: One commenter requested standards (GAGAS) issued by the sampling plan before commencement of that CBP provide criteria for Government Accountability Office the audit; however, CBP’s authority to determining when an entry-by-entry or (GAO), which can be found on the GAO conduct the audit or employ a statistical statistical sampling method is Web site at http://www.gao.gov/govaud/ sampling method is not dependent on appropriate for an audit and asserted ybk01.htm. CBP auditors apply their the audited entity’s concurrence or its that CBP should not be able to change professional judgment in establishing acceptance of the sampling plan. the audit’s method midstream, before and executing sampling plans based on Comment: One commenter inquired completing the audit. the particular factors, or relevant whether the reduced penalties for prior CBP response: The decision regarding specifics, involved in a given audit disclosure would apply to projected use of entry-by-entry or statistical situation. CBP auditors will apply violations (lost duty or revenue) where sampling methodology in an audit is appropriate sampling techniques, on a the audited entity makes a prior dependent on the unique circumstances case-by-case basis, that address the disclosure of a violation during a CBP involved and is therefore a matter of commenter’s concern. CBP is committed audit. professional judgment. CBP auditors

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will exercise that judgment on a case- of Congress because it concerns only sampling plan was actually by-case basis based on information and audits conducted to identify lost duty implemented as proposed and that the data available to CBP. Proposed under section 1592. results were correctly analyzed and § 163.11(c)(2), adopted without change CBP response: CBP disagrees. CBP presented. An audited entity’s waiver of as § 163.11(c)(3) in this final rule, may examine finally liquidated entries its ability to appeal or challenge CBP’s provides general guidance on when in an audit for the purpose of either findings would likely result in the sampling methods are appropriate: determining compliance with applicable unwillingness of audited entities to Review of 100% of the entries/ laws and regulations or identifying lost accept CBP’s statistical sampling plan. transactions is impossible or impractical duties or revenue. Pursuant to sections (b) Limiting an audited entity’s right in the circumstances; the sampling plan 1592(d) and 1593a(d), CBP may demand to challenge only computational and is prepared in accordance with payment of lost duties or revenues, clerical errors is too narrow and would generally recognized sampling respectively, and impose appropriate result in the audited entity waiving its procedures; and the sampling procedure penalties relative to violations right to challenge allegations of is executed in accordance with the discovered in finally liquidated entries, substantive and material errors, such as, sampling plan. The decision to employ notwithstanding the finality of for example, CBP allegations of sampling or entry-by-entry review is liquidation rule. misclassification, undervaluation, etc., solely within the auditor’s discretion. Comment: One commenter requested and violations of sections 1592 or Regarding changing methodology that CBP define its supervisory role in 1593a. during the course of an audit, the self-testing. (c) The waiver is a violation of auditor may encounter circumstances CBP response: As used in the context Congressional intent for even-handed that were unknown when the sampling of proposed § 163.11(c)(3) (redesignated audits. plan was created. The new as § 163.11(c)(4) in this final rule), CBP (d) The regulation should reflect that circumstances may require changing the supervision means that CBP auditors once the parties accept the sampling audit method from sampling to entry- will determine whether to approve the plan, CBP waives its ability to by-entry, or vice-versa, in order to audited entity’s request to do self-testing subsequently contest the sampling properly complete the audit. In some and whether the parameters of the plan’s validity and methodology and, circumstances (see next comment sampling plan (including time period with the exception of fraud, waives its response), CBP may expand the audit, and scope), directing the execution of ability to review transactions outside either to address a disclosure presented the sampling plan, and evaluating and the sampling plan for the purpose of by the audited entity during the course verifying the sampling plan’s execution determining the total loss of duties, of the audit or to examine additional and results. CBP may either provide the taxes, and fees within the audit period entries due to new circumstances. This sampling plan to the audited entity for and scope. may result in a change in the audit its execution or permit the audited (e) The waiver presents due process methodology or a different methodology entity to develop its own plan, with the and fairness concerns, as CBP’s applied to the expanded segment of the auditors’ direction, and present the plan projection of underpayments (i.e., audit. to the auditors for acceptance prior to violations) will result in a calculation of Comment: A commenter inquired execution. lost duty/revenue for entries that CBP whether the proposed regulations has not examined, while the audited B. Proposed Amendment Regarding the permit CBP to go outside the sampling entity will have waived its ability to Audited Entity’s Waiver of the Ability plan to examine entries and, if so, under contest, administratively and judicially, To Object to the Sampling Plan and/or what circumstances may CBP do so. what it believes may be CBP’s failure to Methodology CBP response: Generally, CBP will identify overpayments or its stay within the sampling plan. In some Comments: Most commenters raised misidentification of lost duty or circumstances, the auditors may objections to the waiver provision of revenue. discover information or problems that proposed § 163.11(c)(1), under which an (f) The regulations should clearly warrant an expansion of the audit and audited entity, prior to commencement identify what is being waived and what a corresponding adjustment of the of the audit work that involves is not being waived. sampling plan if necessary. The sampling,3 would waive its ability to (g) The regulations should provide a amended regulations do not specify contest CBP’s sampling plan and procedure that would allow an audited when CBP may expand the audit, as the methodology once the parties have entity the opportunity to be heard and various circumstances that may warrant discussed and accepted it. Some of to exhaust its available administrative an expansion or other adjustment these comments also cited proposed and/or judicial challenges to violations cannot be captured categorically and § 162.74(j), since it permits sampling in alleged by CBP from the transactions evaluation of these circumstances must a prior disclosure. The primary actually examined. be left to the observation and objections and points are represented in (h) Proposed § 162.74(j) may be professional judgment of the auditors the following comments and responded interpreted to bind the disclosing party involved. Two examples of when to further below: to the sampling plan and methodology circumstances may warrant an (a) An audited entity should not be initially submitted with the prior expansion of the audit are where the limited to challenging only disclosure without providing for an audited entity requests approval to do computational and clerical errors and opportunity to modify and cure defects self-testing of entries that do not fall should be allowed to challenge CBP’s in the sampling before CBP makes its within the sampling plan or where it sampling plan, methodology, and determination on the sampling results. presents a prior disclosure during the results to ensure that the proposed (i) An audited entity performing self- course of the audit. Again, expanding testing using an agreed upon sampling the audit will be at CBP discretion. 3 The use of sampling (or its possible use) will be plan should also be able to demonstrate Comment: One commenter asserted discussed at the audit’s opening conference, but facts to contest the validity and/or normally cannot be discussed in detail until the that the inapplicability of ‘‘finality of audit work has begun and the auditors have been methodology of that plan, and to liquidation’’ in proposed § 163.11(c)(1) able to observe facts and circumstances involved in propose remedies, before CBP makes a is not supported by the law or the intent the particular audited entity’s situation. determination on the results.

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(j) CBP should clarify in the of liability for lost duty or revenue claimant’s acceptance of the sampling regulation that the waiver must be in under sections 1592(d) or 1593a(d) or a approach arrived at through these writing and must be signed by a person prepenalty notice under sections discussions with RA constitutes the with authority to make the waiver, such 1592(b) or 1593a(b). waiver, as limited per the discussion as an officer of the entity or other person Through the formal penalty action, above. In this context, a claimant may with authority to sign it. If a the audited entity, now the subject of request that CBP calculate the lost duty/ corporation, the signed waiver should this statutory process, will have access revenue under § 162.74(c) and may seek be accompanied by a board resolution or to various procedures under the current CBP Headquarters review of the field similar authorization. CBP regulations to challenge allegations, office’s calculation (subject to (k) With respect to any dispute including audit findings upon which limitations, such as a minimum between CBP and the audited entity in allegations are based. Under § 162.79b monetary amount and the statute of the Court of International Trade, CBP’s of the regulations, the subject may seek limitations), at which time the claimant final calculation of the lost duty or CBP Headquarters review when a notice can raise its substantive objections to revenue owed based on the projection of of liability is issued under either section the underlying CBP allegations the sampling plan’s results is not 1592(d) or 1593a(d). Under § 171.14, the involved. binding on the court. subject may seek CBP Headquarters Thus, under the proposed regulation, CBP response: CBP believes that most advice regarding the penalty allegations and as adopted in this final rule, an of the concerns raised by the when CBP issues a prepenalty notice audited entity, or prior disclosure commenters, including those regarding under section 1592(b)(1) or 1593a(b)(1). claimant in the circumstances described due process, fairness, even-handedness, Also, as always, the subject would be above, waives its ability to object to the and waiving the right to challenge able to raise its substantive objections in sampling and methodology to which it substantive findings or allegations, can response to the prepenalty notice and in agreed, but does not thereby forfeit its be resolved with a fuller explanation of response to a later-issued penalty notice ability to challenge underlying the waiver. The waiver takes effect under section 1592(b)(2) or 1593a(b)(2), substantive findings or allegations when the audited entity accepts the thereby having two opportunities to through available procedures under the sampling plan and methodology after challenge CBP’s determinations/ regulations. CBP is modifying proposed having discussed it with CBP auditors. allegations. The latter response would §§ 162.74(j) and 163.11(c) in this final (This also applies when an audited be in the form of a petition filed under rule to clarify the waiver provision with entity has been authorized to do self- 19 U.S.C. 1618 (section 1618). Where respect to what is not being waived by, testing in an audit.) The waiver, which CBP decides the section 1618 petition to respectively, a prior disclosure claimant must be in writing (see below), is the subject’s dissatisfaction, the subject or an audited entity. designed primarily to avoid the may submit a supplemental petition Regarding comments concerning the contention and delay that could result under § 171.61 and § 171.62, still ability of a prior disclosure claimant, from disputes over the sampling plan another opportunity to argue its case. At within or outside of a CBP audit, to cure and methodology at the end of an audit, any time after CBP issues a decision on defects in sampling once the disclosure and to later avoid a protracted battle of an initial petition, the subject may is submitted to CBP, CBP, upon review sampling experts in any administrative pursue an offer in compromise under 19 of the sampling, will allow a reasonable or judicial proceeding concerning the U.S.C. 1617, putting forth its substantive opportunity for the claimant to resolve details of a sampling approach that both objections to support the settlement defects. It is recognized that in some parties had agreed to previously. offer. Finally, the subject may defend cases the sampling will be so flawed it It is noted, however, that the waiver withholding tender of the penalty and/ cannot form the basis of an acceptable is limited. The audited entity would be or lost duty or revenue, and continue its prior disclosure or be cured through waiving only its ability to contest the substantive objections, in a judicial reasonable efforts. sampling and methodology employed in enforcement action where all The recommendations that the the audit. The audited entity would not substantive issues will be heard. regulations include a waiver by CBP of be waiving its ability to raise The sampling waiver also applies to its ability to challenge or change the substantive objections it may have prior disclosures submitted outside the sampling or methodology or to go concerning the audit’s underlying context of a CBP audit under § 162.74(j) outside the sampling plan to examine findings of violations of section 1592 and § 163.11(c)(5) of this final rule, entries, after there is acceptance of the (false statements in an entry regarding when the prior disclosure is reviewed sampling plan by the parties, cannot be classification, valuation, etc., or failure by CBP’s Office of International Trade, adopted in this final rule. CBP is to have required documentation) or Regulatory Audit (RA). All such prior authorized under law to conduct audits violations of section 1593a (false disclosures will be reviewed by RA in to ensure compliance with the customs drawback claims). As has always been some form (although any claiming laws and other laws in order to protect the case where an audited entity has offsetting will get RA review; see the revenue and enforce various substantive disagreements with CBP’s comment response further below). restrictions. The audit program is CBP’s audit findings identifying violations of Often, with these prior disclosures, the primary means for ensuring this sections 1592 or 1593a and/or with the claimant and RA will have the compliance. It is a critical oversight and audit’s lost duty or revenue calculations opportunity to discuss any sampling enforcement function. To effectively (that cannot be resolved through further proposed by the claimant after the perform this function, CBP must have discussions with, and working with, the initial disclosure is submitted.4 The flexibility to make necessary auditors), the audited entity is not adjustments while conducting audits. bound to tender payment in accordance 4 To establish the basic elements of the prior Regarding the recommendation that with those findings and calculations. disclosure claim before CBP initiates an the regulations provide for a written The audited entity instead may opt to investigation, claimants will often submit the prior waiver, CBP agrees that a written waiver pursue its substantive objections as the disclosure letter to disclose the circumstances of the violation and request an extension to finalize the would be appropriate. Therefore, CBP is process continues through any ensuing calculation and submit lost duties/revenue. In administrative penalty action initiated discussions with CBP, the claimant may propose a explain one that it has already worked through by CBP with issuance of either a notice sampling plan, work with CBP to develop one, or (without finalizing the calculation).

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adding to the regulation in this final disclosure submitted to CBP outside the will be based on an internal evaluation rule (19 CFR 163.11(c)(1)) that a context of a section 1509 audit unless of the prior disclosure’s complexity and management official with authority to CBP performs such an audit or review risk factors. The monetary value of the bind the audited entity must sign the of the prior disclosure submission. The disclosure also may be a factor at times. waiver on the audited entity’s behalf. proposed regulation did not include a In some instances, RA will review This official should have responsibility provision for offsetting in a prior sufficient documentation submitted by over the company’s importation or trade disclosure submitted outside the context the claimant plus CBP’s own records matters and/or other matters involving of a CBP audit, but that scenario was and databases. In other instances, RA the customs laws and regulations, or discussed in the proposed rule’s may contact the claimant for discussion other trade related laws and regulations. preamble. Based on the many comments or additional documentation. In still The appropriate RA field director will received on this issue and further other instances, an on-site visit may be have authority to sign for CBP. It is consideration of the matter, CBP, in this warranted, with a partial or full-scale noted, however, that in some instances, final rule, is providing a regulatory review of entries/documents depending the sampling plan and/or methodology process for ensuring that all of these on RA’s assessment of the must be adjusted or modified after it has prior disclosures are referred to RA for circumstances. Where RA determines been discussed and accepted or after it review and evaluation of the offsetting. that its review of the prior disclosure, has been commenced. In these Initially, it is noted that, consistent whether limited or extensive, shows, to instances, further discussions of these with the proposed rule, this final rule its satisfaction, that the claim and its adjustments/modifications would recognizes that some CBP audits will be calculations of lost duty meet all require another written waiver to full-scale reviews that follow all the statutory and regulatory requirements evidence the audited entity’s acceptance procedural steps for a formal on-site regarding offsetting, and sampling of the changes. review of an audited entity’s records, where sampling is employed, offsetting such as would be appropriate to may be applied, provided it meets the C. Proposed Amendments Regarding conduct a focused assessment audit, and basic requirements of the prior Offsetting others will be less formal and extensive disclosure regulations, as determined by Comment: Several commenters for conducting audits with a more the appropriate Fines, Penalties, and requested clarification as to whether an narrow purpose. The definition of Forfeitures (FP&F) office. audited entity authorized (pre- ‘‘audit’’ set forth in proposed § 163.1(c), CBP notes that offsetting may not be approved) by CBP to conduct self- and adopted with a minor change in this allowed in every case, but CBP is testing in a CBP audit, under CBP final rule, provides that a CBP audit committed to providing offsetting in supervision, may apply offsetting in a ‘‘may be as extensive or simple as CBP accordance with the statute and this prior disclosure resulting from the self- determines is warranted to achieve the final rule whenever, under its testing. audit’s purpose under applicable laws procedures, it performs a section 1509 CBP response: An audited entity in and regulations.’’ This concept is audit/review involving lost duty the described circumstances (self-testing consistent with CBP’s practice under calculations under section 1592. in a CBP audit) may apply offsetting in current regulations. CBP has always had Comment: One commenter claimed a prior disclosure. The offsetting will be the flexibility to vary the approach of that CBP’s disallowance of offsetting approved where, upon review, RA audits depending on the audit’s purpose under proposed § 163.11(d)(5), in cases determines that all the requirements for and the circumstances involved. where identified underpayment entries offsetting set forth in this final rule have Proposed § 163.11(f) is modified in this involve fraud, violates Congressional been met and RA approves the audited final rule to reflect this flexibility, as the intent for even-handed audits under the entity’s implementation and results of formal process of § 163.11(a) is not Trade Act. Under this paragraph, all the self-testing, whether an entry-by- conducive to a CBP RA review of a prior properly identified overpayments would entry or sampling methodology was disclosure. be disallowed for offsetting, while CBP used. The referenced change to the would seek collection for all properly Comment: Several commenters proposed definition of ‘‘audit’’ reflects a identified underpayments (violations). asserted that offsetting should be refining of terms, as the words This commenter also asserted that the permitted for overpayments in prior ‘‘examination or review’’ have been restriction on refunds under proposed disclosures that are not submitted in the replaced in this final rule with the word § 163.11(d)(8) violates this context of a CBP audit. Several ‘‘evaluation.’’ Another modification to Congressional intent. Under that commenters also requested that CBP the definition is designed to clarify that paragraph, refund payments are limited clarify, for purposes of offsetting, the the self-testing approved by CBP within to properly identified overpayment circumstances under which CBP’s the time period and scope of the audit entries that qualify for a refund under verification or review of a prior includes the time period and scope as the requirements of 19 U.S.C. 1514 disclosure submitted outside the context originally set and as sometimes later (section 1514) or 19 U.S.C. 1520 (section of a CBP audit would constitute a modified by CBP at its discretion where 1520). These statutes provide for a section 1509 audit as defined by the warranted. refund where the audited party can proposed regulation (§ 163.1(c)). Under this final rule, all prior identify an error correctable under one CBP response: CBP’s offsetting disclosures with offsetting submitted of their provisions. authority under section 1509(b)(6)(A) outside the context of a CBP audit will CBP response: CBP disagrees. Section was limited by Congress to audits be referred to CBP’s RA for a review and 1509(b)(6)(A) precludes offsetting when conducted by CBP under section 1509 evaluation that will be deemed a section overpayments/over-declarations were and to calculations of lost duty and 1509 audit for offsetting purposes. Due made for the purpose of violating any monetary penalties under section 1592. to limits stemming from the availability provision of law. Proposed The law does not include exceptions to of resources and the press of other § 163.11(d)(5)’s disallowance of this restriction. CBP cannot apply priorities and responsibilities, RA will offsetting when entries identified in an offsetting in an audit calculating lost vary its approach to reviewing these audit were made knowingly and revenue under section 1593a; nor can prior disclosures depending on their intentionally (fraudulently) is self- CBP apply offsetting in a prior circumstances. The extent of the review evident and consistent with CBP’s

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treatment of fraud violations under § 163.11(d)(3) is § 163.11(d)(4) in this under the statute, the discretionary section 1592 as distinct from violations final rule). It also made clear that ‘‘may’’ should be changed to ‘‘shall’’ based on negligence or gross negligence. section 1592 permits the lost duty and ‘‘will’’ under, respectively, An importer should not be permitted to calculation on liquidated entries despite proposed § 163.11(d)(1) pertaining to gain through offsetting in instances the fact that their liquidations have CBP’s authority to allow offsetting and where it committed knowing and become final. This calculation of lost proposed § 163.11(d)(2) pertaining to an intentional violations. This provision is duties under section 1592 now includes audited entity’s offsetting when self- retained in this final rule as offsetting of overpayments by virtue of testing under CBP supervision. § 163.11(d)(6). section 1509(b)(6)(A). CBP response: CBP agrees that ‘‘may’’ Regarding the disallowance of refunds Regarding offsetting for unliquidated should be changed. Therefore, ‘‘may’’ under proposed § 163.11(d)(8) entries, it is possible that both has been changed to ‘‘will’’ in both (§ 163.11(d)(9) in this final rule), it is in unliquidated and liquidated entries may provisions. CBP has also added fact the intent of Congress to limit be properly identified in a CBP audit; language in both provisions to clarify refund payments to specific, limited however, section 1509(b)(6)(A) limits that the approval of offsetting by CBP is circumstances. Under section offsetting to overpayments/over- dependent on all the requirements for 1509(b)(6)(B), the offsetting provision is declarations identified on finally offsetting in § 163.11(d) being met. not to be construed as authorizing a liquidated entries, provided that the Comment: One commenter stated that refund that is not otherwise authorized overpayments/over-declarations were proposed § 163.11(d)(4) has an incorrect under section 1520. This clearly means not made by the audited entity for the reference to paragraph (d)(4) that should that a refund is payable only if the purpose of violating any provision of instead reference paragraph (d)(3). particular circumstances of the law and meet the other requirements of CBP response: CBP agrees and has overpayment entries involved would the statute. made the correction. However, in this independently meet the very specific Comment: One commenter final rule, proposed § 163.11(d)(3) has circumstances set forth under any recommended that members of the been redesignated as § 163.11(d)(4) and provision of section 1520 that involves Importer Self-Assessment Program (ISA) proposed § 163.11(d)(4) has been liquidated entries, including any be allowed to benefit from offsetting. redesignated as § 163.11(d)(5). Thus, the requirement to timely file a petition or CBP response: The ISA program is a reference is now to § 163.11(d)(4) and is claim for relief under the provision. voluntary partnership program between found in § 163.11(d)(5). It is noted that the proposed CBP and companies operating under the D. Proposed Amendments to Prior regulation and the regulation as customs laws, generally importers. An Disclosure Regulations amended in this final rule includes ISA program member receives certain section 1514 in its refund restriction, benefits under the program, the most Comment: One commenter requested along with the statutorily enumerated notable being removal from the pool of that CBP modify proposed § 162.74(j) to section 1520, on the grounds that companies subject to focused require that CBP approve the statistical Congress intended that CBP have the assessment audits (the general audit sampling plan proposed by a private authority to pay a refund when an program administered by RA for party prior to submission of a prior overpayment entry’s circumstances ensuring compliance with the customs disclosure. The commenter stated that constitute clerical error, mistake of fact, laws and regulations). CBP has a high failure by CBP to accept the sampling or other inadvertence now correctable degree of confidence in member plan prior to submission could subject under section 1514(a). At the time the companies based on RA’s initial the private party to expensive and time offsetting law was enacted, relief for a evaluation of the companies’ internal consuming entry-by-entry analysis even clerical error, mistake of fact, or other processes and systems during the though the statistical sampling analysis inadvertence was provided for under application process. ISA members are and lost duties/revenues have been section 1520. companies with high compliance tendered to CBP. One commenter Comment: One commenter asserted ratings, and CBP believes that the trust inquired whether a prior disclosure that CBP should make clear that the it has in members is warranted and the claimant would have an opportunity to inapplicability of the ‘‘finality of benefits enjoyed by members are earned correct a prior disclosure sampling plan liquidation’’ rule is limited to an audit and deserved. In addition to their initial that CBP, upon post-submission review, conducted to assess lost duties, evaluation by CBP in the application is unable to accept due to a defect in the including offsetting of overpayments, process, member companies must plan or its execution. only in cases of 19 U.S.C. 1592. The perform an annual self review of its CBP response: CBP’s review of a prior commenter also requested that CBP customs operations that it submits to disclosure with sampling may include, clarify whether offsetting is permitted RA. The ISA annual self-review may at CBP’s discretion, reasonable efforts, for overpayments on unliquidated occasionally result in the discovery of as determined in the circumstances by entries identified within the time period errors that lead to the filing of a prior CBP, to work with the private party to and scope of the audit. disclosure. cure defects in the sampling plan or its CBP response: The proposed rule The benefit of offsetting in prior execution. It is recognized that in some made clear that offsetting would apply disclosures is available to ISA members cases the sampling will be so flawed it only to finally liquidated entries just as it is available to any importer. As cannot form the basis of an acceptable identified in a CBP audit for calculating trusted members of the ISA program prior disclosure or be cured through lost duties and monetary penalties whose records, systems performance, reasonable efforts. under section 1592, provided that all and regular monitoring engender CBP In this regard, to effectively review a requirements for offsetting are met, confidence, ISA member prior prior disclosure claimant’s sampling including that the identified disclosures may not require extensive and calculations or sampling/ overpayments are within the audit’s CBP RA review, though that is a methodology proposal, CBP must be time period and scope (and within the judgment for RA to make on a case-by- able to understand them. Therefore, the time period and scope of any sampling case basis. claimant must submit with its plan applied in accordance with Comment: One commenter stated that disclosure a brief but clear explanation proposed § 163.11(c)) (proposed because offsetting is an importer’s right of its sampling plan and methodology.

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Proposed § 162.74(j) has been modified modifications and additions that are otherwise interfere with an action taken accordingly in this final rule. explained throughout the comment or planned by another agency; (3) Comment: One commenter inquired discussion section of this document. [m]aterially alter the budgetary impact whether an audited entity authorized by The major additions are as follows: of entitlements, grants, user fees, or loan CBP to conduct self-testing in a CBP (1) A requirement that a private programs or the rights and obligations of audit can file a prior disclosure without party’s prior disclosure that employs recipients thereof; or (4) [r]aise novel triggering a formal investigation. sampling must include an explanation legal or policy issues arising out of legal CBP response: Where an audited of the sampling plan and methodology mandates, the President’s priorities, or entity performs self-testing during a CBP employed. The explanation must be the principles set forth in this Executive audit, the discussion that precedes the adequate, to CBP’s satisfaction, to Order.’’ This rule does not meet any of self-testing concerns the particulars permit CBP to understand the sampling the above criteria and is thus not a involved, and it is not likely that an and methodology employed. This significant regulatory action. This rule investigation would be triggered by such reflects in the regulation a procedure has not been reviewed by the Office of discussions. However, an audited entity that is already practiced by prior Management and Budget (OMB) under is advised to be aware of the restrictions disclosure claimants. An explanation of this order. to prior disclosure set forth in the prior the sampling and methodology is As described above, this final rule disclosure regulations. Under these fundamental and inherent in a proper does not impose additional regulations, a prior disclosure may be prior disclosure using sampling as a requirements or procedural burdens on approved where the claimant discloses means of disclosing the circumstances entities affected and would not have an the circumstances of a violation before, of the violations involved. (See 19 CFR economic impact on them except in or without knowledge of, the 162.74(j) and 163.11(c)(5) of this final certain penalty cases in which the commencement of a formal rule.) entities affected would realize a investigation (see §§ 162.74(a) and (2) A requirement that a written reduction in the amount of a penalty, or 162.74(g)). Thus, where CBP auditors waiver evidence a private party’s in the amount of lost revenue owed, due have already uncovered evidence of acceptance of the sampling plan and to the allowance of offsetting. CBP did violations, created a writing recording methodology to be employed in an audit not receive any comments that would those suspected violations (commencing or, where appropriate, in circumstances contradict our conclusion that this rule a formal investigation), and raised those of self-testing or prior disclosure as is not a significant regulatory action or suspected violations with the audited described in 19 CFR 163.11(c)(4) and our assertion that to the extent this rule entity (§ 162.74(i)(1)(i)), the restriction (c)(5), respectively. The waiver limits does have economic impacts, they will to prior disclosure eligibility may apply. the private party’s objections to the be marginally beneficial to the trade sampling procedure to but does not community and CBP. E. Proposed Amendment Regarding limit any other substantive claims. The Restriction on Defense of Reasonable B. Regulatory Flexibility Act appropriate RA field director will sign Care The Regulatory Flexibility Act (5 for CBP. Acceptance of subsequent U.S.C. 601 et seq.) as amended by the Comment: One commenter adjustments or modifications to the Small Business Regulatory Enforcement recommended that CBP clarify proposed sampling plan or methodology also and Fairness Act of 1996 (SBREFA), § 163.11(e)’s restriction on the defense must be in writing. (See 19 CFR requires federal agencies to examine the of ‘‘reasonable care’’ 5 as applied to 163.11(c)(1) of this final rule.) impact a rule would have on small entries involved in a previous audit’s (3) A provision under which CBP will entities. A small entity may be a small sampling plan. refer to RA for review and evaluation all business; a small not-for-profit CBP response: Under proposed prior disclosures submitted outside the organization; or a small governmental § 163.11(e), the mere fact that an entry context of a CBP audit that apply or seek jurisdiction (locality with fewer than was within the time period and scope of to apply offsetting under 19 CFR 50,000 people). a previous CBP audit that employed a 163.11(d). (See 19 CFR 163.11(d)(3) of The entities affected by this final rule sampling plan cannot be claimed as a this final rule.) RA will approve the are importers and various other parties defense in a later penalty action. The offsetting where it determines that the who are subject to a CBP audit under proposed provision is retained in this requirements of the statute and this final the CBP regulations. ‘‘Importers’’ are not final rule without change. rule are satisfied. defined as a ‘‘major industry’’ by the III. Conclusion Regarding Comment IV. Statutory and Regulatory Reviews Small Business Administration (SBA) Analysis and Additional Changes and do not have a unique North A. Executive Order 12866 American Industry Classification Based on the comments received and Executive Order 12866 (Regulatory System (NAICS) code; rather, virtually CBP’s reconsideration of the various Planning and Review; September 30, all industries classified by SBA include issues raised and discussed in this 1993) requires Federal agencies to entities that import goods and services document, CBP is adopting as final the conduct economic analyses of into the United States. Thus, entities proposed rule’s changes, with certain significant regulatory actions as a means affected by this final rule would likely 5 Under 19 U.S.C. 1484(a)(1), an importer of to improve regulatory decision-making. consist of the broad range of large, record, or its agent, is obligated to exercise Significant regulatory actions include medium, and small businesses operating reasonable care in performing certain actions those that may ‘‘(1) [h]ave an annual under the customs laws and other laws related to the entry of merchandise into the United effect on the economy of $100 million that CBP administers and enforces. States. Under 19 CFR Part 171, App. B, Para. (C)(1), a penalty is warranted where a person fails to or more or adversely affect in a material These entities include, but are not exercise ‘‘the degree of reasonable care and way the economy, a sector of the limited to, importers, brokers, and competence expected’’ in the circumstances, and economy, productivity, competition, freight forwarders, as well as other the failure results in a false statement or material jobs, the environment, public health or businesses that operate under drawback, omission under the statute. Generally, a showing that the importer acted with reasonable care is a safety, or State, local or tribal bonded warehouse, and foreign trade defense to allegations of a negligence violation governments or communities; (2) zone procedures and those conducting under 19 U.S.C. 1592 or 1593a. [c]reate a serious inconsistency or various activities under bond.

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The finalized rule concerning audit collection of information displays a contest the validity of the sampling plan procedures brings the CBP regulations valid control number assigned by OMB. or its methodology, and challenges of up to date with CBP practices by the sampling itself will be limited to D. Signing Authority explicitly providing for the use of computational and clerical errors after sampling methods in audits conducted This regulation is being issued in CBP conducts its review and makes a by CBP under 19 U.S.C. 1509. The use accordance with 19 CFR 0.1(a)(1) determination. This is not a waiver of of sampling methods is expected to pertaining to the Secretary of the the private party’s right to later contest facilitate and enhance the effectiveness Treasury’s authority (or that of his or substantive issues it may properly raise of the CBP audit process for both CBP her delegate) to approve regulations under applicable regulations, as and private entities, thus making the pertaining to certain revenue functions. provided in 19 CFR 163.11(c)(1). process less burdensome for all List of Subjects (2) If a private party submits a prior involved. The finalized rule brings the disclosure claim employing sampling, regulations up to date with existing law 19 CFR Part 162 CBP may review other transactions from regarding the offsetting of overpayments Administrative practice and the same time period and scope that are and over-declarations for the purpose of procedure, Customs duties and the subject of the prior disclosure. calculating loss of revenue or monetary inspection, Penalties, Reporting and penalties under 19 U.S.C. 1592. recordkeeping requirements. PART 163—RECORDKEEPING Because these amendments to the 19 CFR Part 163 regulations affect such a wide-ranging ■ 3. The general authority citation for group of entities involved in the Administrative practice and part 163 continues to read as follows: importation of goods to the United procedure, Customs audits, Customs Authority: 5 U.S.C. 301, 19 U.S.C. 66, States, the number of entities subject to duties and inspection, Imports, 1484, 1508, 1509, 1510, 1624. this final rule would be considered Penalties, Reporting and recordkeeping * * * * * ‘‘substantial.’’ Additionally, these requirements. § 163.0 [Amended] changes to the regulations would confer Amendments to the Regulations a small, positive economic benefit to ■ 4. Section 163.0 is amended by affected entities as a result of a more For the reasons set forth in the preamble, parts 162 and 163 of the CBP removing from the second sentence the efficient audit process and, in some words, ‘‘or compliance assessment’’. cases, a reduction of duties found owing regulations (19 CFR Parts 162 and 163) ■ 5. Section 163.1 is amended by: to the government. Neither of these are amended as set forth below: ■ benefits, however, would rise to the a. Revising paragraph (c); and PART 162—INSPECTION, SEARCH ■ b. Removing paragraph (e) and level of being considered a ‘‘significant’’ AND SEIZURE economic impact. We solicited redesignating existing paragraphs (f) comments on this conclusion and did ■ 1. The general authority citation for through (l) as paragraphs (e) through (k). not receive any comments contradicting part 162 continues to read as follows: The revision of § 163.1(c) reads as follows: our findings. Therefore, CBP certifies Authority: 5 U.S.C. 301; 19 U.S.C. 66, that this rule will not have a significant 1592, 1593a, 1624; 6 U.S.C. 101; 8 U.S.C. § 163.1 Definitions. economic impact on a substantial 1324(b). number of small entities. * * * * * * * * * * (c) Audit. ‘‘Audit’’ means an ■ 2. Section 162.74 is amended by C. Paperwork Reduction Act evaluation by CBP under 19 U.S.C. 1509 adding new paragraph (j) to read as of records required to be maintained The collections of information in part follows: 163 of the current CBP regulations have and/or produced by persons listed in already been approved by the Office of § 162.74 Prior disclosure. § 163.2, or pursuant to other applicable Management and Budget (OMB) in * * * * * laws or regulations administered by accordance with the Paperwork (j) Prior disclosure using sampling. CBP, for the purpose of furthering any Reduction Act of 1995 (44 U.S.C. 3507) (1) A private party may use statistical investigation or review conducted to: and have been assigned OMB control sampling to ‘‘disclose the circumstances ascertain the correctness of any entry; number 1651–0076 (General of a violation’’ and for calculation of lost determine the liability of any person for recordkeeping and record production duties, taxes, and fees or lost revenue duties, taxes, and fees due, or revenue requirements). This final rule does not for purposes of prior disclosure, due, or which may be due the United involve a change to either the number provided that the statistical sampling States; determine liability for fines, of respondents or the burden estimates satisfies the criteria in 19 CFR penalties, and forfeitures; ensure contained in the existing approved 163.11(c)(3). The prior disclosure must compliance with the laws of the United information collection. Affected persons include an explanation of the sampling States administered by CBP; or are already required to provide relevant plan and methodology that meets with determine that information submitted or information or records requested by CBP CBP’s approval. The time period, scope, required is accurate, complete, and in during an audit procedure conducted and any sampling plan employed by the accordance with any laws and under the authority of 19 U.S.C. 1509 private party, as well as the execution regulations administered or enforced by (the CBP audit statute) and the CBP and results of the self-review, are CBP. An audit does not include a regulations. Records or information subject to CBP review and approval. In quantity verification for a customs having to do with overpayments or over- accordance with 19 CFR 163.11(c)(1), in bonded warehouse or general purpose declarations for offset purposes under circumstances where the private party foreign trade zone. An audit may be as paragraph (b)(6) of the statute fall within and CBP have discussed and accepted extensive or simple as CBP determines this existing requirement. An agency the sampling plan and its methodology, is warranted to achieve the audit’s may not conduct or sponsor, and a or adjustments to it, the private party purpose under applicable laws and person is not required to respond to, a submitting a prior disclosure employing regulations. collection of information unless the sampling under this paragraph may not * * * * *

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§ 163.6 [Amended] (b) Petition procedures for failure to signed waiver to the CBP auditor. The ■ 6. Section 163.6 is amended by conduct closing conference. Except as appropriate field director, Regulatory removing the words ‘‘or compliance otherwise provided in paragraph (f) of Audit, will sign the waiver for CBP. assessment’’ in paragraph (c)(1), first this section, if the estimated or actual Where the sampling plan or sentence, and in paragraph (c)(2), first termination date of the audit passes methodology is subsequently adjusted sentence. without a CBP auditor providing a or modified, at CBP’s discretion, closing conference to explain the results acceptance of the adjustments or § 163.7 [Amended] of the audit, the person audited may modifications also must be in writing ■ 7. Section 163.7 is amended by petition in writing for a closing and signed. This is not a waiver of the removing the words ‘‘or compliance conference to the Executive Director, audited person’s right to later contest assessment’’ in paragraph (a), first Regulatory Audit, Office of International substantive issues, such as sentence. Trade, Customs and Border Protection, misclassification, undervaluation, etc., ■ 8. Section 163.11 is revised to read as Washington, DC 20229. Upon receipt of that may properly be raised under follows: the request, the director will provide for applicable regulations, including in a the closing conference to be held within request for CBP Headquarters advice § 163.11 Audit procedures. 15 calendar days after the date of under 19 CFR 171.14, a request for CBP (a) General requirements. In receipt. Headquarters review under 19 CFR conducting an audit under 19 U.S.C. (c) Use of statistical sampling in 162.74(c), a response to a prepenalty 1509(b), the CBP auditors, except as calculation of loss of duties or revenue. notice issued by CBP under 19 U.S.C. otherwise provided in paragraph (f) of (1) General. In conducting an audit 1592(b)(1) or 19 U.S.C. 1593a(b)(1), a this section, will: under this section, regardless of the petition submitted in response to a (1) Provide notice, telephonically and finality of liquidation under 19 U.S.C. penalty notice issued by CBP under 19 in writing, to the person to be audited 1514, CBP auditors have the sole U.S.C. 1592(b)(2) or 19 U.S.C. of CBP’s intention to conduct an audit discretion to determine the time period 1593a(b)(2) (19 CFR part 171) and 19 and a reasonable estimate of the time to and scope of the audit and will examine U.S.C. 1618, a supplemental petition be required for the audit; submitted under 19 CFR 171.61 and a sufficient number of transactions, as (2) Inform the person who is to be the 171.62, or any action commenced in a determined solely by CBP. In addition subject of the audit, in writing and court of proper jurisdiction. before commencement of the audit, of to examining all transactions to identify (2) Projection. For purposes of this that person’s right to an entrance loss of duties, taxes, and fees under 19 section, ‘‘projection’’ of sampling results conference, at which time the objectives U.S.C. 1592 or loss of revenue under 19 over the universe of transactions is the and records requirements of the audit, U.S.C. 1593a, or to determine process by which the results obtained and any sampling plan to be employed compliance with any other applicable from the sample entries actually or offsetting that may apply, will be customs laws or other laws enforced by examined are applied to the universe of explained and the estimated termination CBP, CBP auditors, at their sole entries set within the time period and date of the audit will be set. Where a discretion, may use statistical sampling scope of the sampling plan to yield a decision on a sampling plan and methods. During the audit, CBP auditors reliable assessment of that which is methodology is not made at the time of will explain the sampling plan and how sought to be ascertained or measured in the entrance conference, CBP will the results of the sampling will be the audit, including, but not limited to, discuss these matters with the person projected over the universe of lost duties or revenue, or overpayments being audited as soon as possible after transactions for purposes of calculating or over-declarations, as described in the discovery of facts and circumstances lost duties, taxes, and fees or lost paragraph (d)(1) of this section. that warrant the possible need to revenue and, where appropriate, (3) When CBP uses statistical employ sampling; overpayments and over-declarations sampling. CBP auditors have the sole (3) Provide a further estimate of any eligible for offsetting under paragraph discretion to use statistical sampling additional time for the audit if, during (d) of this section. The person being techniques when: the course of the audit, it becomes audited and CBP will discuss the (i) Review of 100 percent of the apparent that additional time will be specifics of the sampling plan before transactions is impossible or required; audit work under the plan is impractical; (4) Schedule a closing conference commenced. Once the sampling plan is (ii) The sampling plan is prepared in upon completion of the audit on-site accepted, the audited person waives the accordance with generally recognized work to explain the preliminary results ability to contest the validity of the sampling procedures; and of the audit; sampling plan or its methodology at a (iii) The sampling procedure is (5) Complete a formal written audit later date and challenges of the executed in accordance with that plan. report within 90 calendar days sampling will be limited to challenging (4) Statistical sampling by audited following the closing conference computational and clerical errors. CBP’s persons under CBP supervision. CBP referred to in paragraph (a)(4) of this authority to conduct the audit or may authorize a person being audited to section, unless the Executive Director, employ statistical sampling is not conduct, under CBP supervision, self- Regulatory Audit, Office of International dependent on the audited person’s testing of its own transactions within Trade, CBP Headquarters, provides acceptance of the specifics of the the time period and scope of the audit written notice to the person audited of sampling plan. An audited person’s as originally set or later modified by the reason for any delay and the acceptance of the sampling plan and CBP at its discretion. Audited persons anticipated completion date; and methodology must be in writing and permitted in advance by CBP to conduct (6) After application of any disclosure signed by a management official with self-testing of certain transactions under exemptions contained in 5 U.S.C. 552, authority to bind the company in CBP supervision within the time period send a copy of the formal written audit matters of trade, imports, and/or other and scope of a CBP audit may use report to the person audited within 30 affairs under the customs laws, CBP statistical sampling methods, provided calendar days following completion of regulations, or other applicable laws. that the criteria contained in paragraph the report. The audited person may submit the (c)(3) of this section are satisfied. CBP

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will determine the time period and this paragraph (d) are met, CBP preference. Offsetting will be disallowed scope of the CBP-approved and approves the self-testing in advance entirely where CBP determines that any supervised self-testing and will explain and, upon review of the self-testing, underpayments or under-declarations any sampling plan to be employed in CBP approves its execution and results. identified for offsetting purposes were accordance with paragraph (c)(1) of this (3) When a private party submits a made knowingly and intentionally. section. The execution and results of the prior disclosure. Offsetting will apply (7) Audit report. Where overpayments self-testing and the sampling plan are when a private party submits a prior subject to CBP approval, and the disclosure, provided that the prior or over-declarations have been audited person is subject to the waiver disclosure is in accordance with 19 CFR identified in accordance with paragraph of paragraph (c)(1) of this section. 162.74 and CBP approves the private (d)(1) of this section, the audit report (5) Statistical sampling by a private party’s self-review, including its will state whether they have been made party submitting a prior disclosure. A execution and results. CBP’s Office of within the time period and scope of the private party conducting an International Trade, Regulatory Audit audit. independent review of certain will review and evaluate all such prior (8) Disallowance determinations transactions and a calculation of lost disclosures and approve offsetting referred to Fines, Penalties, and duties, taxes, and fees or lost revenue where it is satisfied that the Forfeitures office. Any determination for purposes of prior disclosure, in requirements of 19 U.S.C. 1509(b)(6) that offsets will be disallowed where accordance with 19 CFR 162.74(j), may and this paragraph (d) are met. overpayments/over-declarations were use statistical sampling, provided that (4) Time period and scope determined made for the purpose of violating any the private party submits an explanation by CBP; projection when sampling law, or where underpayments or under- of the sampling plan and methodology employed. In conducting an audit under employed and that the criteria in paragraph (d)(1) of this section or declarations were made knowingly and paragraph (c)(3) of this section are authorizing an audited person’s self- intentionally, will be made by the satisfied. Where the private party testing as described in paragraph (d)(2) appropriate Fines, Penalties, and submits a prior disclosure employing of this section, CBP will have the sole Forfeitures (FP&F) office to which the statistical sampling, the time period, authority to determine the time period issue was referred. CBP will notify the scope, and any sampling plan employed and scope of the audit. In conducting a audited person of a determination by the private party, as well as the review of a private party’s prior whether to allow offsetting in whole or execution and results of the self-review, disclosure as described in paragraph in part. The FP&F office will issue a are subject to CBP review and approval. (d)(3) of this section, the time period notice of penalty under 19 U.S.C. Where CBP and the private party and scope employed will be subject to 1592(b) and/or notice of liability for lost discuss and accept the sampling plan CBP approval. In each of these duties, taxes, and fees under 19 U.S.C. and methodology, or an adjustment to it, circumstances, where statistical 1592(d) where it determines that such the waiver of paragraph (c)(1) of this sampling is involved, CBP auditors will action is warranted. If the FP&F office section applies. examine only the selected sample issues a notice of penalty, the audited (d) Offset of overpayments and over- transactions. The results of the sample person may file a petition under 19 declarations in 19 U.S.C. 1592 penalty examination, with respect to properly U.S.C. 1592(b)(2), 19 U.S.C. 1618, and identified overpayments and over- cases. (1) General. In conducting any 19 CFR part 171 to challenge the action. audit authorized under 19 U.S.C. 1509 declarations and properly identified and this section for the purpose of underpayments and under-declarations, (9) Refunds limited. An overpayment calculating the loss of duties, taxes, and will be projected over the universe of of duties and fees will only be credited fees or monetary penalty under any transactions to determine the total toward a refund if the circumstances of provision of 19 U.S.C. 1592, CBP overpayments and over-declarations the overpayment meet the requirements auditors identifying overpayments of that are eligible for offsetting and to of 19 U.S.C. 1520 or the requirements of duties or fees or over-declarations of determine the total loss of duties, taxes, 19 U.S.C. 1514(a) pertaining to clerical quantities or values that are within the and fees. error, mistake of fact, or other time period and scope of the audit, as (5) Same acts, statements, omissions, inadvertence in any entry, liquidation, established solely by CBP, will treat the or entries not required. Offsetting may or reliquidation. be permitted where the overpayments or overpayments or over-declarations on (e) Sampling not evidence of finally liquidated entries as an offset to over-declarations were not made by the reasonable care. The fact that entries any underpayments or under- same acts, statements, or omissions that were previously within the time period declarations also identified on finally caused the underpayments or under- and scope of an audit conducted by CBP liquidated entries, provided that: declarations, and is not limited to the (i) The identified overpayments or same entries that evidence the in which sampling was employed, in over-declarations were not made by the underpayments or under-declarations, any circumstances described in this person being audited for the purpose of provided that they are within the time section, is not evidence of reasonable violating any provision of law, period and scope of the audit as care by a violator in any subsequent including laws other than customs laws, established by CBP and as described in action involving such entries. (ii) The identified underpayments or paragraph (d)(4) of this section. (f) Exception to procedures. The under-declarations were not made (6) Limitations. Offsetting will not be provisions of paragraph (a) of this allowed with respect to specific knowingly and intentionally, and section may not apply when a private overpayments or over-declarations made (iii) All other requirements of this party submits a prior disclosure under paragraph (d) are met. for the purpose of violating any paragraph (d)(3) of this section. (2) When audited person conducts provision of law, including laws other self-testing under CBP supervision. than customs laws. Offsetting will not Paragraphs (a)(5), (a)(6), (b), (d)(8), and Offsetting will apply to self-testing be allowed with respect to (d)(9) of this section do not apply once conducted by an audited person under overpayments or over-declarations CBP and/or ICE commences an CBP supervision (i.e., during a CBP resulting from a failure to timely claim audit), provided that all requirements of or establish a duty allowance or

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investigation with respect to the issue(s) Renee V. Wright, Program Manager, east bank at latitude 45°27′9.13″ N, involved. Docket Operations, telephone 202–366– longitude 122°39′20.99″ W then 9826. stretches across the river to the west Alan D. Bersin, SUPPLEMENTARY INFORMATION: bank at latitude 45°27′6.78″ N, longitude Commissioner, Customs and Border 122°39′31.31″ W, line two starts twelve Protection. Regulatory Information hundred feet upstream on the east bank Approved: October 19, 2011. The Coast Guard is issuing this at latitude 45°26′57.09″ N, longitude Timothy E. Skud, temporary final rule without prior 122°39′14.35″ W then stretches across Deputy Assistant Secretary of the Treasury. notice and opportunity to comment the river to the west bank at latitude [FR Doc. 2011–27511 Filed 10–24–11; 8:45 am] pursuant to authority under section 4(a) 45°26′53.81″ N, longitude 122°39′25.40″ BILLING CODE 9111–14–P of the Administrative Procedure Act W. (APA) (5 U.S.C. 553(b)). This provision Geographically this safety zone covers authorizes an agency to issue a rule all waters of the Willamette River in DEPARTMENT OF HOMELAND without prior notice and opportunity to front of the Waverly Country Club SECURITY comment when the agency for good extending upriver and downriver 600 cause finds that those procedures are feet from the firing site at approximate Coast Guard ‘‘impracticable, unnecessary, or contrary latitude 45°27′3.60″ N, longitude to the public interest.’’ 122°39′17.99″ W and extending over the 33 CFR Part 165 Under 5 U.S.C. 553(b)(B), the Coast river to the west bank in a rectangular Guard finds that good cause exists for shape. [Docket No. USCG–2011–0899] not publishing a notice of proposed All persons and vessels will be RIN 1625–AA00 rulemaking (NPRM) with respect to this prohibited from entering the safety rule because immediate action is zones during the dates and times they Safety Zone; Waverly Country Club necessary to ensure the safety of vessels are effective unless authorized by the Fireworks Display on the Willamette and spectators gathering in the vicinity Captain of the Port or his designated River, Portland, OR of the fireworks launching and display representative. sites. Following normal rulemaking AGENCY: Coast Guard, DHS. procedures in this case would be Regulatory Analyses ACTION: Temporary final rule. impracticable and contrary to public We developed this rule after interest since the event will have taken considering numerous statutes and SUMMARY: The Coast Guard is place by the time the notice could be executive orders related to rulemaking. establishing a safety zone on the published and comments taken. Below we summarize our analyses Willamette River located at the Waverly Under 5 U.S.C. 553(d)(3), the Coast based on 13 of these statutes or Country Club for a private event in Guard finds that good cause exists for executive orders. Portland, Oregon. The safety zone is making this rule effective less than 30 Regulatory Planning and Review necessary to help ensure the safety of days after publication in the Federal the maritime public during the displays Register because immediate action is This rule is not a significant and will do so by prohibiting persons necessary to ensure the safety of vessels regulatory action under section 3(f) of and vessels from entering the safety and spectators gathering in the vicinity Executive Order 12866, Regulatory zones unless authorized by the Captain of the fireworks launching and display Planning and Review, as supplemented of the Port or his designated sites. Following normal rulemaking by Executive Order 13563, Improving representatives. procedures in this case would be Regulation and Regulatory Review, and DATES: This rule is effective from 8:30 impracticable and contrary to the public does not require an assessment of p.m. until 10:30 p.m. on November 5, interest, as this inherently dangerous potential costs and benefits under 2011 as detailed in the rule. event will have taken place by the time section 6(a)(3) of that Order or under section 1 of Executive Order 13563. The ADDRESSES: Documents indicated in this notice could be published and Office of Management and Budget has preamble as being available in the comments taken. not reviewed it under that Order. It is docket are part of docket USCG–2011– Background and Purpose not ‘‘significant’’ under the regulatory 0899 and are available online by going Fireworks displays create hazardous policies and procedures of the to http://www.regulations.gov, inserting conditions for the maritime public Department of Homeland Security USCG–2011–0899 in the ‘‘Keyword’’ because of the large number of vessels (DHS). box, and then clicking ‘‘Search.’’ They that congregate near the displays as well The Coast Guard has made this are also available for inspection or as the noise, falling debris, and determination based on the fact that the copying at the Docket Management explosions that occur during the event. safety zone will only be 2 hours in Facility (M–30), U.S. Department of The establishment of a safety zone helps duration on one evening. Because of this Transportation, West Building Ground ensure the safety of the maritime public short duration, the impact on maritime Floor, Room W12–140, 1200 New Jersey by prohibiting persons and vessels from operators is minimal. Before the Avenue, SE., Washington, DC 20590, coming too close to the fireworks effective period, we will publish between 9 a.m. and 5 p.m., Monday display and other associated hazards. advisories in the Local Notice to through Friday, except Federal holidays. Mariners available to users of the river. Discussion of Rule FOR FURTHER INFORMATION CONTACT: If Maritime traffic will be able to schedule you have questions on this temporary This rule establishes a safety zone on their transits around this safety zone. rule, call or e-mail BM1 Silvestre Suga the Willamette River in the vicinity of III, Waterways Management Division, the Waverly Country Club for a private Small Entities Coast Guard MSU Portland; telephone event that will be held on Saturday Under the Regulatory Flexibility Act 503–240–9319, e-mail November 5, 2011. The safety zone will (5 U.S.C. 601–612), we have considered [email protected]. If you have close a section of the Willamette River whether this rule would have a questions on viewing the docket, call between two lines; line one starts on the significant economic impact on a

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substantial number of small entities. this rule under that Order and have significant adverse effect on the supply, The term ‘‘small entities’’ comprises determined that it does not have distribution, or use of energy. The small businesses, not-for-profit implications for federalism. Administrator of the Office of organizations that are independently Unfunded Mandates Reform Act Information and Regulatory Affairs has owned and operated and are not not designated it as a significant energy dominant in their fields, and The Unfunded Mandates Reform Act action. Therefore, it does not require a governmental jurisdictions with of 1995 (2 U.S.C. 1531–1538) requires Statement of Energy Effects under populations of less than 50,000. Federal agencies to assess the effects of Executive Order 13211. The Coast Guard certifies under 5 their discretionary regulatory actions. In U.S.C. 605(b) that this rule will not have particular, the Act addresses actions Technical Standards a significant economic impact on a that may result in the expenditure by a substantial number of small entities. State, local, or Tribal government, in the The National Technology Transfer This rule may affect the following aggregate, or by the private sector of and Advancement Act (NTTAA) (15 entities some of which may be small $100,000,000 (adjusted for inflation) or U.S.C. 272 note) directs agencies to use entities: the owners or operators of more in any one year. Though this rule voluntary consensus standards in their vessels wishing to transit the safety zone will not result in such an expenditure, regulatory activities unless the agency established by this rule. The rule will we do discuss the effects of this rule provides Congress, through the Office of not have a significant economic impact elsewhere in this preamble. Management and Budget, with an on a substantial number of small entities explanation of why using these Taking of Private Property because the safety zone will only be in standards would be inconsistent with effect for 2 hours late in the evening This rule will not affect taking of applicable law or otherwise impractical. when vessel traffic is low. Before the private property or otherwise have Voluntary consensus standards are effective period, we will publish taking implications under Executive technical standards (e.g., specifications advisories in the Local Notice to Order 12630, Governmental Actions and of materials, performance, design, or Mariners available to users of the river. Interference with Constitutionally operation; test methods; sampling Maritime traffic will be able to schedule Protected Property Rights. procedures; and related management their transits around this safety zone. Civil Justice Reform systems practices) that are developed or adopted by voluntary consensus Assistance for Small Entities This rule meets applicable standards standards bodies. Under section 213(a) of the Small in sections 3(a) and 3(b)(2) of Executive Business Regulatory Enforcement Order 12988, Civil Justice Reform, to This rule does not use technical Fairness Act of 1996 (Pub. L. 104–121), minimize litigation, eliminate standards. Therefore, we did not we offer to assist small entities in ambiguity, and reduce burden. consider the use of voluntary consensus standards. understanding the rule so that they can Protection of Children better evaluate its effects on them and Environment participate in the rulemaking process. We have analyzed this rule under Small businesses may send comments Executive Order 13045, Protection of We have analyzed this rule under on the actions of Federal employees Children from Environmental Health Department of Homeland Security who enforce, or otherwise determine Risks and Safety Risks. This rule is not Management Directive 023–01 and compliance with, Federal regulations to an economically significant rule and Commandant Instruction M16475.lD, does not create an environmental risk to the Small Business and Agriculture which guide the Coast Guard in health or risk to safety that may Regulatory Enforcement Ombudsman complying with the National disproportionately affect children. and the Regional Small Business Environmental Policy Act of 1969 Regulatory Fairness Boards. The Indian Tribal Governments (NEPA) (42 U.S.C. 4321–4370f), and Ombudsman evaluates these actions have concluded this action is one of a annually and rates each agency’s This rule does not have Tribal category of actions which do not responsiveness to small business. If you implications under Executive Order individually or cumulatively have a wish to comment on actions by 13175, Consultation and Coordination significant effect on the human employees of the Coast Guard, call with Indian Tribal Governments, environment. This rule is categorically 1–888–REG–FAIR (1–888–734–3247). because it does not have a substantial The Coast Guard will not retaliate direct effect on one or more Indian excluded, under figure 2–1, paragraph against small entities that question or Tribes, on the relationship between the (34)(g) of the Instruction. This rule complain about this rule or any policy Federal Government and Indian Tribes, involves the establishment of a safety or action of the Coast Guard. or on the distribution of power and zone around the fall out area of a responsibilities between the Federal fireworks zone. An environmental Collection of Information Government and Indian Tribes. analysis checklist and a categorical exclusion determination are available in This rule calls for no new collection Energy Effects of information under the Paperwork the docket where indicated under Reduction Act of 1995 (44 U.S.C. 3501– We have analyzed this rule under ADDRESSES. 3520). Executive Order 13211, Actions Concerning Regulations That List of Subjects in 33 CFR Part 165 Federalism Significantly Affect Energy Supply, Harbors, Marine safety, Navigation A rule has implications for federalism Distribution, or Use. We have under Executive Order 13132, determined that it is not a ‘‘significant (water), Reporting and recordkeeping Federalism, if it has a substantial direct energy action’’ under that order because requirements, Security measures, effect on State or local governments and it is not a ‘‘significant regulatory action’’ Waterways. would either preempt State law or under Executive Order 12866, as For the reasons discussed in the impose a substantial direct cost of supplemented by Executive Order preamble, the Coast Guard amends 33 compliance on them. We have analyzed 13566 and is not likely to have a CFR part 165 as follows:

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PART 165—REGULATED NAVIGATION FEDERAL COMMUNICATIONS SW., Room CY–B402, Washington, DC AREAS AND LIMITED ACCESS AREAS COMMISSION 20554, telephone: (800) 378–3160, fax: (202) 488–5563, or Internet: http:// ■ 1. The authority citation for part 165 47 CFR Parts 1 and 64 www.bcpiweb.com. Document FCC 11– continues to read as follows: [CG Docket No. 11–47; FCC 11–150] 150 can also be downloaded in Word or Portable Document Format (PDF) at Authority: 33 U.S.C. 1231; 46 U.S.C. http://www.fcc.gov/encyclopedia/ Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; Contributions to the 33 CFR 1.05–1, 6.04–1, 6.04–6, 160.5; Pub. L. Telecommunications Relay Services twenty-first-century-communications- 107–295, 116 Stat. 2064; Department of Fund and-video-accessibility-act-0 and at Homeland Security Delegation No. 0170.1. http://transition.fcc.gov/cgb/dro/ AGENCY: Federal Communications trs.html. To request materials in ■ 2. Add § 165.T13–195 to read as Commission. accessible formats for people with follows: ACTION: Final rule. disabilities (Braille, large print, electronic files, audio format), send an SUMMARY: In this document, the Federal § 165.T13–195 Safety Zone; Waverly e-mail to [email protected] or call the Country Club Fireworks Display on the Communications Commission (FCC or Consumer and Governmental Affairs Willamette River, Portland, OR. Commission) adopts rules to implement Bureau at 202–418–0530 (voice) or 202– a provision of the Twenty-First Century 418–0432 (TTY). (a) Location. This rule establishes a Communications and Video safety zone on the Willamette River in Accessibility Act of 2010 (CVAA), Final Paperwork Reduction Act of 1995 the vicinity of the Waverly Country which requires each provider of Analysis Club, Portland, Oregon: all waters on interconnected voice over Internet This document contains new and the Willamette River between two lines; protocol (VoIP) service or non- line one starts on the east bank at modified information collection ° ′ ″ interconnected VoIP service to begin requirements. The Commission, as part latitude 45 27 9.13 N, longitude participating in and contributing to the 122°39′20.99 W then stretches across of its continuing effort to reduce interstate Telecommunications Relay paperwork burdens, invited the general the river to the west bank at latitude Services (TRS) Fund in a manner 45°27′6.78″ N, longitude 122°39′31.31″ public to comment on the information prescribed by regulation that is collection requirements contained in W, line two starts twelve hundred feet consistent with and comparable to the upstream on the east bank at latitude document FCC 11–150 as required by ° ′ ″ ° ′ ″ obligations of other TRS Fund the Paperwork Reduction Act of 1995, 45 26 57.09 N, longitude 122 39 14.35 contributors. W then stretches across the river to the Public Law 104–13. In addition, west bank at latitude 45°26′53.81″ N, DATES: Effective November 25, 2011. pursuant to the Small Business longitude 122°39′25.40″ W. ADDRESSES: Federal Communications Paperwork Relief Act of 2002, Public Geographically this safety zone covers Commission, 445 12th Street, SW., Law 107–198, the Commission all waters of the Willamette River in Washington, DC 20554. previously sought specific comment on front of the Waverly Country Club FOR FURTHER INFORMATION CONTACT: how the Commission might ‘‘further extending upriver and downriver 600 Rosaline Crawford, Consumer and reduce the information collection feet from the firing site at approximate Governmental Affairs Bureau, Disability burden for small business concerns with latitude 45°27′3.60″ N, longitude Rights Office, at (202) 418–2075 or fewer than 25 employees.’’ See 44 122°39′17.99″ W and extending over the e-mail [email protected]. For U.S.C. 3506(c)(4). In this present river to the west bank in a rectangular additional information concerning the document, the Commission has assessed shape. Paperwork Reduction Act (PRA) the effects of the rules for contributions to the TRS Fund and finds that the (b) Regulations. In accordance with information collection requirements contained in document FCC 11–150, collection of information requirements the general regulations in 33 CFR part will not have a significant impact on 165, Subpart C, no person or vessel may contact Cathy Williams, Federal Communications Commission, at (202) small business concerns with fewer than enter or remain in the safety zone 25 employees. The Commission created by this section without the 418–2918 or e-mail [email protected]. received pre-approval from OMB for the permission of the Captain of the Port or information collection requirements on his designated representative. SUPPLEMENTARY INFORMATION: This is a May 23, 2011, and the information Designated representatives are Coast summary of the Commission’s collection requirements were adopted as Guard personnel authorized by the Contributions to the proposed. See OMB Control Number Captain of the Port to grant persons or Telecommunications Relay Service 3060–0855. vessels permission to enter or remain in Fund, Report and Order (Order), the safety zone created by this section. document FCC 11–150, adopted October Congressional Review Act See 33 CFR part 165, Subpart C, for 7, 2011, released October 7, 2011, in CG The Commission will send a copy of additional information and Docket No. 11–47. document FCC 11–150 in a report to be requirements. The full text of document FCC 11–150 sent to Congress and the Government (c) Enforcement Period. The safety and copies of any subsequently filed Accountability Office pursuant to the zone detailed in paragraph (a) is documents in this matter will be Congressional Review Act. See 5 U.S.C. effective from 8:30 p.m. until 10:30 p.m. available for public inspection and 801(a)(1)(A). on November 5, 2011. copying via ECFS, and during regular business hours at the FCC Reference Synopsis Dated: September 22, 2011. Information Center, Portals II, 445 12th 1. Document FCC 11–150 implements B.C. Jones, Street, SW., Room CY–A257, a provision of the CVAA, Public Law Captain, U.S. Coast Guard, Captain of the Washington, DC 20554. They may also 111–260, 124 Stat. 2751 (2010). The Port, Columbia River. be purchased from the Commission’s CVAA added a new section 715, 47 [FR Doc. 2011–27515 Filed 10–24–11; 8:45 am] duplicating contractor, Best Copy and U.S.C. 616, to the Communications Act BILLING CODE 9110–04–P Printing, Inc., Portals II, 445 12th Street, of 1934, as amended (the Act), which

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requires each interconnected VoIP VoIP revenues. The contribution user telecommunications revenues.’’ 47 service provider and each provider of amount is the product of the service CFR 64.604(c)(5)(iii)(A) of the non-interconnected VoIP service to provider’s interstate end-user revenues Commission’s rules. To achieve participate in and contribute to the TRS and a contribution factor determined consistency with the obligations of other Fund. Section 715 of the Act also annually by the Commission. providers that must contribute to the requires the Commission to adopt Contributors are required to register TRS Fund, the Commission will base all regulations to provide for obligations of with the Commission, designate a TRS Fund contributions of non- such providers that are consistent with District of Columbia agent for service of interconnected VoIP service providers and comparable to the obligations of process, and file a completed only on their interstate end-user other contributors to the TRS Fund. Telecommunications Reporting revenues at this time. The Commission Currently, providers of interstate and Worksheet (FCC Form 499–A) by April will not require non-interconnected international telecommunications 1 of each year to report their interstate VoIP service providers who do not services and interconnected VoIP end-user revenues. generate interstate end-user revenues service contribute to the TRS Fund, but 4. Unlike providers of interconnected (i.e., who offer their services for free) to non-interconnected VoIP providers do VoIP service, providers of ‘‘non- contribute to the TRS Fund. The not. In document FCC 11–150, the interconnected VoIP service’’ have not Commission reserves the right to re-visit Commission affirms that TRS Fund been required to contribute to the TRS ways to assess contributions based on contributions are assessed against Fund. Nor have non-interconnected revenue from alternate or additional interstate end-user revenues. Where VoIP service providers been required to sources from providers of these interstate end-user revenues are register with the Commission, designate technologies (e.g., advertising) to generated from non-interconnected VoIP a District of Columbia agent for service support TRS in the future. services offered with other (non-VoIP) of process, or report revenues through 9. Specifically, the Commission services, the Commission directs that the annual filing of FCC Form 499–A for requires providers that offer non- TRS contributions not be assessed any purpose. interconnected VoIP services on a stand- against those revenues unless the 5. On March 3, 2011, the Commission alone basis for a fee to contribute to the providers of such services (1) also offer released a Notice of Proposed TRS Fund on the basis of their interstate the non-interconnected VoIP service on Rulemaking seeking comment on end-user revenues generated from such a stand-alone basis for a fee; or (2) also proposals to implement section 715 of services. The Commission also requires offer the non-VoIP services without the the Act’s requirement for VoIP service providers of non-interconnected VoIP non-interconnected VoIP services at a providers to participate in and services that are offered with other (non- different (discounted) price. Document contribute to the TRS Fund. See VoIP) services that generate end-user FCC 11–150 also affirms that only Contributions to the revenues to allocate a portion of those service providers with interstate end- Telecommunications Relay Services end-user revenues to the non- user revenues must contribute a Fund, Notice of Proposed Rulemaking, interconnected VoIP service in two minimum of $25 to the TRS Fund. In published at 76 FR 18490, April 4, 2011 circumstances: (1) When those addition, document FCC 11–150 (TRS Contribution NPRM). providers also offer the non- addresses registration and reporting interconnected VoIP service on a stand- Definitions requirements, the methodology for alone basis for a fee; or (2) when those calculating interstate end-user revenues 6. As proposed in the TRS providers also offer the other (non-VoIP) by non-interconnected VoIP service Contribution NPRM, the Commission services without the non-interconnected providers, and the implementation amends the TRS rules to adopt the VoIP service feature at a different deadlines for these providers. CVAA definition of ‘‘interconnected (discounted) price. Such providers may VoIP service,’’ 47 U.S.C. 153(25), as use the safe harbor methods established Background defined in § 9.3 of the Commission’s in the CPE Bundling Order for allocating 2. Section 225 to the Communications rules, ‘‘as such section may be amended revenues, published at 66 FR 19398, Act, 47 U.S.C. 225(b)(1), requires the from time to time.’’ See 47 CFR 9.3 of April 6, 2001. The Commission also Commission to ensure that TRS are the Commission’s rules. notes that nothing in document FCC 11– available to enable persons with hearing 7. In addition, the Commission adds 150 disturbs or calls into question the or speech disabilities in the United the definition of ‘‘non-interconnected validity of apportioning assessable States to make and receive calls. The VoIP service,’’ as set forth in the CVAA, revenues from bundled services Commission has recognized and permits 47 U.S.C. 153(36), to the TRS rules at 47 offerings for purposes of Universal compensation for various forms of TRS, CFR 64.601(a). The CVAA defines ‘‘non- Service Fund (USF) contributions, as including TTY-to-voice, speech-to- interconnected VoIP service’’ as a currently allowed under the CPE speech, captioned telephone relay service that (1) enables real-time voice Bundling Order. service, and Internet-based forms of communications that originate from or 10. For all other providers of non- TRS, such as video relay service, terminate to the user’s location using interconnected VoIP service, the Internet protocol (IP) relay, and IP Internet protocol or any successor Commission finds good cause to waive captioned telephone relay service. protocol; (2) requires Internet protocol their TRS Fund contribution obligations 3. There are two components to the compatible customer premises until further notice. In other words, the cost recovery framework for interstate equipment; and (3) does not include any Commission waives the TRS Fund TRS: (1) Collecting contributions which service that is an interconnected VoIP contribution requirements (registration, are put into the TRS Fund; and (2) service. reporting, and payment of compensating eligible TRS providers contributions) for providers of non- from the TRS Fund for the costs of Participation in and Contribution to the interconnected VoIP services other than providing eligible TRS services. Carriers TRS Fund (A) providers that offer non- and, since 2007, interconnected VoIP 8. Revenue Base. Currently, interconnected VoIP services on a stand- service providers contribute to the TRS contributions to the TRS Fund from alone basis for a fee; and (B) providers Fund on the basis of interstate end-user carriers and interconnected VoIP service of non-interconnected VoIP services that telecommunications and interconnected providers are based on ‘‘interstate end- are offered with other (non-VoIP)

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services that generate end-user revenues Commission also modifies TRS rule 47 following deadlines for non- (1) when those providers also offer the CFR 64.604(c)(5)(iii)(A) of its rules by interconnected VoIP service providers non-interconnected VoIP service on a replacing the phrase ‘‘interstate end- that have interstate end-user revenues stand-alone basis for a fee, or (2) when user telecommunications revenues’’ that are subject to contribution to the those providers also offer the other with ‘‘interstate end-user revenues’’ and TRS Fund: (non-VoIP) services without the non- by deleting the last sentence. These • By December 31, 2011, non- interconnected VoIP service feature at a changes will serve to distinguish non- interconnected VoIP service providers different (discounted) price. As the interconnected VoIP service revenues shall register with the Commission and Commission gains experience with the from telecommunications revenues designate a District of Columbia agent practices of providers of non- when these are reported on FCC Form for service of process using FCC Form interconnected VoIP services, it may re- 499–A. 499–A in accordance with the form’s visit the continued need for this waiver 14. Interstate Revenue Safe Harbor. instructions. and the extent to which it needs to Because some interconnected VoIP • By April 1, 2012, non- revise its rules governing these service providers may not have the interconnected VoIP service providers assessments, to ensure consistent and ability to identify whether their calls are shall complete and submit FCC Form comparable obligations among all TRS interstate, the Commission’s rules 499–A to report fourth-quarter 2011 Fund contributors. permit an interconnected VoIP service interstate end-user revenues, which 11. Minimum Contribution provider to use actual revenues, a traffic shall be the basis for TRS Fund Requirement. The Commission’s current study, or the interim safe harbor contributions for the 2012–2013 funding rules do not require telecommunications percentage of 64.9 (to estimate the period. or interconnected VoIP service interstate portion of total end-user Final Regulatory Flexibility providers that have no end-user revenues) for the purposes of reporting Certification revenues for a given reporting year to interstate end-user revenues on the FCC contribute the minimum $25 or a ‘‘de Form 499–A and making TRS Fund 18. The Regulatory Flexibility Act of minimis’’ amount to the TRS Fund. contributions. The Commission now 1980, as amended (RFA), requires that a Because the Commission finds that concludes that it is also appropriate to regulatory flexibility analysis be imposing a minimum contribution permit non-interconnected VoIP service prepared for rulemaking proceedings, requirement for non-interconnected providers to report their interstate end- unless the agency certifies that ‘‘the rule VoIP service providers with no end-user user revenues using actual revenues, a will not, if promulgated, have a revenues would not be consistent with traffic study, or the interim 64.9 percent significant economic impact on a or comparable to the obligations of other safe harbor. substantial number of small entities.’’ contributors, as directed by the CVAA, 15. Billed or Collected Revenue. The See 5 U.S.C. 603. The RFA generally it will not require a minimum Commission concludes that, consistent defines the term ‘‘small entity’’ as contribution requirement for these with the manner in which USF having the same meaning as the terms providers. assessable revenues are determined, the ‘‘small business,’’ ‘‘small organization,’’ 12. Contributor Registration. The contribution base for TRS will be and ‘‘small governmental jurisdiction.’’ Commission requires non- determined from gross billed revenues, 5 U.S.C. 601(6). In addition, the term interconnected VoIP service providers minus uncollectible revenues/bad debt ‘‘small business’’ has the same meaning with interstate end-user revenues to expenses. Revising calculations in this as the term ‘‘small business concern’’ register with the Commission and manner will achieve greater consistency under the Small Business Act. 5 U.S.C. designate a District of Columbia agent in the administration of the USF and 601(3). A ‘‘small business concern’’ is for service of process. Registration with TRS Fund. one that: (1) Is independently owned the Commission includes obtaining an 16. Conforming Amendments to and operated; (2) is not dominant in its FCC registration number (FRN) from the Rules. The Commission replaces the field of operation; and (3) satisfies any Commission registration system terms ‘‘carrier,’’ ‘‘carriers,’’ and ‘‘service additional criteria established by the (CORES), in accordance with the FCC providers’’ in 47 CFR 64.604(c)(5)(iii)(B) Small Business Administration (SBA). Form 499–A Instructions. The of its rules with the term 15 U.S.C. 632. Commission further adopts this ‘‘contributor(s).’’ Similarly, the 19. The Commission adopts rules to registration requirement as part of the Commission replaces the terms require providers of non-interconnected TRS rules and also amends 47 CFR ‘‘interstate end-user VoIP service to contribute to the 1.47(h) of its rules to make these telecommunications revenues’’ and interstate TRS Fund. Non- requirements applicable to non- ‘‘interstate end-user revenues of such interconnected VoIP services enable interconnected VoIP service providers services’’ in 47 CFR 64.604(c)(5)(iii)(B) real-time voice communications that with interstate end-user revenues that of its rules with the term ‘‘revenues originate from or terminate to the user’s are subject to contribution to the TRS subject to contributions.’’ location using Internet protocol or any Fund. 17. Implementation Deadlines. successor protocol, requires Internet 13. FCC Form 499–A. The Section 715 of the Act requires the protocol compatible customer premises Commission amends the TRS rules to Commission to ensure that each equipment, and does not include any require non-interconnected VoIP service provider of interconnected and non- service that is an interconnected VoIP providers to contribute to the TRS Fund interconnected VoIP service participates service. 47 U.S.C. 153(36). TRS are and directs them to use FCC Form 499– in and contributes to the TRS Fund services that enable individuals who are A to report their interstate end-user within one year after the CVAA’s deaf, hard of hearing, deaf-blind, or who revenues for purposes of TRS Fund enactment, i.e., by October 8, 2011. have a speech disability to make and contributions. The 2012 version of FCC Interconnected VoIP service providers receive calls. 47 U.S.C. 225(b)(1). There Form 499–A has a new line 418.4 have already met this statutory are two components to the cost recovery designated for reporting ‘‘non- requirement because they have been framework for interstate TRS: interconnected VoIP revenues not reporting revenues and contributing to (1) Collecting contributions which are included in any other category,’’ which the TRS Fund on an annual basis since put into the interstate TRS Fund; and (2) shall be used for this purpose. The 2007. The Commission adopts the compensating TRS providers from the

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TRS Fund for the costs of providing TRS 23. Currently, all TRS Fund (discounted) price. Such providers may services. Document FCC 11–150 contributors must register with the use the safe harbor methods identified addresses the first component— Commission and designate a District of in the CPE Bundling Order for allocating contributions to the interstate TRS Columbia agent for service of process. and reporting revenues. See CPE Fund. Contributors file a completed FCC Form Bundling Order, published at 66 FR 20. In summary, the rules adopted in 499–A annually to report their interstate 19393, April 16, 2001. Historically, document FCC 11–150 require providers end-user revenues. Contributions to the contributions to the TRS Fund have of non-interconnected VoIP services that TRS Fund are made on the basis of been slightly less than one percent of generate interstate end-user revenues to interstate end-user revenues. The revenues. The contribution factor for the take the following actions: Register with amount of interstate end-user revenues 2011–2012 TRS Fund year is 1.058 the Commission; designate a District of reported on FCC Form 499–A is percent. See Telecommunications Relay Columbia agent for service of process; multiplied by a contribution factor, Services and Speech-to-Speech Services complete and submit a determined annually by the for Individuals With Hearing and Telecommunications Reporting Commission, to compute the amount of Speech Disabilities; Structure and Worksheet (FCC Form 499–A) annually the TRS Fund contribution for that year. Practices of the Video Relay Service to report their interstate end-user Historically, contributions to the TRS Program, Order, published at 76 FR revenues; and contribute approximately Fund have been slightly less than one 44326, July 25, 2011. This contribution one percent of their interstate end-user percent of interstate end-user revenues. rate will not have a significant economic revenues or a minimum $25 to the TRS 24. The rules adopted in document impact upon small entities. Fund. As described more fully below, FCC 11–150 require non-interconnected 27. Document FCC 11–150 also these actions will not have a significant VoIP service providers with interstate affirms that service providers with economic impact on providers of non- end-user revenues to also register with interstate end-user revenues must interconnected VoIP services with the Commission and designate a District contribute a minimum of $25 to the TRS interstate end-user revenues. Further, of Columbia agent for service of process Fund. See 47 CFR 64.604(c)(5)(iii)(B) of the rules adopted in document FCC 11– using FCC Form 499–A in accordance the Commission’s rules. A $25 150 will have no economic impact on with its instructions. These providers contribution does not constitute a providers of free non-interconnected must also complete and submit FCC significant economic impact on small VoIP services, because those providers Form 499–A annually to report their entities. are not required to take any action. interstate end-user revenues. It has 21. In the TRS Contribution NPRM, previously been estimated that filling 28. Therefore, based on the foregoing published at 76 FR 18490, April 4, 2011, out the FCC Form 499–A takes 13.5 analysis of all foreseeable economic the Commission concluded that no hours (i.e., less than two work days of impacts, the Commission certifies that Initial Regulatory Flexibility Analysis a single full-time employee) annually. the requirements of document FCC 11– was required because, even if a Thus, completing and submitting FCC 150 will not have a significant economic substantial number of small entities Form 499–A does not have a significant impact on a substantial number of small might be affected by the proposed rules, economic impact upon small entities. entities. the cumulative economic impact on any 25. Document FCC 11–150 affirms 29. The Commission will send a copy entity required to participate in and that contributions to the TRS Fund are of document FCC 11–150, including a contribute to the TRS Fund will be de made on the basis of interstate end-user copy of the Final Regulatory Flexibility minimis. The Commission now certifies revenues. Non-interconnected VoIP Certification, in a report to Congress that the rules adopted in document FCC service providers that offer their pursuant to the Congressional Review 11–150 will not have a significant services for free have no interstate end- Act. See 5 U.S.C. 801(a)(1)(A). In economic impact on a substantial user revenues and, therefore, no addition, document FCC 11–150 and the number of small entities. requirement to register with the final certification will be sent to the 22. The rules adopted in document Commission, designate a District of Chief Counsel for Advocacy of the SBA. FCC 11–150 implement section 103(b) Columbia agent for service of process, 5 U.S.C. 605(b). of the CVAA, Public Law 111–260, complete and submit a FCC Form 499– section 103(b), 124 Stat. 2751, 2755 A, or contribute any amount to the TRS Ordering Clauses (2010). Section 103(b) of the CVAA adds Fund. Consequently, these rules will not Pursuant to the authority contained in section 715 to the Communications Act. have any economic impact on providers sections 1, 4(i), 4(j), 225, and 715 of the 47 U.S.C. 616. Section 715 of the Act of free non-interconnected VoIP Communications Act of 1934, as requires each provider of interconnected services. amended, 47 U.S.C. 151, 154(i), 154(j), VoIP service provider or non- 26. TRS Fund contributions will be 225, and 616, document FCC 11–150 is interconnected VoIP service to assessed against interstate end-user adopted. participate in and contribute to the revenues from non-interconnected VoIP The Commission’s Consumer and interstate TRS Fund by October 8, 2011, services provided as a stand-alone Governmental Affairs Bureau, Reference in a manner that is consistent with and offering for a fee (not for free). TRS Information Center, SHALL SEND a comparable to the obligations of other Fund contributions will also be assessed copy of document FCC 11–150, TRS Fund contributors. Carriers have against the interstate end-user revenues including the Final Regulatory been contributing to the TRS Fund since generated from other (non-VoIP) Flexibility Certification, to the Chief its inception. Providers of services (e.g., a video gaming service) Counsel for Advocacy of the Small interconnected VoIP services have been that have a non-interconnected VoIP Business Administration. contributing to the TRS Fund since service feature or function: (1) When 2007. The CVAA, in effect, affirms the these providers also offer the non- List of Subjects contribution requirement for providers interconnected VoIP service on a stand- 47 CFR Part 1 of interconnected VoIP services, and alone basis for a fee; or (2) when these extends this contribution requirement to providers also offer the other (non-VoIP) Communications common carriers, non-interconnected VoIP service services without the non-interconnected Reporting and recordkeeping providers. VoIP service feature at a different requirements, Telecommunications.

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47 CFR Part 64 Enforcement Bureau’s Market Disputes Authority: 47 U.S.C. 151–154; 225, 255, 303(r), 616, and 620. Reporting and recordkeeping Resolution Division. Such carriers, requirements, Telecommunications, interconnected VoIP providers, and ■ 5. In § 64.601, revise paragraph Telephone. non-interconnected VoIP providers may (a)(10), redesignate paragraphs (a)(15) file a hard copy of the relevant portion through (a)(28) as paragraphs (a)(16) Federal Communications Commission. of the Telecommunications Reporting through (a)(29), and add new paragraph Marlene H. Dortch, Worksheet, as delineated by the (a)(15) to read as follows: Secretary. Commission in the Federal Register, to § 64.601 Definitions and provisions of Final Rules satisfy this requirement. Each Telecommunications Reporting general applicability. For the reasons discussed in the Worksheet filed annually by a common (a) * * * preamble, the Federal Communications carrier, interconnected VoIP provider, or (10) Interconnected VoIP service. The Commission amends 47 CFR parts 1 and non-interconnected VoIP provider must term ‘‘interconnected VoIP service’’ has 64 as follows: contain a name, business address, the meaning given such term under § 9.3 telephone or voicemail number, of title 47, Code of Federal Regulations, PART 1—PRACTICE AND facsimile number, and, if available, as such section may be amended from PROCEDURE Internet e-mail address for its time to time. ■ 1. The authority citation for part 1 designated agents, regardless of whether * * * * * (15) Non-interconnected VoIP service. continues to read as follows: such information has been revised since the previous filing. Carriers, The term ‘‘non-interconnected VoIP Authority: 15 U.S.C. 79 et seq.; 47 U.S.C. interconnected VoIP providers, and service’’— 151, 154(i), 154(j), 155, 157, 225, 227, 303(r), (i) Means a service that— and 309. non-interconnected VoIP providers must notify the Commission within one (A) Enables real-time voice ■ 2. In § 1.47, revise paragraph (h) to week of any changes in their communications that originate from or read as follows: designation information by filing terminate to the user’s location using Internet protocol or any successor § 1.47 Service of documents and proof of revised portions of the service. Telecommunications Reporting protocol; and (B) Requires Internet protocol * * * * * Worksheet with the Chief of the Enforcement Bureau’s Market Disputes compatible customer premises (h) Every common carrier and equipment; and interconnected VoIP provider, as Resolution Division. A paper copy of this designation list shall be maintained (ii) Does not include any service that defined in § 54.5 of this chapter, and is an interconnected VoIP service. non-interconnected VoIP provider, as in the Office of the Secretary of the defined in § 64.601(a)(15) of this chapter Commission. Service of any notice, * * * * * 6. In § 64.604, revise paragraphs and with interstate end-user revenues process, orders, decisions or (c)(5)(iii)(A) and (c)(5)(iii)(B), remove that are subject to contribution to the requirements of the Commission may be paragraph (c)(5)(iii)(D), redesignate Telecommunications Relay Service made upon such carrier, interconnected paragraph (c)(5)(iii)(C) as paragraph Fund, that is subject to the VoIP provider, or non-interconnected (c)(5)(iii)(D), and add new paragraph Communications Act of 1934, as VoIP provider by leaving a copy thereof (c)(5)(iii)(C) to read as follows: amended, shall designate an agent in the with such designated agent at his office District of Columbia, and may designate or usual place of residence. If such § 64.604 Mandatory minimum standards. carrier, interconnected VoIP provider, or additional agents if it so chooses, upon * * * * * whom service of all notices, process, non-interconnected VoIP provider fails (c) * * * orders, decisions, and requirements of to designate such an agent, service of (5) * * * the Commission may be made for and any notice or other process in any (iii) * * * on behalf of such carrier, interconnected proceeding before the Commission, or of (A) Contributions. Every carrier VoIP provider, or non-interconnected any order, decision, or requirement of providing interstate telecommunications VoIP provider in any proceeding before the Commission, may be made by services (including interconnected VoIP the Commission. Such designation shall posting such notice, process, order, service providers pursuant to include, for the carrier, interconnected requirement, or decision in the Office of § 64.601(b)) and every provider of non- VoIP provider, or non-interconnected the Secretary of the Commission. interconnected VoIP service shall VoIP provider and its designated agents, contribute to the TRS Fund on the basis PART 64—MISCELLANEOUS RULES a name, business address, telephone or of interstate end-user revenues as RELATING TO COMMON CARRIERS voicemail number, facsimile number, described herein. Contributions shall be and, if available, Internet e-mail made by all carriers who provide ■ 3. The authority citation for part 64 is address. Such carrier, interconnected interstate services, including, but not revised to read as follows: VoIP provider, or non-interconnected limited to, cellular telephone and VoIP provider shall additionally list any Authority: 47 U.S.C. 154, 254(k), 227; secs. paging, mobile radio, operator services, other names by which it is known or 404(b)(2)(B), (c), Pub. L. 104–104, 110 Stat. personal communications service (PCS), under which it does business, and, if the 56. Interpret or apply 47 U.S.C. 201, 218, 222, access (including subscriber line carrier, interconnected VoIP provider, or 225, 226, 227, 228, 254(k), 616, and 620, unless otherwise noted. charges), alternative access and special non-interconnected VoIP provider is an access, packet-switched, WATS, 800, affiliated company, the parent, holding, Subpart F—Telecommunications Relay 900, message telephone service (MTS), or management company. Within thirty Services and Related Customer private line, telex, telegraph, video, (30) days of the commencement of Premises Equipment for Persons With satellite, intraLATA, international and provision of service, such carrier, Disabilities resale services. interconnected VoIP provider, or non- (B) Contribution computations. interconnected VoIP provider shall file ■ 4. The authority citation for subpart F Contributors’ contributions to the TRS such information with the Chief of the is revised to read as follows: fund shall be the product of their

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subject revenues for the prior calendar described in paragraphs (c)(5)(iii)(C)(3) FEDERAL COMMUNICATIONS year and a contribution factor and (c)(5)(iii)(C)(4) of this section. Any COMMISSION determined annually by the non-interconnected VoIP service Commission. The contribution factor provider already providing interstate 47 CFR Part 101 shall be based on the ratio between service that generates interstate end-user expected TRS Fund expenses to the revenue that is subject to contribution to [WT Docket No. 10–153; RM–11602; DA 11– contributors’ revenues subject to the Telecommunications Relay Service 1674] contribution. In the event that Fund on the effective date of these rules contributions exceed TRS payments and shall submit the relevant portion of its Facilitating the use of Microwave for administrative costs, the contribution FCC Form 499–A in accordance with Wireless Backhaul and Other Uses and factor for the following year will be paragraphs (c)(5)(iii)(C)(2) and (3) of this Providing Additional Flexibility To adjusted by an appropriate amount, section. Broadcast Auxiliary Service and taking into consideration projected cost Operational Fixed Microwave and usage changes. In the event that (2). Information required for purposes Licensees contributions are inadequate, the fund of TRS Fund contributions. A non- administrator may request authority interconnected VoIP service provider AGENCY: Federal Communications from the Commission to borrow funds that is subject to the registration Commission. commercially, with such debt secured requirement pursuant to paragraph by future years’ contributions. Each (c)(5)(iii)(C)(1) of this section shall ACTION: Final rule; correction. subject contributor that has revenues provide the following information: subject to contribution must contribute SUMMARY: This document contains (i) The provider’s business name(s) at least $25 per year. Contributors corrections to the final regulations whose annual contributions total less and primary address; which were published in the Federal than $1,200 must pay the entire (ii) The names and business addresses Register on Tuesday, September 27, contribution at the beginning of the of the provider’s chief executive officer, 2011 (76 FR 59559), of a Report and contribution period. Contributors whose chairman, and president, or, in the Order and Memorandum Opinion and contributions total $1,200 or more may event that a provider does not have such Order, FCC 11–120, adopted and divide their contributions into equal executives, three similarly senior-level released on August 9, 2011. This monthly payments. Contributors shall officials of the provider; document corrects Appendix A by complete and submit, and contributions (iii) The provider’s regulatory contact correcting adopted § 101.147(p). shall be based on, a ‘‘Telecommunications Reporting and/or designated agent; DATES: Effective on October 27, 2011. Worksheet’’ (as published by the (iv) All names that the provider has FOR FURTHER INFORMATION CONTACT: John Commission in the Federal Register). used in the past; and Schauble, Wireless Telecommunications The worksheet shall be certified to by an (v) The state(s) in which the provider Bureau, Broadband Division, at 202– officer of the contributor, and subject to provides such service. 418–0797 or by e-mail to verification by the Commission or the [email protected]. administrator at the discretion of the (3). Submission of registration. A Commission. Contributors’ statements provider that is subject to the SUPPLEMENTARY INFORMATION: The FCC in the worksheet shall be subject to the registration requirement pursuant to published a document in the Federal provisions of section 220 of the paragraph (c)(5)(iii)(C)(1) of this section Register on September 27, 2011 (76 FR Communications Act of 1934, as shall submit the information described 59559), adopting final rules in amended. The fund administrator may in paragraph (c)(5)(iii)(C)(2) of this § 101.147(p). In the Federal Register bill contributors a separate assessment section in accordance with the document FCC 11–120, published on for reasonable administrative expenses Instructions to FCC Form 499–A. FCC September 27, 2011 (76 FR 59559), the and interest resulting from improper Form 499–A must be submitted under table under § 101.147(p)(2)(v) was filing or overdue contributions. The oath and penalty of perjury. incorrect. This document makes the Chief of the Consumer and (4). Changes in information. A following correction. Governmental Affairs Bureau may provider must notify the Commission of waive, reduce, modify or eliminate PART 101 [CORRECTED] any changes to the information provided contributor reporting requirements that prove unnecessary and require pursuant to paragraph (c)(5)(iii)(C)(2) of § 101.147 [Corrected] additional reporting requirements that this section within no more than one ■ In the FR Doc. 2011–23001, published the Bureau deems necessary to the week of the change. Providers may on September 27, 2011 (76 FR 59559), sound and efficient administration of satisfy this requirement by filing the make the following correction. On page the TRS Fund. relevant portion of FCC Form 499–A in (C) Registration Requirements for accordance with the Instructions to such 59574, in the first and second columns, Providers of Non-Interconnected VoIP form. § 101.147(p)(2)(v) is corrected to read as follows: Service. * * * * * (1). Applicability. A non- (v) 50 MHz bandwidth channels: interconnected VoIP service provider [FR Doc. 2011–27480 Filed 10–24–11; 8:45 am] that will provide interstate service that BILLING CODE 6712–01–P Transmit Receive generates interstate end-user revenue (receive) (transmit) that is subject to contribution to the (MHz) (MHz) Telecommunications Relay Service 12725 12950 Fund shall file the registration 12775 13000 information described in paragraph 12825 13050 (c)(5)(iii)(C)(2) of this section in 12875 13100 accordance with the procedures

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Federal Communications Commission. heavy-duty vehicles. It was not intended DEPARTMENT OF COMMERCE Blaise A. Scinto, to replace the definition of ‘‘base tire’’ Chief, Broadband Division, Wireless for light-duty vehicles, as its current National Oceanic and Atmospheric Telecommunications Bureau. location would suggest. To correct the Administration [FR Doc. 2011–27585 Filed 10–24–11; 8:45 am] mistake, NHTSA is moving the BILLING CODE 6712–01–P definition to its original intended 50 CFR Part 648 location in 49 CFR part 535, and adding [Docket No. 0907301205–0289–02] the words ‘‘for heavy-duty vehicles’’ to DEPARTMENT OF TRANSPORTATION alleviate any confusion. The previous RIN 0648–XA767 definition for ‘‘base tire’’ for light duty Fisheries of the Northeastern United National Highway Traffic Safety vehicles will be restored, and the words States; Atlantic Herring Fishery; Administration ‘‘for passenger automobiles, light trucks Adjustment to the Atlantic Herring and medium-duty passenger vehicles’’ Management Area 1A Sub-Annual 49 CFR Parts 523 and 535 will be added. Catch Limit [NHTSA 2010–0079; EPA–HQ–OAR–2010– List of Subjects in 49 CFR Parts 523 and 0162; FRL–9455–1] 535 AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and RIN 2127–AK74 Fuel efficiency. Atmospheric Administration (NOAA), Greenhouse Gas Emissions Standards Accordingly, 49 CFR parts 523 and Commerce. and Fuel Efficiency Standards for 535 are corrected by making the ACTION: Temporary rule; inseason Medium- and Heavy-Duty Engines and following correcting amendments: adjustment. Vehicles SUMMARY: PART 523—VEHICLE CLASSIFICATION NMFS adjusts the 2011 AGENCY: National Highway Traffic Fishing Year sub-annual catch limit for Atlantic Herring Management Area 1A Safety Administration (NHTSA), ■ 1. The authority citation for part 523 due to an under-harvest in the New Department of Transportation (DOT). continues to read as follows: ACTION: Correcting amendments. Brunswick weir fishery. This action Authority: 49 U.S.C. 32901, delegation of complies with the 2010–2012 SUMMARY: This document contains authority at 49 CFR 1.50. specifications and management corrections to the final rule regulations ■ 2. In § 523.2, revise the definition of measures for the Atlantic Herring (49 CFR parts 523 and 535), which were ‘‘Base tire’’ to read as follows: Fishery Management Plan. published in the Federal Register of DATES: Effective November 1, 2011, § 523.2 Definitions. Thursday, September 15, 2011 (76 FR through December 31, 2011. 57106). The regulations established fuel * * * * * FOR FURTHER INFORMATION CONTACT: efficiency standards for medium- and Base tire for passenger automobiles, Lindsey Feldman, Fishery Management heavy-duty engines and vehicles, as light trucks and medium-duty passenger Specialist, 978–675–2179, Fax 978–281– prescribed under the Energy vehicles means the tire specified as 9135. Independence and Security Act (49 standard equipment by a manufacturer SUPPLEMENTARY INFORMATION: U.S.C. 32902(k)(2)). on each vehicle configuration of a Regulations governing the Atlantic DATES: Effective Date: November 14, model type. herring fishery are found at 50 CFR part 2011. * * * * * 648. The regulations require annual FOR FURTHER INFORMATION CONTACT: Lily specification of the overfishing limit, Smith, Office of Chief Counsel, National PART 535—MEDIUM- AND HEAVY- acceptable biological catch (ABC), Highway Traffic Safety Administration, DUTY VEHICLE FUEL EFFICIENCY annual catch limit (ACL), optimum 1200 New Jersey Avenue, SE., PROGRAM yield (OY), domestic harvest and Washington, DC 20590. Telephone: processing, U.S. at-sea processing, ■ (202) 366–2992. 3. The authority citation for part 535 border transfer and sub-ACLs for each continues to read as follows: SUPPLEMENTARY INFORMATION: management area. The 2011 Domestic Authority: 49 U.S.C. 32902; delegation of Annual Harvest is 91,200 metric tons Background authority at 49 CFR 1.50. (mt); the 2011 sub-ACL allocated to Area 1A is 26,546 mt and 0 mt of the NHTSA and EPA published in the ■ 4. In § 535.4, add a definition of ‘‘Base sub-ACL is set aside for research (75 FR Federal Register of September 15, 2011, tire’’ to read as follows: final rules to establish a comprehensive 48874, August 12, 2010). Due to the Heavy-Duty National Program that will § 535.4 Definitions. variability of Canadian catch in the New increase fuel efficiency and reduce * * * * * Brunswick weir fishery, a portion of the greenhouse gas emissions for on-road buffer between ABC and OY (the buffer Base tire for heavy-duty vehicles heavy-duty vehicles, responding to the to account for Canadian catch) is means the tire specified as standard President’s directive on May 21, 2010, allocated to Area 1A, provided New equipment by a manufacturer on each to take coordinated steps to produce a Brunswick weir landings are lower than subconfiguration of a model type. new generation of clean heavy-duty the amount specified in the buffer. vehicles. Issued: October 18, 2011. The NMFS Regional Administrator is Christopher J. Bonanti, required to monitor the fishery landings Need for Correction Associate Administrator for Rulemaking, in the New Brunswick weir fishery each As published, the final regulations National Highway Traffic Safety year. If the New Brunswick weir fishery inadvertently inserted a new definition Administration, Department of landings through October 15 are less for ‘‘base tire’’ in 49 CFR part 523 Transportation. than 9,000 mt, then 3,000 mt of the weir instead of 49 CFR part 535. The new [FR Doc. 2011–27502 Filed 10–24–11; 8:45 am] fishery allocation is added to the Area definition was intended to be applied to BILLING CODE 4910–59–P 1A sub-ACL in November of the same

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year. When such a determination is action. NMFS further finds, pursuant to to vessels participating in the BSAI made, NMFS is required to publish a 5 U.S.C 553(d)(3), good cause to waive trawl limited access fishery was notification in the Federal Register to the 30-day delayed effectiveness period established as 495 metric tons (mt) by adjust the Area 1A sub-ACL for the for the reasons stated above. the final 2011 and 2012 harvest remainder of the fishing year (FY). Authority: 16 U.S.C. 1801 et seq. specifications for groundfish in the The Regional Administrator has BSAI (76 FR 11139, March 1, 2011). determined, based on the best available Dated: October 20, 2011. information, that the New Brunswick Emily H. Menashes, In accordance with § 679.20(d)(1)(iii), weir fishery landings for FY 2011 Acting Director, Office of Sustainable the Regional Administrator finds that through October 15, 2011, were 3,601 Fisheries, National Marine Fisheries Service. this directed fishing allowance has been mt. Therefore, effective November 1, [FR Doc. 2011–27593 Filed 10–24–11; 8:45 am] reached. Consequently, NMFS is 2011, 3,000 mt will be allocated to the BILLING CODE 3510–22–P prohibiting directed fishing for Pacific Area 1A sub-ACL, increasing the FY ocean perch in the Eastern Aleutian 2011 Area 1A sub-ACL from 26,546 mt District by vessels participating in the to 29,546 mt. This allocation of 3,000 mt DEPARTMENT OF COMMERCE BSAI trawl limited access fishery. to Area 1A will be taken into After the effective dates of this consideration when NMFS projects that National Oceanic and Atmospheric Administration closure, the maximum retainable catch will reach 95 percent of the Area amounts at § 679.20(e) and (f) apply at 1A sub-ACL. 50 CFR Part 679 any time during a trip. Classification [Docket No. 101126521–0640–02] Classification This action is required by 50 CFR part 648 and is exempt from review under RIN 0648–XA782 This action responds to the best Executive Order 12866. available information recently obtained Fisheries of the Exclusive Economic The Assistant Administrator for from the fishery. The Assistant Zone Off Alaska; Pacific Ocean Perch Fisheries, NOAA (AA), finds good cause Administrator for Fisheries, NOAA, in the Eastern Aleutian District of the pursuant to 5 U.S.C. 553(b)(B) to waive (AA) finds good cause to waive the prior notice and the opportunity for Bering Sea and Aleutian Islands Management Area requirement to provide prior notice and public comment because it is opportunity for public comment impracticable and contrary to the public AGENCY: National Marine Fisheries pursuant to the authority set forth at 5 interest. This action increases the sub- Service (NMFS), National Oceanic and U.S.C. 553(b)(B) as such a requirement ACL for Area 1A by 3,000 mt (from Atmospheric Administration (NOAA), is impracticable and contrary to the 26,546 mt to 29,546 mt) through Commerce. December 31, 2011. The regulations at public interest. This requirement is § 648.201(f) require such action to help ACTION: Temporary rule; closure. impracticable and contrary to the public interest as it would prevent NMFS from mitigate some of the negative economic SUMMARY: NMFS is prohibiting directed effects associated with the recent responding to the most recent fisheries fishing for Pacific ocean perch in the data in a timely fashion and would reduction in the Area 1A sub-ACL (40 Eastern Aleutian District of the Bering delay the closure of the Pacific ocean percent less than in 2009). The herring Sea and Aleutian Islands management perch fishery in the Eastern Aleutian fishery extends from January 1 to area (BSAI) by vessels participating in District for vessels participating in the December 31. Data indicate the New the BSAI trawl limited access fishery. Brunswick weir fishery landed 3,601 mt This action is necessary to prevent BSAI trawl limited access fishery. through October 15, 2011. There is a exceeding the 2011 allocation of Pacific NMFS was unable to publish a notice limited amount of time between October ocean perch in this area allocated to providing time for public comment 15 (when the New Brunswick weir vessels participating in the BSAI trawl because the most recent, relevant data fishery slows for the year) and the end limited access fishery. only became available as of October 19, of the U.S. herring fishing year on DATES: Effective 1200 hrs, Alaska local 2011. The AA also finds good cause to December 31. If implementation of this waive the 30-day delay in the effective Area 1A sub-ACL increase is delayed to time (A.l.t.), October 20, 2011, through 2400 hrs, A.l.t., December 31, 2011. date of this action under 5 U.S.C. solicit prior public comment, the 553(d)(3). This finding is based upon FOR FURTHER INFORMATION CONTACT: increase may not be effective prior to the reasons provided above for waiver of the end of the 2011 fishing year and the Steve Whitney, 907–586–7269. prior notice and opportunity for public 3,000 mt allocation would not be SUPPLEMENTARY INFORMATION: NMFS comment. available for harvest. Additionally, the manages the groundfish fishery in the availability of herring in Area 1A is BSAI exclusive economic zone This action is required by § 679.20 seasonal. As the end of the fishing year according to the Fishery Management and is exempt from review under approaches, herring can disperse or Plan for Groundfish of the Bering Sea Executive Order 12866. move out of Area 1A, and/or the and Aleutian Islands Management Area Authority: 16 U.S.C. 1801 et seq. approach of winter weather can hinder (FMP) prepared by the North Pacific fishery access to herring in Area 1A. Fishery Management Council under Dated: October 20, 2011. The best available information indicates authority of the Magnuson-Stevens Emily H. Menashes, that current catch is close to 95 percent Fishery Conservation and Management Acting Director, Office of Sustainable of the Area 1A sub-ACL. If Act. Regulations governing fishing by Fisheries, National Marine Fisheries Service. implementation of this increase is U.S. vessels in accordance with the FMP [FR Doc. 2011–27604 Filed 10–20–11; 4:15 pm] delayed to solicit prior public comment, appear at subpart H of 50 CFR part 600 BILLING CODE 3510–22–P herring may no longer be available to and 50 CFR part 679. the fishery for harvest in Area 1A, The allocation of Pacific ocean perch, thereby undermining the intended in the Eastern Aleutian District, economic benefits associated with this allocated as a directed fishing allowance

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DEPARTMENT OF COMMERCE cooperatives in the Bering Sea and The Administrator, Alaska Region, Aleutian Islands management area NMFS, has also determined that 259,000 National Oceanic and Atmospheric (BSAI). This action is necessary to allow crabs of Zone 1 C. bairdi tanner crab Administration the Amendment 80 cooperatives to fully PSC, 750,000 crabs of Zone 2 C. bairdi harvest their 2011 groundfish tanner crab PSC, 37,000 crabs of Zone 50 CFR Part 679 allocations. 1 red king crab PSC, and 1,300,000 crabs [Docket No. 101126521–0640–02] of C. opilio Bycatch Limitation Zone DATES: Effective October 25, 2011, (COBLZ) C. opilio tanner crab PSC from RIN 0648–XA784 through 2400 hrs, Alaska local time the BSAI trawl limited access sector will (A.l.t.), December 31, 2011. not be needed to support BSAI trawl Fisheries of the Exclusive Economic limited access fisheries. Therefore, in Zone Off Alaska; Reallocation of Crab FOR FURTHER INFORMATION CONTACT: accordance with § 679.91(f)(5), NMFS is Prohibited Species Catch Allowances Steve Whitney, 907–586–7269. reallocating these crab PSC amounts in the Bering Sea and Aleutian Islands SUPPLEMENTARY INFORMATION: NMFS from the BSAI trawl limited access Management Area manages the groundfish fishery in the sector to the Amendment 80 AGENCY: National Marine Fisheries BSAI according to the Fishery cooperatives in the BSAI. Service (NMFS), National Oceanic and Management Plan for Groundfish of the In accordance with § 679.91(f)(1), Atmospheric Administration (NOAA), Bering Sea and Aleutian Islands NMFS will reissue cooperative quota Commerce. Management Area (FMP) prepared by permits for the reallocated crab PSC ACTION: Temporary rule; reallocation. the North Pacific Fishery Management following the procedures set forth in Council under authority of the § 679.91(f)(4) and § 679.91(f)(5). SUMMARY: NMFS is reallocating the Magnuson-Stevens Fishery The harvest specifications for crab projected unused amounts of the 2011 Conservation and Management Act. PSC allowances included in the final crab prohibited species catch (PSC) Regulations governing fishing by U.S. harvest specifications for crab in the allowances from the Bering Sea and vessels in accordance with the FMP BSAI (76 FR 11139, March 1, 2011) are Aleutian Islands trawl limited access appear at subpart H of 50 CFR part 600 modified as follows in Tables 8a, 8c, sector to the Amendment 80 and 50 CFR part 679. and 8d: TABLE 8a—FINAL 2011 AND 2012 APPORTIONMENT OF PROHIBITED SPECIES CATCH ALLOWANCES TO NON-TRAWL GEAR, THE CDQ PROGRAM, AMENDMENT 80, AND THE BSAI TRAWL LIMITED ACCESS SECTORS

Non-trawl Trawl PSC Amendment 80 sector BSAI trawl limited Total non- PSC Total trawl remaining CDQ PSQ access fishery PSC species remaining 1 trawl PSC after CDQ PSC after CDQ reserve 2011 2012 PSQ 1 2011 2012 PSQ 1

Halibut mortality (mt) BSAI ...... 900 832 3,675 3,349 393 2,375 2,325 875 875 Herring (mt) BSAI...... n/a n/a 2,273 n/a n/a n/a n/a n/a n/a Red king crab (animals) Zone 1 1 ...... n/a n/a 197,000 175,921 21,079 130,432 87,925 16,797 53,797 C. opilio (animals) COBLZ 2 ...... n/a n/a 8,310,480 7,421,259 889,221 5,175,381 3,647,549 1,085,193 2,385,193 C. bairdi crab (animals) Zone 1 2 ...... n/a n/a 830,000 741,190 88,810 590,608 312,115 89,285 348,285 C. bairdi crab (animals) Zone 2 ...... n/a n/a 2,520,000 2,250,360 269,640 1,315,966 532,660 303,394 1,053,394 1 Section 679.21(e)(3)(i)(A)(2) allocates 326 mt of the trawl halibut mortality limit and § 679.21(e)(4)(i)(A) allocates 7.5 percent, or 67 mt, of the non-trawl halibut mortality limit as the PSQ reserve for use by the groundfish CDQ program. The PSQ reserve for crab species is 10.7 percent of each crab PSC limit. 2 Refer to § 679.2 for definitions of zones. 3 Sector apportionments may not total precisely due to rounding.

TABLE 8c—FINAL 2011 AND 2012 PROHIBITED SPECIES BYCATCH ALLOWANCES FOR THE BSAI TRAWL LIMITED ACCESS SECTOR AND NON-TRAWL FISHERIES

Prohibited species and area 1 Red king BSAI trawl limited access fisheries Halibut mortality (mt) crab C. opilio C. bairdi (animals) BSAI (animals) (animals) Zone 1 COBLZ Zone 1 Zone 2

2011

Yellowfin sole ...... 167 14,799 1,022,610 75,172 289,709 Rock sole/flathead sole/other flatfish 2 ...... 0 0 0 0 0 Turbot/arrowtooth/sablefish 3 ...... 0 0 0 0 0 Rockfish April 15–December 31 ...... 5 0 1,738 0 244 Pacific cod ...... 453 1,873 43,460 13,027 12,219 Pollock/Atka mackerel/other species ...... 250 125 17,384 1,086 1,222

Total BSAI trawl limited access PSC ...... 875 16,797 1,085,193 89,285 303,394

Non-trawl fisheries Catcher/ Catcher processor vessel

Pacific cod—Total ...... 760 15 January 1–June 10 ...... 455 10 June 10–August 15 ...... 190 3

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Non-trawl fisheries

August 15–December 31 ...... 115 2

Other non-trawl—Total ...... 58 May 1–December 31 ...... 58 Groundfish pot and jig ...... Exempt Sablefish hook-and-line ...... Exempt

Total non-trawl PSC ...... 833

Prohibited species and area 1 Red king BSAI trawl limited access fisheries Halibut mortality (mt) crab C. opilio C. bairdi (animals) BSAI (animals) (animals) Zone 1 COBLZ Zone 1 Zone 2

2012

Yellowfin sole ...... 167 47,397 2,247,640 293,234 1,005,879 Rock sole/flathead sole/other flatfish 2 ...... 0 0 0 0 0 Turbot/arrowtooth/sablefish 3 ...... 0 0 0 0 0 Rockfish April 15–December 31 ...... 5 0 3,821 0 849 Pacific cod ...... 453 6,000 95,523 50,816 42,424 Pollock/Atka mackerel/other species 4 ...... 250 400 38,209 4,235 4,242

Total BSAI trawl limited access PSC ...... 875 53,797 2,385,193 348,285 1,053,394

Non-trawl fisheries Catcher/ Catcher processor vessel

Pacific cod—Total ...... 760 15 January 1–June 10 ...... 455 10 June 10–August 15 ...... 190 3 August 15–December 31 ...... 115 2

Other non-trawl—Total ...... 58 May 1–December 31 ...... 58 Groundfish pot and jig ...... Exempt Sablefish hook-and-line ...... Exempt

Total non-trawl PSC ...... 833 1 Refer to § 679.2 for definitions of areas. 2 ‘‘Other flatfish’’ for PSC monitoring includes all flatfish species, except for halibut (a prohibited species), flathead sole, Greenland turbot, rock sole, yellowfin sole, Kamchatka flounder, and arrowtooth flounder. 3 Arrowtooth flounder for PSC monitoring includes Kamchatka flounder. 4 ‘‘Other species’’ for PSC monitoring includes sculpins, sharks, skates, and octopuses. 5 Seasonal or sector apportionments may not total precisely due to rounding.

TABLE 8d—FINAL 2011 PROHIBITED SPECIES BYCATCH ALLOWANCE FOR THE BSAI AMENDMENT 80 COOPERATIVES

Prohibited species and zones 1 Red king Cooperative Halibut C. opilio C. bairdi (animals) ≤ crab mortality (animals) (animals) (mt) BSAI Zone 1 COBLZ Zone 1 Zone 2

Alaska Seafood Cooperative ...... 1,643 88,830 3,341,355 415,769 907,979 Alaska Groundfish Cooperative ...... 732 41,602 1,834,026 174,839 407,987 1 Refer to § 679.2 for definitions of zones. 2 Sector apportionments may not total precisely due to rounding.

This will enhance the socioeconomic on future harvesting patterns of the Classification well-being of harvesters of groundfish Amendment 80 cooperatives that This action responds to the best dependent upon these PSC allowances. participates in this BSAI fishery. The available information recently obtained The Regional Administrator considered Regional Administrator also has from the fishery. The Assistant the following factors in reaching this determined that this action will create Administrator for Fisheries, NOAA decision: (1) The current catch and no threats of exceeding TACs for any (AA), finds good cause to waive the stated future harvesting intent of BSAI species or species group. requirement to provide prior notice and trawl limited access sector fisheries and, opportunity for public comment (2) the harvest capacity and stated intent pursuant to the authority set forth at 5

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U.S.C. 553(b)(B) as such requirement is DEPARTMENT OF COMMERCE harvest specifications for groundfish in impracticable and contrary to the public the BSAI (76 FR 11139, March 1, 2011). interest. This requirement is National Oceanic and Atmospheric In accordance with § 679.20(d)(1)(iii), impracticable and contrary to the public Administration the Regional Administrator finds that interest as it would prevent NMFS from this directed fishing allowance has been responding to the most recent fisheries 50 CFR Part 679 reached. Consequently, NMFS is data in a timely fashion and would [Docket No. 101126521–0640–02] prohibiting directed fishing for Atka mackerel in the BS/EAI by vessels delay the reallocation of crab PSC RIN 0648–XA783 allowances from the BSAI trawl limited participating in the BSAI trawl limited access sector to the Amendment 80 Fisheries of the Exclusive Economic access fishery. cooperatives in the BSAI. Since the Zone Off Alaska; Atka Mackerel in the After the effective dates of this fisheries are currently open, it is Bering Sea and Aleutian Islands closure, the maximum retainable important to immediately inform the Management Area amounts at § 679.20(e) and (f) apply at industry as to the revised allocations. any time during a trip. AGENCY: National Marine Fisheries Immediate notification is necessary to Service (NMFS), National Oceanic and Classification allow for the orderly conduct and Atmospheric Administration (NOAA), This action responds to the best efficient operation of these fisheries, to Commerce. available information recently obtained allow the industry to plan for the fishing ACTION: Temporary rule; closure. from the fishery. The Assistant season, and to avoid potential Administrator for Fisheries, NOAA, disruption to the fishing fleet as well as SUMMARY: NMFS is prohibiting directed (AA) finds good cause to waive the processors. NMFS was unable to fishing for Atka mackerel in the Bering requirement to provide prior notice and publish a notice providing time for Sea subarea and Eastern Aleutian opportunity for public comment public comment because the most district (BS/EAI) of the Bering Sea and pursuant to the authority set forth at 5 recent, relevant data only became Aleutian Island management area U.S.C. 553(b)(B) as such a requirement available as of October 17, 2011. (BSAI) by vessels participating in the is impracticable and contrary to the BSAI trawl limited access fishery. This The AA also finds good cause to public interest. This requirement is action is necessary to prevent exceeding impracticable and contrary to the public waive the 30-day delay in the effective the 2011 total allowable catch (TAC) of date of this action under 5 U.S.C. interest as it would prevent NMFS from Atka mackerel in these areas allocated responding to the most recent fisheries 553(d)(3). This finding is based upon to vessels participating in the BSAI the reasons provided above for waiver of data in a timely fashion and would trawl limited access fishery. delay the closure of the Atka mackerel prior notice and opportunity for public DATES: Effective 1200 hrs, Alaska local comment. fishery in the BS/EAI for vessels time (A.l.t.), October 20, 2011, through participating in the BSAI trawl limited This action is required by § 679.91 2400 hrs, A.l.t., December 31, 2011. access fishery. NMFS was unable to and is exempt from review under FOR FURTHER INFORMATION CONTACT: publish a notice providing time for Executive Order 12866. Steve Whitney, 907–586–7269. public comment because the most Authority: 16 U.S.C. 1801 et seq. SUPPLEMENTARY INFORMATION: NMFS recent, relevant data only became manages the groundfish fishery in the available as of October 19, 2011. The Dated: October 20, 2011. BSAI exclusive economic zone AA also finds good cause to waive the Emily H. Menashes, according to the Fishery Management 30-day delay in the effective date of this Acting Director, Office of Sustainable Plan for Groundfish of the Bering Sea action under 5 U.S.C. 553(d)(3). This Fisheries, National Marine Fisheries Service. and Aleutian Islands Management Area finding is based upon the reasons [FR Doc. 2011–27606 Filed 10–20–11; 4:15 pm] (FMP) prepared by the North Pacific provided above for waiver of prior BILLING CODE 3510–22–P Fishery Management Council under notice and opportunity for public authority of the Magnuson-Stevens comment. Fishery Conservation and Management This action is required by § 679.20 Act. Regulations governing fishing by and is exempt from review under U.S. vessels in accordance with the FMP Executive Order 12866. appear at subpart H of 50 CFR part 600 Authority: 16 U.S.C. 1801 et seq. and 50 CFR part 679. The 2011 TAC of Atka mackerel, in Dated: October 20, 2011. the BS/EAI, allocated to vessels Emily H. Menashes, participating in the BSAI trawl limited Acting Director, Office of Sustainable access fishery was established as a Fisheries, National Marine Fisheries Service. directed fishing allowance of 2,859 [FR Doc. 2011–27609 Filed 10–20–11; 4:15 pm] metric tons by the final 2011 and 2012 BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 76, No. 206

Tuesday, October 25, 2011

This section of the FEDERAL REGISTER Supporting documents and any departmental permit. In § 319.40–1, we contains notices to the public of the proposed comments we receive on this docket define a departmental permit as ‘‘a issuance of rules and regulations. The may be viewed at http:// document issued by the Administrator purpose of these notices is to give interested www.regulations.gov/ authorizing the importation of a persons an opportunity to participate in the #!docketDetail;D=APHIS-2008-0055 or regulated article for experimental, rule making prior to the adoption of the final rules. in our reading room, which is located in scientific, or educational purposes.’’ room 1141 of the USDA South Building, The departmental permit has been used 14th Street and Independence Avenue, to allow researchers and scientists DEPARTMENT OF AGRICULTURE SW., Washington, DC. Normal reading affiliated with the United States room hours are 8 a.m. to 4:30 p.m., Department of Agriculture (USDA) to Animal and Plant Health Inspection Monday through Friday, except import prohibited or restricted articles Service holidays. To be sure someone is there to for scientific, analytical, experimental, help you, please call (202) 690–2817 or research purposes. It is currently 7 CFR Part 319 before coming. available under several subparts of the Other Information: Additional regulations. In other areas of the [Docket No. APHIS–2008–0055] information about APHIS and its regulations, we have referred to the RIN 0579–AD53 programs is available on the Internet at departmental permit when we have http://www.aphis.usda.gov. stated that a regulated article may be Controlled Import Permits FOR FURTHER INFORMATION CONTACT: Mr. allowed to be imported ‘‘by the U.S. Department of Agriculture for AGENCY: Animal and Plant Health William Aley, Senior Import Specialist, Inspection Service, USDA. Plant Health Programs, PPQ, APHIS, experimental or scientific purposes.’’ In 4700 River Road, Unit 133, Riverdale, still other areas of the regulations, the ACTION: Proposed rule. MD 20737–1231; (301) 734–5057. regulations state that, under certain SUMMARY: We are proposing to amend SUPPLEMENTARY INFORMATION: circumstances, regulated articles may be imported under conditions ‘‘modified to the regulations concerning the Background importation of plants and plant be less stringent’’ than those contained products by establishing the controlled The regulations contained in 7 CFR in the regulations. import permit as a single type of part 319, Foreign Quarantine Notices, In recent years, the number of authorization for the importation into prohibit or restrict the importation into requests to import, for research the United States of otherwise the United States of certain plants and purposes, articles that are otherwise prohibited or restricted plant material plant products to prevent plant pests prohibited or restricted has increased as for experimental, therapeutic, or and noxious weeds from being the number and types of possible uses developmental purposes. Currently, introduced into and spread within the for such articles in the United States has some sections of the regulations provide United States. expanded. Also, entities requesting to for those articles to be imported under These regulations are administered import these articles now include a departmental permit, while other and enforced by the Plant Protection private scientific and academic sections provide for their importation and Quarantine program (PPQ) of the laboratories and researchers, and under administrative instructions or Animal and Plant Health Inspection commercial and other nongovernmental conditions specified by the Service (APHIS) under the authority of organizations. Administrator or Deputy Administrator. the Plant Protection Act (7 U.S.C. 7701 et seq.). The regulations in part 319 We recognize that research and This action would consolidate and investigations concerning restricted or harmonize the conditions for obtaining designate specific articles as prohibited or restricted, and assign conditions to prohibited plant material may benefit authorization for the importation of agricultural interests in the United otherwise prohibited or restricted plant their movement, if allowed, into the United States according to the risks States in several ways. Such benefits material for scientific or certain other may include the introduction of plants purposes. posed by each article to agriculture in the United States. or varieties or cultivars of plants DATES: We will consider all comments The current regulations contain adaptable to certain environments or that we receive on or before December provisions for several different means of resistant to domestic plant pests in the 27, 2011. authorizing the importation of plants United States, suitable to consumers in ADDRESSES: You may submit comments and plant products. These means of the United States, or with value to by either of the following methods: authorization have been used to allow certain markets. Other benefits may • Federal eRulemaking Portal: Go to restricted articles to be imported under include the establishment of new http://www.regulations.gov/ conditions that differ from the generally markets, the introduction of new plant #!documentDetail;D=APHIS-2008-0055- applicable provisions of the particular varieties, or trade opportunities. 0001. subpart; other types have been used to We are committed to making our • Postal Mail/Commercial Delivery: authorize the importation of articles that permit procedures found in the various Send your comment to Docket No. would otherwise be prohibited under subparts of the regulations consistent APHIS–2008–0055, Regulatory Analysis the regulations. according to the plant pest risks and Development, PPD, APHIS, Station The means of authorizing these types associated with the plant material and 3A–03.8, 4700 River Road, Unit 118, of movements that is most commonly its intended use. We are also committed Riverdale, MD 20737–1238. found in the regulations is the to making our regulations more

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transparent and easier to use and General Requirements for a Controlled proposed importation. A CIP would be implement. Import Permit issued only if APHIS determines that Therefore, we are proposing to amend We would add a new ‘‘Subpart— the plant pest risks associated with the the regulations in part 319 to Controlled Import Permits’’ (§ 319.6) plant material and the intended standardize the type of authorization that would contain the general experimental, therapeutic, or used to permit the importation of plants requirements regarding the proposed developmental use of the plant material and plant products for experimental, CIP. can be effectively mitigated. The CIP therapeutic, or developmental purposes. In paragraph (a) of § 319.6, we would would contain the applicable conditions We would also amend these portions of define the terms Administrator, for importation and subsequent the regulations that contain outdated developmental purposes, experimental handling of the plant material if it is language or that refer to procedures for purposes, and therapeutic purposes, the deemed eligible for importation into the importation that we believe pose latter three being the purposes for which United States. unnecessary risks to agriculture in the the CIP may be issued. We would define With limited exceptions, plant United States. Administrator as the Administrator of material to be offered for importation under a CIP would have to be selected We are proposing to establish the the Animal and Plant Health Inspection Service, United States Department of from apparently disease-free and pest- controlled import permit (CIP) as the free sources, and be free of foreign permit that would be used in place of Agriculture, or any employee of the United States Department of Agriculture matter or debris, other prohibited departmental permits and the other plants, noxious weed seeds, soil, living types of authorizations discussed delegated to act in his or her stead. Developmental purposes would be organisms such as parasitic plants, previously that we have used to allow pathogens, insects, snails and mites, and the importation of otherwise prohibited defined as the evaluation, monitoring, or verification of plant material for plant other prohibited matter. The plant articles or of articles under different material would also have to be free of conditions than those found in the health risks and/or the adaptability of the material for certain uses or fungicide, insecticide, pesticide, regulations. We are also proposing to environments. Experimental purposes coating, dipping, spraying, or other use the CIP as the form of permit would be defined as scientific testing of applied treatments that would make the required for the importation of plant plant material which utilizes collected consignment difficult or hazardous to materials for postentry quarantine. data and employs analytical processes inspect. Similarly, plant materials could We propose to define controlled under controlled conditions to create not be wrapped or otherwise packaged import permit as ‘‘a written or qualitative or quantitative results. We in a manner that impedes or prevents electronically transmitted authorization would define therapeutic purposes as adequate inspection or treatment at the issued by APHIS for the importation the application of specific scientific port of entry. into the United States of otherwise processes designed to eliminate, isolate, Although we would generally require prohibited or restricted plant material or remove potential plant pests or all material imported under a CIP to be for experimental, therapeutic, or diseases. apparently disease-free and pest-free, developmental purposes, under An application for a CIP could be under certain circumstances and for controlled conditions as prescribed by obtained through any of the means specific purposes, we may permit plant the Administrator in accordance with currently available for applying for material to be imported under a CIP for § 319.6.’’ other types of permits to import scientifically approved treatment therapies. For example, we may permit The CIP would be issued based on regulated plant material, i.e., through the importation under a CIP of plant consideration of the plant pest risks of the Internet using the APHIS ePermits material not considered free of plant the imported plant material, whether Web site or using applications obtained pests to an approved facility capable of such risks can be mitigated sufficiently, from APHIS headquarters or from local applying approved scientific techniques the intended use of the plant material, offices of PPQ; paper applications could to eliminate plant pests and verifying and the plant pest risks associated with be submitted by fax or by mail. The regulations in § 319.6(c) would provide freedom from plant pests. such use. We would also consider the All plant material offered for taxon of the plant material and country the necessary mailing address, fax number, and the address of the APHIS importation under a CIP would have to of origin. The CIP would be available to be moved in an enclosed container or all entities in the United States and no ePermits Web site. An application would have to be submitted at least 60 one completely enclosed by a covering longer limited to researchers and adequate to prevent the possible escape scientists affiliated with the USDA. days prior to the proposed arrival of the article at the port of entry. or introduction of plant pests during The CIP would be issued only for The application for a CIP would have shipment. Any packing material used in articles subject to the regulations in part to contain the following information: the consignment would have to meet the 319; we would not provide for the • Name, address in the United States, requirements of § 319.37–9, and wood issuance of a CIP for the movement of and contact information of the packing material used in the plant pests regulated under 7 CFR part applicant; consignment would have to meet the 330, genetically engineered plant • Identity (common and botanical requirements of § 319.40–3(b) and (c). material regulated under 7 CFR part [genus and species] names) of the plant The CIP would identify the manner in 340, noxious weeds regulated under 7 material to be imported; country of which the consignment is to be shipped CFR part 360, or seeds regulated under origin and country shipped from; (e.g., as cargo, by mail, as air freight). 7 CFR part 361. We believe that the • Intended experimental, therapeutic, Under certain circumstances, we may restrictions imposed on the movement or developmental purpose for the allow the plant material to be hand- of these articles by the regulations in importation; and carried. parts 330, 340, 360, and 361 are • Intended ports of departure and The plant material would have to be effective in preventing the introduction entry; quantity of importation; means of offered for importation at the port of and dissemination of plant pests or conveyance; estimated date of arrival. entry or plant inspection station noxious weeds into or within the United This information would allow us to specified in the CIP. A copy of the CIP States. evaluate the risks associated with the and an invoice or packing list indicating

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the contents of the consignment would Administrator would deny an 10 days after receiving written have to accompany each consignment. application for a CIP permit when the notification of the denial or revocation. All consignments would be required to Administrator determines that: The appeal would have to state all facts be labeled as specified in the permit, • No safeguards adequate or and reasons upon which the person was and to bear a tag provided with the CIP. appropriate to prevent the relying to show that the CIP was Depending on the intended purpose dissemination of a plant pest or plant wrongfully denied or revoked. The of the plant material presented for disease can be implemented; Administrator would grant or deny the importation and the risks associated • The applicant, as a previous appeal, in writing, as promptly as with such importation, we may require permittee, failed to maintain the circumstances permit, and would state that the plant material be transported safeguards or otherwise comply with all in writing the reason for the decision. If from the plant inspection station for the conditions prescribed in a previous there is a conflict as to any material fact, release only to preapproved facilities. permit and failed to demonstrate the a hearing would be held to resolve such We would assess a facility prior to ability or intent to observe them in the conflict. Rules of practice concerning issuing a permit to ensure that it has the future; such a hearing would be adopted by the infrastructure and equipment identified • The application for a permit is Administrator. The permit denial or by APHIS as being necessary to manage found to be false or deceptive in any revocation would remain in effect the risks associated with the imported material particular; during the resolution of the appeal. plant material. • Such an importation would involve At the approved facility, the plant the potential dissemination of a plant Regulations That Would Include material imported under a CIP would pest or plant disease which outweighs References to the CIP have to be identified and labeled as the probable benefit that could be We are proposing to use the CIP to quarantined material to be used only in derived from the proposed importation authorize the importation of certain accordance with a valid CIP. Such plant and use of the regulated plant material; prohibited or restricted plant material material would have to be maintained in • The importation is adverse to the for experimental, therapeutic, or a secure place and be under the conduct of an APHIS eradication, developmental purposes in the current supervision and control of the permit suppression, control, or regulatory regulations in part 319. In doing so, we holder, and could not be moved or program; or would replace the current provisions for distributed without prior written • The government of the State or importations for these purposes. permission. During regular business Territory into which the plant material In the paragraphs that follow, we hours, properly identified officials, would be imported objects to the discuss the changes we are proposing either Federal or State, would have to be proposed importation and provides a and cite the specific areas of the allowed to inspect the plant material written explanation of its concerns regulations we are proposing to change. • and the facility in which the plant based on plant pest risks. Foreign cotton and covers regulated material is maintained. The Administrator would revoke any under §§ 319.8 through 319.8–26. In The permit holder would be required outstanding CIP when the Administrator § 319.8, which establishes a notice of to keep the permit valid for the duration determines that information is received quarantine for parts or products of of the authorized experimental, subsequent to the issuance of the CIP of plants of the genus Gossypium, we therapeutic, or developmental activity. circumstances that would constitute would replace the current text, which is A CIP would be valid for a period of 1 cause for the denial of an application dated and difficult to follow, with a year and could be renewed if we described above, or the permittee fails to clear statement that the importation of believed the additional time was maintain the safeguards or otherwise the plants and plant products listed in necessary to complete the experimental, observe the conditions specified in the the section is prohibited unless they are therapeutic, or developmental purpose CIP or in any applicable regulations or imported in accordance with the for which the permit was issued. administrative instructions. regulations of the subpart or imported In the event the permit holder leaves All denials of an application for a for experimental, therapeutic, or the institution in which the plant permit, or revocation of an existing developmental purposes under the material is kept, another person would permit, would be provided to the provisions of a CIP. We would remove be required to assume responsibility for applicant or permittee in writing. The and reserve §§ 319.8–19 and 319.8–20, the continued maintenance of the plant reasons for the denial or revocation as provisions for the importation of material and obtain a new CIP for the would be stated in writing as promptly plant material regulated by the subpart material or it would have to be as circumstances permit. for experimental or scientific purposes destroyed. We would require that, upon would be covered in the revised § 319.8. Any conditions of the CIP or assigned revocation of a permit, the permittee • Sugarcane regulated under safeguarding or mitigation measures must either: § 319.15. In § 319.15(a), we would would be clearly explained in the CIP. • Surrender all regulated plant remove the provision that sugarcane and Failure to comply with all of the material covered by the revoked CIP to its related products may be imported for conditions specified in the CIP or any an APHIS inspector; scientific or experimental purposes applicable regulations or administrative • Destroy all regulated plant material under a departmental permit only by the instructions, or forging, counterfeiting covered by the revoked CIP under the USDA, and provide that these articles or defacing permits or shipping labels, supervision of an APHIS inspector; or may be moved under the conditions may result in immediate revocation of • Remove all regulated plant material specified in a CIP. the permit, denial of future permits, and covered by the revoked CIP from the • Citrus fruit and nursery stock civil or criminal penalties for the permit United States. regulated under §§ 319.19 and 319.28. holder. We would provide for the appeal of In §§ 319.19(b) and 319.28(d) we would Proposed paragraph (g) of § 319.6 the denial or revocation of a CIP. Any remove the provision that plants or would address the circumstances under person whose application for a permit plant parts of the botanical family which an application for a CIP may be has been denied or whose permit has Rutaceae may be imported for scientific denied or a CIP may be revoked after been revoked may appeal the decision or experimental purposes under issuance. Under these provisions, the in writing to the Administrator within conditions as prescribed by the APHIS

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Administrator or the PPQ Deputy Current paragraphs (a)(2) and (d) of this seed or paddy rice, rice straw, and rice Administrator, and instead provide that section require that an importer of the hulls may be imported, when public these articles may be moved under the listed restricted articles from the interests will permit, into Guam under conditions specified in a CIP. We would designated regions complete and submit conditions less stringent than those of also remove the statement that the to PPQ a postentry quarantine growing the subpart as prescribed by the Deputy paragraph’s provisions apply only to agreement and an application for a Administrator, and in its place provide importations by the USDA. written permit for the importation of the that the articles may be moved under • Indian corn or maize and related article in accordance with § 319.37–3. the conditions specified in a CIP. plants and their seeds regulated under Section 319.37–3 designates articles • Plant material subject to wheat §§ 319.24 through 319.24–5 (the corn whose importation requires a permit diseases regulated under §§ 319.59–1 diseases subpart), and §§ 319.41 and indicates the information a permit through 319.59–4. In § 319.59–1 we through 319.41–6 (the Indian corn or application must contain, how a permit would add a definition for the maize, broomcorn, and related plants is issued, and under which controlled import permit for use in the subpart). In § 319.24(b) we would circumstances a permit may be subpart. In paragraph (b) of § 319.59–2 remove the provision that portions of withdrawn. we would remove the statement that the Indian corn or maize and related plants We are proposing to amend § 319.37– paragraph’s provisions apply only to may be imported into Guam under 7(a)(2) and (d) to state that the CIP is the importations by the USDA and in its conditions less stringent than those of form of permit required to accompany a place provide that the articles may be the subpart as prescribed by the Deputy postentry quarantine growing moved under the conditions specified in Administrator, and the statement that agreement. We believe that the a CIP. We would replace the references the paragraph’s provisions apply only to information required in the application to a departmental permit with USDA importers and instead provide for a CIP will allow us to make a more references to a CIP in paragraphs (b)(2), that these articles may be moved under informed decision about the specific (b)(3), and (b)(4). the conditions specified in a CIP. article submitted for the postentry • Packing materials regulated under Paragraph (c) of § 319.41 has an quarantine program, and allow us to §§ 319.69 through 319.69–5. Section identical provision regarding provide more specific conditions for the 319.69 prohibits certain plants and importations into Guam which we issuance of the permit. It will also allow plant products and restricts certain would also remove and instead provide us more control over the plant material others for use as packing materials. In that the articles may be moved under selected for the postentry quarantine paragraph (c) we would replace the conditions specified in a CIP. program. outdated language with the statement • Nursery stock, plants, roots, bulbs, As noted above, current § 319.37– that the importation of those prohibited seeds, and other plant products 7(a)(2) and (d) require that the or restricted plant products may be regulated under §§ 319.37 through application for the written permit be imported for experimental, therapeutic, 319.37–14. In § 319.37–1 we would made in accordance with § 319.37–3. or developmental purposes under the remove the definition of Deputy We would add a new paragraph (h) to provisions of a CIP. Administrator and add definitions of § 319.37–3, which would require that • Cut flowers regulated under Administrator and controlled import the importation of restricted articles into §§ 319.74–1 through 319.74–4. In permit for use in the subpart. In the United States to be grown under the § 319.74–1 we would add a definition § 319.37–2(c)(1), we would add that postentry quarantine provisions of for the controlled import permit for use importations for experimental, § 319.37–7 must be authorized by a CIP in the subpart. We would remove the therapeutic, or developmental purposes obtained in accordance with § 319.6. provision that regulated articles may be may be allowed under the conditions of Since we are proposing to change the imported for experimental or scientific a CIP, and remove the statement that the type of permit required by § 319.37– purposes if moved under conditions paragraph’s provisions apply only to 7(a)(2) and (d) to accompany a postentry prescribed by the Deputy Administrator importations by the USDA. In quarantine growing agreement to the in § 319.74–3 and instead provide that paragraphs (c)(3) through (c)(5) we CIP, we would amend those provisions the articles may be moved under the would replace references to a to require that a CIP, as provided for in conditions specified in a CIP. departmental permit with references to the newly added § 319.37–3(h), be • Articles restricted in order to the CIP. In § 319.37–3, we would add a obtained. prevent the entry of khapra beetle under new paragraph (g) requiring that the • Logs, lumber, and other §§ 319.75 through 319.75–9. In importation of restricted articles into the unmanufactured wood articles § 319.75(c), we would remove the United States for experimental, regulated under §§ 319.40–1 through statement that the paragraph’s therapeutic, or developmental purposes 319.40–11. In § 319.40–1 we would add provisions apply only to importations would require application for a CIP in a definition of controlled import permit by the USDA and would replace accordance with § 319.6, and add a new for use in the subpart, and remove that references to a departmental permit paragraph (h) indicating that restricted of departmental permit. In § 319.40– with references to a CIP. articles imported into the United States 2(d)(1), we would add that importations We believe that these proposed that are required to be grown under for experimental, therapeutic, or changes would consolidate and postentry quarantine provisions must be developmental purposes may be harmonize requirements for obtaining a accompanied by a CIP obtained in allowed under the conditions of a CIP, permit for the importation of plant accordance with § 319.6. and we would remove the statement material imported for scientific or Section 319.37–7 contains provisions that the paragraph’s provisions apply certain other purposes, and therefore governing postentry quarantine only to importations by the USDA. In make the requirements of part 319 activities. Postentry quarantine is paragraphs (d)(2) and (d)(3), we would clearer and easier to use and implement. required for an established length of replace the references to a Departmental In addition to these specific proposed time following importation of certain permit with references to a CIP. changes regarding the CIP, we are also restricted plants so they may be • Rice regulated under §§ 319.55 proposing to update the subparts investigated and monitored for freedom through 319.55–7. In § 319.55(c), we discussed above by replacing references from plant pests of foreign origin. would remove the provision that all to ‘‘Deputy Administrator’’ wherever

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they still appear with references to the postentry quarantine permits and 1,012 otherwise prohibited or restricted plant Administrator. In some subparts, this departmental permits were issued. The material for scientific or certain other would include removing a definition of proposed rule is not expected to affect purposes. Deputy Administrator and adding one the number of permits issued. This proposed rule will require the for Administrator. Most APHIS Under these circumstances, the use of a controlled import permit, regulations refer to the Agency’s Administrator of the Animal and Plant annual inspection report, and the Administrator rather than the Deputy Health Inspection Service has identification of the commodity being Administrators of specific programs like determined that this action would not imported. PPQ. This proposed change would make have a significant economic impact on We are soliciting comments from the the regulations in part 319 consistent a substantial number of small entities. public (as well as affected agencies) with other APHIS regulations. Executive Order 12988 concerning our proposed information collection and recordkeeping Executive Order 12866 and Regulatory This proposed rule has been reviewed requirements. These comments will Flexibility Act under Executive Order 12988, Civil help us: This proposed rule has been Justice Reform. If this proposed rule is (1) Evaluate whether the proposed determined to be not significant for the adopted: (1) All State and local laws and information collection is necessary for purposes of Executive Order 12866 and, regulations that are inconsistent with the proper performance of our agency’s therefore, has not been reviewed by the this rule will be preempted; (2) no functions, including whether the Office of Management and Budget. retroactive effect will be given to this information will have practical utility; We have prepared an economic rule; and (3) administrative proceedings (2) Evaluate the accuracy of our analysis for this proposed rule, which is will not be required before parties may estimate of the burden of the proposed set out below. The analysis provides a file suit in court challenging this rule. information collection, including the basis for our determination that this Paperwork Reduction Act validity of the methodology and action would not have a significant assumptions used; economic impact on a substantial In accordance with section 3507(d) of (3) Enhance the quality, utility, and number of small entities. the Paperwork Reduction Act of 1995 clarity of the information to be For the purpose of this analysis and (44 U.S.C. 3501 et seq.), the information collected; and following the Small Business collection or recordkeeping (4) Minimize the burden of the Administration (SBA) guidelines, we requirements included in this proposed information collection on those who are note that a major segment of entities rule have been submitted for approval to to respond (such as through the use of potentially affected by the proposed the Office of Management and Budget appropriate automated, electronic, changes are classified within the (OMB). Please send written comments mechanical, or other technological following industries: Nursery and Tree to the Office of Information and collection techniques or other forms of Production (NAICS 111421), and Regulatory Affairs, OMB, Attention: information technology; e.g., permitting Floriculture Production (NAICS Desk Officer for APHIS, Washington, DC electronic submission of responses). 111422). The nursery and floriculture 20503. Please state that your comments Estimate of burden: Public reporting industries are representative of other refer to Docket No. APHIS–2008–0055. burden for this collection of information agricultural and nonagricultural Please send a copy of your comments to: is estimated to average 0.8125 hours per industries in terms of being comprised (1) APHIS–2008–0055, Regulatory response. largely of small entities. According to Analysis and Development, PPD, Respondents: Researchers, for-profit the Census of Agriculture, these two APHIS, Station 3A–03.8, 4700 River organizations, and foreign government categories included 52,845 farms in Road, Unit 118, Riverdale, MD 20737– officials. 2007, and represented 3 percent of all 1238, and (2) Clearance Officer, OCIO, Estimated annual number of farms in the United States. These USDA, Room 404–W, 14th Street and respondents: 1,200. entities are considered small by SBA Independence Avenue, SW., Estimated annual number of standards if their annual sales are Washington, DC 20250. A comment to responses per respondent: 6.667. $750,000 or less. Over 93 percent of the OMB is best assured of having its full Estimated annual number of farms in these industries had annual effect if OMB receives it within 30 days responses: 8,000. sales of less than $500,000. of publication of this proposed rule. Estimated total annual burden on Research and development APHIS is proposing to amend the respondents: 6,500 hours. (Due to establishments within Physical, regulations concerning the importation averaging, the total annual burden hours Engineering, and Life Sciences (NAICS of plants and plant products by may not equal the product of the annual 541711) that provide professional, establishing the controlled import number of responses multiplied by the scientific, and technical services may permit as a single type of authorization reporting burden per response.) also be affected by this proposed rule. for the importation into the United Copies of this information collection These entities are considered small by States of otherwise prohibited or can be obtained from Mrs. Celeste SBA standards if they employ not more restricted plant material for Sickles, APHIS’ Information Collection than 500 persons. According to the 2002 experimental, therapeutic, or Coordinator, at (301) 851–2908. Economic Census, 82 percent of these developmental purposes. Currently, establishments are small. some sections of the regulations provide E-Government Act Compliance The CIP would replace the for those articles to be imported under The Animal and Plant Health departmental permit and other forms of a departmental permit, while other Inspection Service is committed to authorizations that have been in use. sections provide for their importation compliance with the E-Government Act Because this is an administrative under administrative instructions or to promote the use of the Internet and change, we do not anticipate that the conditions specified by the other information technologies, to replacement would have any significant Administrator or Deputy Administrator. provide increased opportunities for economic impact on the concerned This action would consolidate and citizen access to Government entities. From January 1, 2007, to harmonize the conditions for obtaining information and services, and for other December 31, 2009, a total of 108 authorization for the importation of purposes. For information pertinent to

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E-Government Act compliance related this part. A CIP may also be issued to (3) Fungicides, insecticides, and other to this proposed rule, please contact authorize, for those same purposes, the treatments such as coatings, dips, or Mrs. Celeste Sickles, APHIS’ importation of an article under sprayings must not be applied before Information Collection Coordinator, at conditions that differ from those shipment, unless otherwise specified. (301) 851–2908. prescribed in the relevant regulations in Plant materials may be refused entry if this part. they are difficult or hazardous to inspect List of Subjects in 7 CFR Part 319 (c) Application process. Applications because of the presence of such Coffee, Cotton, Fruits, Imports, Logs, for a CIP are available without charge treatments. Plant materials must not be Nursery stock, Plant diseases and pests, from the Animal and Plant Health wrapped or otherwise packaged in a Quarantine, Reporting and Inspection Service, Plant Protection and manner that impedes or prevents recordkeeping requirements, Rice, Quarantine (PPQ), Permit Unit, 4700 adequate inspection or treatment. Vegetables. River Road, Unit 136, Riverdale, MD (4) The plant material must be moved Accordingly, we propose to amend 7 20737–1236, or from local PPQ offices. in an enclosed container or one CFR part 319 as follows: Applications may be submitted by fax, completely enclosed by a covering mail, or electronically and must be adequate to prevent the possible escape PART 319—FOREIGN QUARANTINE submitted at least 60 days prior to or introduction of plant pests during NOTICES arrival of the article at the port of entry. shipment. Any packing material used in 1. The authority citation for part 319 Mailed applications must be submitted the consignment of the plant material continues to read as follows: to the address above, faxed applications must meet the requirements of § 319.37– may be submitted to 301–734–4300, and 9 of this part, and wood packing Authority: 7 U.S.C. 450, 7701–7772, and electronic applications may be material used in the consignment must 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR 2.22, 2.80, and 371.3. submitted through the ePermits Web meet the requirements of § 319.40–3(b) site at https://epermits.aphis.usda.gov/ and (c) of this part. 2. A new subpart consisting of § 319.6 epermits. (5) Consignments may be shipped as is added to read as follows: (1) The completed application for a cargo, by mail or air freight, or hand- Subpart—Controlled Import Permits CIP must provide the following carried, as specified in the conditions of Sec. information: the CIP. 319.6 Controlled import permits. (i) Name, address in the United States, (6) The plant material must be offered and contact information of the for importation at the port of entry or Subpart—Controlled Import Permits applicant; plant inspection station as specified in (ii) Identity (common and botanical the conditions of the CIP. § 319.6 Controlled import permits. [genus and species] names) of the plant (7) A copy of the CIP must accompany (a) Definitions. material to be imported, quantity of each consignment, and all consignments Administrator. The Administrator of importation, country of origin, and must be labeled in accordance with the Animal and Plant Health Inspection country shipped from; instructions in the CIP. Service, United States Department of (iii) Intended experimental, (8) Each consignment must be Agriculture, or any employee of the therapeutic, or developmental purpose accompanied by an invoice or packing United States Department of Agriculture for the importation; list indicating its contents. delegated to act in his or her stead. (iv) Intended ports of export and (e) Post-importation conditions. (1) At Developmental purposes. The entry, means of conveyance, and the approved facility where the plant evaluation, monitoring, or verification estimated date of arrival. material will be maintained following of plant material for plant health risks (2) APHIS may issue a CIP if the its importation, plant material imported and/or the adaptability of the material Administrator determines that the plant under a CIP must be identified and for certain uses or environments. pest risks associated with the plant labeled as quarantined material to be Experimental purposes. Scientific material and its intended experimental, used only in accordance with a valid testing which utilizes collected data and therapeutic, or developmental use can CIP. employs analytical processes under be effectively mitigated. The CIP will (2) Plant material must be stored in a controlled conditions to create contain the applicable conditions for secure place or in the manner indicated qualitative or quantitative results. importation and subsequent handling of in the CIP and be under the supervision Therapeutic purposes. The the plant material if it is deemed eligible and control of the permit holder. During application of specific scientific to be imported into the United States. regular business hours, properly processes designed to eliminate, isolate, The plant material may be imported identified officials, either Federal or or remove potential plant pests or only if all applicable requirements are State, must be allowed to inspect the diseases. met. plant material and the facilities in (b) Purpose and scope. The (d) Shipping conditions. which the plant material is maintained. regulations in this part prohibit or Consignments of plant material to be (3) The permit holder must keep the restrict the importation into the United offered for importation under a CIP permit valid for the duration of the States of certain plants, plant products, must meet the following requirements, authorized experimental, therapeutic, or and other articles to prevent the unless otherwise specified under the developmental purpose. The PPQ introduction and dissemination of plant conditions of the CIP: Permit Unit must be informed of a pests and noxious weeds within and (1) The plant material must be change in contact information for the throughout the United States. The selected from apparently disease-free permit holder within 10 business days regulations in this subpart provide a and pest-free sources. of such change. process under which a controlled (2) The plant material must be free of (4) Plant material imported under a import permit (CIP) may be issued to soil, other foreign matter or debris, other CIP must not be moved or distributed to authorize the importation, for prohibited plants, noxious weed seeds, another person without prior written experimental, therapeutic, or and living organisms such as parasitic permission from the PPQ Permit Unit. developmental purposes, of an article plants, pathogens, insects, snails, and (5) Should the permit holder leave the whose importation is prohibited under mites. institution in which the plant material

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imported under a CIP is kept, the plant (i) Surrender all regulated plant (Saund.)), the golden nematode of material must be destroyed unless, prior material covered by the revoked CIP to potatoes (Heterodera rostochiensis Wr.), to the departure of the original permit an APHIS inspector; the flag smut disease (Urocystis tritici holder, another person assumes (ii) Destroy all regulated plant Koern.), and other injurious plant responsibility for the continued material covered by the revoked CIP diseases and insect pests. Accordingly, maintenance of the plant material and under the supervision of an APHIS to prevent the introduction into the such person obtains a new CIP for the inspector; or United States of plant pests, the plant material. (iii) Remove all regulated plant importation of those articles into the (f) Failure to comply with all of the material covered by the revoked CIP United States is prohibited unless they conditions specified in the CIP or any from the United States. are imported in accordance with the applicable regulations or administrative (4) All denials of an application for a regulations in this subpart or their instructions, or forging, counterfeiting, permit, or revocation of an existing importation has been authorized for or defacing permits or shipping labels, permit, will be forwarded to the experimental, therapeutic, or may result in immediate revocation of applicant or permittee in writing. The developmental purposes by a controlled the permit, denial of future permits, and reasons for the denial or revocation will import permit issued in accordance civil or criminal penalties for the permit be stated in writing as promptly as with § 319.6 of this part. holder. circumstances permit. 4. Section 319.8–1 is amended by (g) Denial and revocation of a CIP. (1) (5) Any person whose application for removing the definition of Deputy The Administrator will deny an a permit has been denied or permit has Administrator, Plant Protection and application for a CIP permit, orally or in been revoked may appeal the decision Quarantine Programs, revising the writing, when the Administrator in writing to the Administrator within definitions of approved; approved areas determines that: 10 days after receiving written of Mexico; authorized; north, northern; (i) No safeguards adequate or notification of the denial or revocation. treatment; and utilization, including appropriate to prevent the The appeal should state all facts and removing footnote 1, and adding, in dissemination of a plant pest or plant reasons upon which the person relies to alphabetical order, a definition for disease can be implemented; show that the denial or revocation was Administrator to read as follows: (ii) The applicant, as a previous wrongfully denied or revoked. permittee, failed to maintain the (i) The Administrator will grant or § 319.8–1 Definitions. safeguards or otherwise comply with all deny the appeal, in writing, as promptly * * * * * the conditions prescribed in a previous as circumstances permit, and will state Administrator. The Administrator of permit and failed to demonstrate the in writing the reason for the decision. If the Animal and Plant Health Inspection ability or intent to observe them in the there is a conflict as to any material fact, Service, United States Department of future; a hearing will be held to resolve such Agriculture, or any employee of the (iii) The application for a permit is conflict. Rules of practice concerning United States Department of Agriculture found to be false or deceptive in any such a hearing will be adopted by the delegated to act in his or her stead. material particular; Administrator. The permit denial or * * * * * (iv) Such an importation would revocation will remain in effect during Approved. Approved by the involve the potential dissemination of a the resolution of the appeal. Administrator. plant pest or plant disease which (ii) [Reserved] Approved areas of Mexico. Any areas outweighs the probable benefit that 3. Section 319.8 is revised to read as of Mexico, other than Northwest Mexico could be derived from the proposed follows: and the west coast of Mexico, which are importation and use of the regulated § 319.8 Notice of quarantine. designated by the Administrator as areas plant material; in which cotton and cotton products are (v) The importation is adverse to the Pursuant to sections 411–414 and 434 of the Plant Protection Act (7 U.S.C. produced and handled under conditions conduct of an APHIS eradication, comparable to those under which like suppression, control, or regulatory 7711–7714 and 7754), the Administrator of the Animal and Plant Health cotton and cotton products are program; or produced and handled in the generally (vi) The government of the State or Inspection Service has determined that the unrestricted importation into the infested pink bollworm regulated area Territory into which the plant material in the United States. would be imported objects to the United States from all foreign countries proposed importation and provides a and localities of any parts or products * * * * * written explanation of its concerns of plants of the genus Gossypium, Authorized. Authorized by the based on plant pest risks. including seed cotton; cottonseed; Administrator. (2) The Administrator will revoke any cotton lint, linters, and other forms of * * * * * outstanding CIP, orally or in writing, cotton fiber (not including yarn, thread, North, northern. When used to when the Administrator determines and cloth); cottonseed hulls, cake, meal, designate ports of arrival, these terms that: and other cottonseed products, except mean the port of Norfolk, VA, and all (i) Information is received subsequent oil; cotton waste, including gin waste Atlantic Coast ports north thereof, ports to the issuance of the CIP of and thread waste; any other along the Canadian border, and Pacific circumstances that would constitute unmanufactured parts of cotton plants; Coast ports in the States of Washington cause for the denial of an application second-hand burlap and other fabrics, and Oregon. When used in a geographic under paragraph (g)(1) of this section; or shredded or otherwise, that have been sense to designate areas or locations, (ii) The permittee has failed to used or are of the kinds ordinarily used, these terms mean any State in which maintain the safeguards or otherwise for containing cotton, grains (including cotton is not grown commercially. observe the conditions specified in the grain products), field seeds, agricultural However, when cotton is grown CIP or in any applicable regulations or roots, rhizomes, tubers, or other commercially in certain portions of a administrative instructions. underground crops, may result in the State, as is the case in Illinois, Kansas, (3) Upon revocation of a permit, the entry into the United States of the pink and Missouri, these terms include those permittee must either: bollworm (Pectinophora gossypiella portions of such State as may be

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determined by the Administrator as § 319.19 Notice of quarantine. United States Department of Agriculture remote from the main area of cotton * * * * * delegated to act in his or her stead. production. (b) Plants or plant parts of all genera, * * * * * * * * * * species, and varieties of the subfamilies Controlled import permit. A written Treatment. Procedures Aurantioideae, Rutoideae, and or electronically transmitted administratively approved by the Toddalioideae of the botanical family authorization issued by APHIS for the Administrator for destroying Rutaceae may be imported into the importation into the United States of infestations or infections of insect pests United States for experimental, otherwise prohibited or restricted plant or plant diseases, such as fumigation, therapeutic, or developmental purposes material for experimental, therapeutic, application of chemicals or dry or moist under the conditions specified in a or developmental purposes, under heat, or processing, utilization, or controlled import permit issued in controlled conditions as prescribed by storage. accordance with § 319.6 of this part. the Administrator in accordance with * * * * * * * * * * § 319.6 of this part. Utilization. Processing or 12. In § 319.24, paragraph (b) is * * * * * manufacture, in lieu of fumigation at amended by removing the second and 16. Section 319.37–2 is amended as time of entry, at a mill or plant third sentences and adding a new follows: authorized by APHIS through a sentence in their place to read as a. By revising paragraph (c)(1) to read compliance agreement for foreign cotton follows: as set forth below. processing or manufacturing. b. In paragraphs (c)(3), (c)(4), and § 319.24 Notice of quarantine. * * * * * (c)(5), by removing the word * * * * * ‘‘Departmental’’ each time it appears §§ 319.8–2, 319.8–8, 319.8–11, and 319.8–17 (b) * * * However, this prohibition and adding the words ‘‘controlled [Amended] does not apply to importations of such import’’ in its place. 5. Sections 319.8–2, 319.8–8, 319.8– items for experimental, therapeutic, or c. In paragraph (c)(4), by removing the 11, and 319.8–17 are amended by developmental purposes under the word ‘‘Deputy’’. redesignating footnotes 2 through 6 as conditions specified in a controlled footnotes 1 through 5, respectively. import permit issued in accordance § 319.37–2 Prohibited articles. with § 319.6 of this part. * * * * * § 319.8–3 [Amended] * * * * * (c) * * * 6. In § 319.8–3, paragraphs (a) and (b) (1) Imported for experimental, are amended by removing the word § 319.24–1 [Amended] therapeutic, or developmental purposes ‘‘Deputy’’ each it appears. 13. Section 319.24–1 is amended by under the conditions specified in a controlled import permit issued in § 319.8–8 [Amended] removing the words ‘‘Deputy Administrator of the Plant Protection accordance with § 319.6 of this part; 7. In § 319.8–8, paragraphs (a)(2)(v) and Quarantine Programs’’ and adding * * * * * and (a)(4) are amended by removing the the words ‘‘Administrator, Animal and 17. Section 319.37–3 is amended by words ‘‘Deputy Administrator of the Plant Health Inspection Service’’ in revising paragraph (d) and adding new Plant Protection and Quarantine their place. paragraphs (g) and (h) to read as follows: Programs’’ each time they appear and 14. Section 319.28 is amended as adding the word ‘‘Administrator’’ in follows: § 319.37–3 Permits. their place. a. By revising paragraph (d) as set * * * * * § 319.8–12 [Amended] forth below. (d) Any permit which has been issued b. In paragraphs (i) and (j), by may be withdrawn by an inspector or 8. In § 319.8–12, paragraphs (d) and (f) the Administrator if he or she are amended by removing the word removing the word ’’Deputy’’ each time it occurs. determines that the holder of the permit ‘‘Deputy’’ each time it appears. has not complied with any condition for §§ 319.8–19 and 319.8–20 [Removed and § 319.28 Notice of quarantine. the use of the document. The reasons for Reserved] * * * * * the withdrawal will be confirmed in 9. Sections 319.8–19 and 319.8–20 are (d) This prohibition shall not apply to writing as promptly as circumstances removed and reserved. importations for experimental, permit. Any person whose permit has 10. In § 319.15, paragraph (a) is therapeutic, or developmental purposes been withdrawn may appeal the revised to read as follows: under the conditions specified in a decision in writing to the Administrator controlled import permit issued in within 10 days after receiving the § 319.15 Notice of quarantine. accordance with § 319.6 of this part. written notification of the withdrawal. (a) The importation into the United * * * * * The appeal must state all of the facts States of sugarcane and its related 15. Section 319.37–1 is amended by and reasons upon which the person products, including cuttings, canes, removing the definition of Deputy relies to show that the permit was leaves and bagasse, from all foreign Administrator, and by adding, in wrongfully withdrawn. The countries and localities is prohibited, alphabetical order, definitions for Administrator will grant or deny the except for importations for Administrator and controlled import appeal, in writing, stating the reasons experimental, therapeutic, or permit to read as follows: for the decision as promptly as developmental purposes under the circumstances permit. If there is a conditions specified in a controlled § 319.37–1 Definitions. conflict as to any material fact, a hearing import permit issued in accordance * * * * * will be held to resolve such conflict. with § 319.6 of this part. Administrator. The Administrator of * * * * * * * * * * the Animal and Plant Health Inspection (g) Persons wishing to import 11. In § 319.19, paragraph (b) is Service, United States Department of restricted articles into the United States revised to read as follows: Agriculture, or any employee of the for experimental, therapeutic, or

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developmental purposes must apply for § 319.41 Notice of quarantine. b. By revising paragraph (c) to read as a controlled import permit in * * * * * set forth below. accordance with § 319.6 of this part. (c) The Administrator may authorize (h) The importation of restricted the importation of articles otherwise § 319.69 Notice of quarantine. articles required to be grown under the prohibited under paragraph (b) of this * * * * * postentry quarantine provisions of section under conditions specified in a (c) The importation of plants and § 319.37–7 must be authorized by a controlled import permit issued in plant products that are prohibited or controlled import permit obtained in accordance with § 319.6 of this part. restricted under paragraphs (a) and (b) accordance with § 319.6 of this part. * * * * * of this section may be authorized for * * * * * experimental, therapeutic, or § 319.41–3 [Amended] developmental purposes under § 319.37–7 [Amended] 22. In § 319.41–3, paragraphs (a) and conditions specified in a controlled 18. Section 319.37–7 is amended as (b) are amended by removing the words import permit issued in accordance follows: ‘‘Deputy Administrator of the Plant with § 319.6 of this part. a. In paragraph (a)(2), in the second Protection and Quarantine Programs’’ * * * * * sentence, by removing the word each time they appear and adding the 27. Section 319.74–1 is amended by ‘‘written’’ and adding the words word ‘‘Administrator’’ in their place. adding, in alphabetical order, a ‘‘controlled import’’ in its place, and by 23. In § 319.55, paragraph (c) is definition for controlled import permit removing the citation ‘‘§ 319.37–3’’ and revised to read as follows: to read as follows: adding the words ‘‘§ 319.6 of this part’’ § 319.55 Notice of quarantine. § 319.74–1 Definitions. in its place. b. In paragraph (d) introductory text, * * * * * * * * * * (c) The Administrator may authorize in the first sentence, by removing the Controlled import permit. A written the importation of articles otherwise word ‘‘written’’ and adding the words or electronically transmitted prohibited by this subpart under ‘‘controlled import’’ in its place, and by authorization issued by APHIS for the conditions specified in a controlled removing the citation ‘‘§ 319.37–3’’ and importation into the United States of import permit issued in accordance adding the words ‘‘§ 319.6 of this part’’ otherwise prohibited or restricted plant with § 319.6 of this part. in its place. material for experimental, therapeutic, 19. Section 319.40–1 is amended by * * * * * or developmental purposes, under removing the definition of departmental 24. Section 319.59–1 is amended by controlled conditions as prescribed by permit and by adding, in alphabetical adding, in alphabetical order, a the Administrator in accordance with order, a definition for controlled import definition for controlled import permit § 319.6 of this part. permit to read as follows: to read as follows: * * * * * § 319.59–1 Definitions. 28. Section 319.74–3 is revised to read § 319.40–1 Definitions. as follows: * * * * * * * * * * Controlled import permit. A written § 319.74–3 Importations for experimental Controlled import permit. A written or electronically transmitted or similar purposes. or electronically transmitted authorization issued by APHIS for the authorization issued by APHIS for the Cut flowers may be imported for importation into the United States of importation into the United States of experimental, therapeutic, or otherwise prohibited or restricted plant otherwise prohibited or restricted plant developmental purposes under such material for experimental, therapeutic, material for experimental, therapeutic, conditions as specified in a controlled or developmental purposes, under or developmental purposes, under import permit issued in accordance controlled conditions as prescribed by controlled conditions as prescribed by with § 319.6 of this part. the Administrator in accordance with the Administrator in accordance with 29. In § 319.75, paragraph (c) is § 319.6 of this part. § 319.6 of this part. revised to read as follows: * * * * * * * * * * § 319.75 Restrictions on importation of 20. Section 319.40–2 is amended as § 319.59–2 [Amended] restricted articles; disposal of articles follows: 25. Section 319.59–2 is amended as refused importation. a. By revising paragraph (d)(1) to read follows: * * * * * as set forth below. a. In paragraph (b) introductory text, (c) A restricted article may be b. In paragraphs (d)(2) and (d)(3) by by removing the words ‘‘by the U.S. imported without complying with other removing the word ‘‘Departmental’’ Department of Agriculture for restrictions under this subpart if: each time it appears and adding the experimental or scientific purposes’’ (1) Imported for experimental, words ‘‘controlled import’’ in its place. and adding the words ‘‘for therapeutic, or developmental purposes experimental, therapeutic, or under the conditions specified in a § 319.40–2 General prohibitions and controlled import permit issued in restrictions; relation to other regulations. developmental purposes’’ in their place. b. In paragraphs (b)(2), (b)(3), and accordance with § 319.6 of this part. * * * * * (b)(4), by removing the word (2) Imported at the National Plant (d) * * * ‘‘departmental’’ each time it appears Germplasm Inspection Station, Building (1) Imported for experimental, and adding the words ‘‘controlled 580, Beltsville Agricultural Research therapeutic, or developmental purposes import’’ in its place. Center East, Beltsville, MD 20705, or under the conditions specified in a 26. Section 319.69 is amended as through any USDA plant inspection controlled import permit issued in follows: station listed in § 319.37–14 of this part; accordance with § 319.6 of this part. a. In paragraph (b) introductory text, and * * * * * by removing the words ‘‘supplemental (3) Imported with a controlled import 21. In § 319.41, paragraph (c) is to this quarantine’’ and adding the tag or label securely attached to the revised to read as follows: words ‘‘in this subpart’’ in their place. outside of the container containing the

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article or securely attached to the article requirements for treatment and pupae and adults of the order itself if not in a container, and with inspection and restrictions on the Lepidoptera. such tag or label bearing a controlled distribution of the fruit. This action As part of our evaluation of that import permit number corresponding to would allow for the importation of litchi request, we prepared a pest risk the number of the controlled import and longan fruit from Vietnam into the assessment identifying all quarantine permit issued for such article. United States while continuing to pests of litchi and longan in Vietnam 30. Section 319.75–1 is amended as provide protection against the and a risk management document follows: introduction of quarantine pests. (RMD) that recommends risk mitigation a. By removing the definition of DATES: We will consider all comments measures to prevent the quarantine Deputy Administrator. that we receive on or before December pests associated with these commodities b. In the definition of inspector, by 27, 2011. from being introduced into the United removing the word ‘‘Deputy’’. ADDRESSES: You may submit comments States. Copies of the pest risk c. By adding, in alphabetical order, a by either of the following methods: assessment and the RMD may be definition for Administrator to read as • Federal eRulemaking Portal: Go to obtained from the person listed under set forth below. http://www.regulations.gov/ FOR FURTHER INFORMATION CONTACT or viewed on the Regulations.gov Web site § 319.75–1 Definitions. #!documentDetail;D=APHIS-2010-0116- 0001. (see ADDRESSES above for instructions * * * * * • Postal Mail/Commercial Delivery: for accessing Regulations.gov). Administrator. The Administrator of Send your comment to Docket No. The pest risk assessment identified 16 the Animal and Plant Health Inspection APHIS–2010–0116, Regulatory Analysis pests of quarantine significance present Service, United States Department of and Development, PPD, APHIS, Station in Vietnam that could be introduced Agriculture, or any employee of the 3A–03.8, 4700 River Road, Unit 118, into the United States through the United States Department of Agriculture Riverdale, MD 20737–1238. importation of fresh litchi: delegated to act in his or her stead. Supporting documents and any Lepidopteran Pests: * * * * * comments we receive on this docket Conopomorpha sinensis. may be viewed at http:// § 319.75–3 [Amended] Conogethes punctiferalis. www.regulations.gov/ Cryptophlebia ombrodelta. 31. In § 319.75–3, paragraph (d) is #!docketDetail;D=APHIS-2010-0116 or Non-Lepidopteran Insect Pests: amended by removing the word in our reading room, which is located in Bactrocera cucurbitae. ‘‘Deputy’’ each time it appears. room 1141 of the USDA South Building, Bactrocera dorsalis. § 319.75–8 [Amended] 14th Street and Independence Avenue, Ceroplastes rubens. SW., Washington, DC. Normal reading Coccus viridis. 32. Section 319.75–8 is amended by room hours are 8 a.m. to 4:30 p.m., Dysmicoccus neobrevipes. removing the word ‘‘Deputy’’. Monday through Friday, except Nipaecoccus viridis. Done in Washington, DC, this 19th day of holidays. To be sure someone is there to Paracoccus interceptus. October 2011. help you, please call (202) 690–2817 Planococcus lilacinus. Kevin Shea, before coming. Planococcus litchi. Acting Administrator, Animal and Plant FOR FURTHER INFORMATION CONTACT: Ms. Planococcus minor. Health Inspection Service. Claudia Ferguson, Regulatory Policy Pseudococcus cryptus. [FR Doc. 2011–27580 Filed 10–24–11; 8:45 am] Specialist, Regulatory Coordination and Mite Pest: BILLING CODE 3410–34–P Compliance, PPQ, APHIS, 4700 River Aceria litchii. Road, Unit 133, Riverdale, MD 20737– Fungi Pest: 1236; (301) 734–0754. Phytophthora litchii. DEPARTMENT OF AGRICULTURE SUPPLEMENTARY INFORMATION: The pest risk assessment also identified 17 pests of quarantine Animal and Plant Health Inspection Background significance present in Vietnam that Service The regulations in ‘‘Subpart-Fruits could be introduced into the United States through the importation of fresh 7 CFR Part 319 and Vegetables’’ (7 CFR 319.56–1 through 319.56–52, referred to below as longan: [Docket No. APHIS–2010–0116] the regulations) prohibit or restrict the Lepidopteran Pests: importation of fruits and vegetables into Conopomorpha sinensis. RIN 0579–AD51 the United States from certain parts of Conogethes punctiferalis. Importation of Litchi and Longan Fruit the world to prevent the introduction Cryptophlebia ombrodelta. From Vietnam Into the Continental and dissemination of plant pests within Non-Lepidopteran Insect Pests: United States the United States. Bactrocera dorsalis. The national plant protection Ceroplastes rubens. AGENCY: Animal and Plant Health organization (NPPO) of Vietnam has Coccus viridis. Inspection Service, USDA. requested that the Animal and Plant Drepanococcus chiton. ACTION: Proposed rule. Health Inspection Service (APHIS) Dysmicoccus neobrevipes. amend the regulations to allow fresh Exallomochlus hispidus. SUMMARY: We are proposing to amend litchi (Litchi chinensis Sonn.) and Maconellicoccus hirsutus. the fruits and vegetables regulations to longan (Dimocarpus longan Lour.) to be Nipaecoccus viridis. allow the importation of litchi and imported from Vietnam into the Paracoccus interceptus. longan fruit from Vietnam into the continental United States. The NPPO of Planococcus lilacinus. continental United States. As a Vietnam also proposed that the litchi Planococcus litchi. condition of entry, litchi and longan and longan fruit be treated with Planococcus minor. fruit from Vietnam would be subject to irradiation at the 400 Gy dose approved Pseudococcus cryptus. a systems approach that would include to neutralize most insect pests, except Mite Pest:

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Aceria litchii. would mitigate the risks from all the introduction via the few fruit that may APHIS has determined that measures insect pests. escape detection is very low. It is highly beyond standard port-of-entry The litchi rust mite, A. litchii, is unlikely that commercial fruit will be in inspection are required to mitigate the another pest of litchi and longan. The a situation to introduce the disease risks posed by these plant pests. mite is primarily a pest of foliage and because free water is required for the Therefore, we are proposing to allow the flower parts but is also sometimes spores to infect a host. Additionally, importation of litchi and longan fruit associated with the fruit. Mites are there is no record of interception of this from Vietnam into the continental external pests on the fruit, and because disease on litchi imported into the United States only if they are produced of the damage they cause on fruit, United States from other countries in in accordance with a systems approach inspection and culling of the damaged regions where this pathogen is present. to mitigate pest risk as outlined below. fruit are considered effective in Therefore, no measures are necessary to We are proposing to add the systems mitigating risk from such pests. mitigate the risk posed by this pathogen approach to the regulations in a new Although it is unlikely that beyond certification of freedom based § 319.56–54 governing the importation commercially produced fruit is a on inspection. of litchi and longan fruit from Vietnam. pathway for the litchi rust mite, the Accordingly, proposed paragraph (e) pest’s small size prevents its detection of § 319.56–54 would require each Proposed Systems Approach during inspection. Therefore, we would consignment of litchi or longan fruit to Paragraph (a) of proposed § 319.56–54 prohibit shipments of litchi and longan be accompanied by a phytosanitary would require that the litchi fruit be from Vietnam from being imported into certificate issued by the NPPO of the grown in orchards registered with and or distributed to Florida, where litchi exporting country certifying that the monitored by the NPPO of Vietnam. and longan fruit are grown, to protect provisions of the proposed regulations Requiring the NPPO of Vietnam to that State’s commercial litchi and have been met. In addition, the monitor fields where litchi is produced longan production from litchi rust mite. phytosanitary certificate accompanying for export will ensure application of Paragraph (c) of proposed § 319.56–54 each consignment of litchi would also disease control measures and that the would require the cartons containing have to include an additional litchi are produced free of disease the litchi or longan fruit to be stamped declaration stating that the consignment caused by P. litchii. ‘‘Not for importation into or distribution was inspected in Vietnam and found Paragraph (b) of proposed § 319.56–54 in Florida.’’ This is consistent with free of P. litchii. would set out treatment requirements other import programs where shipments for litchi and longan fruit exported to of litchi or longan fruit are prohibited Executive Order 12866 and Regulatory the United States. Fourteen of the pests into Florida for the same pest. Flexibility Act of litchi and 16 of the pests of longan Paragraph (d) of proposed § 319.56–54 This proposed rule has been are insect pests. A minimum absorbed would state that only commercial determined to be not significant for the dose of 400 Gy is approved to neutralize consignments of litchi and longan fruit purposes of Executive Order 12866 and, all these insect pests, except pupae and would be allowed to be imported. therefore, has not been reviewed by the adults of the order Lepidoptera. Commercial consignments, as defined in Office of Management and Budget. Three of the insect pests associated § 319.56–2, are consignments that an In accordance with 5 U.S.C. 603, we with litchi and longan belong to the inspector identifies as having been have performed an initial regulatory order Lepidoptera. Although the generic imported for sale and distribution. Such flexibility analysis, which is irradiation treatment is not approved for identification is based on a variety of summarized below, regarding the Lepidopteran pupae and adults, those indicators, including, but not limited to: economic effects of this proposed rule life stages are unlikely to be associated Quantity of produce, type of packaging, on small entities. Copies of the full with litchi and longan. Due to their identification of grower or packinghouse analysis are available by contacting the mobility, Lepidopteran adults either on the packaging, and documents person listed under FOR FURTHER feed externally, where they would be consigning the fruits or vegetables to a INFORMATION CONTACT or on the easily detected, or do not attack mature wholesaler or retailer. Produce grown Regulations.gov Web site (see fruit. In most of the genera of concern, commercially is less likely to be infested ADDRESSES above for instructions for the pupae are either associated with with plant pests than noncommercial accessing Regulations.gov). plant parts other than fruit or they occur consignments. Noncommercial Based on the information we have, externally on their host’s plant parts, consignments are more prone to there is no reason to conclude that where they would be easily detected. If infestations because the commodity is adoption of this proposed rule would the pupae do occur inside the fruit or often ripe to overripe, could be of a result in any significant economic effect seed of their host plants, they would be variety with unknown susceptibility to on a substantial number of small associated with premature fruit drop or pests, and is often grown with little or entities. However, we do not currently obvious damage and symptoms and no pest control. have all of the data necessary for a would be culled at the packinghouse or The last pest of litchi is the fungus P. comprehensive analysis of the effects of detected through inspection. litchii. Requiring the NPPO of Vietnam this proposed rule on small entities. Also, except for two interceptions of to monitor fields where litchi is Therefore, we are inviting comments on Conopomorpha spp. in permit cargo produced for export as in paragraph (a) potential effects. In particular, we are with litchi fruit, inspectors at U.S. ports of proposed § 319.56–54 will ensure interested in determining the number of entry have never intercepted pupae of application of disease control measures and kind of small entities that may the other quarantine Lepidoptera genera for this fungus. Most infected litchi fruit incur benefits or costs from the with commercial shipments of any type will be culled because trained implementation of this proposed rule. of fruit. This lack of interceptions is harvesters, packinghouse personnel, and This proposed rule is in response to evidence of the low likelihood of any of plant quarantine inspectors can easily a request from the NPPO of Vietnam to the Lepidoptera pupae following the detect the distinctive signs of the export fresh litchi and longan to the pathway of commercial fruit. disease on fruit. continental United States. In the United Therefore, irradiation treatment, along Infected, nonsymptomatic fruit may States, these two fruits are commercially with standard post-harvest processes, go undetected, but the likelihood of produced in Florida and, to a lesser

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extent, in Hawaii. Production in Paperwork Reduction Act to respond (such as through the use of California is still largely in the In accordance with section 3507(d) of appropriate automated, electronic, developmental stage. Annual U.S. the Paperwork Reduction Act of 1995 mechanical, or other technological production volumes in 2008 were about (44 U.S.C. 3501 et seq.), the information collection techniques or other forms of 535 metric tons (MT) for litchi and 776 collection or recordkeeping information technology; e.g., permitting MT for longan. Virtually all U.S. farms requirements included in this proposed electronic submission of responses). that grow litchi and longan are believed rule have been submitted for approval to Estimate of burden: Public reporting to be small entities based on the Small the Office of Management and Budget burden for this collection of information Business Administration (SBA) standard (OMB). Please send written comments is estimated to average 0.2554 hours per of annual receipts of not more than to the Office of Information and response. Respondents: NPPO of Vietnam and $750,000. Regulatory Affairs, OMB, Attention: importers of litchi and longan fruit from Desk Officer for APHIS, Washington, DC Our review of available information Vietnam. suggests that the proposed rule may 20503. Please state that your comments Estimated annual number of have a negative economic impact on refer to Docket No. APHIS–2010–0116. respondents: 3. Please send a copy of your comments to: longan growers and, to a lesser extent, Estimated annual number of (1) Docket No. APHIS–2010–0116, on litchi growers, particularly when the responses per respondent: 334. Regulatory Analysis and Development, fruit is sold in Asian and Hispanic Estimated annual number of PPD, APHIS, Station 3A–03.8, 4700 markets where the demand for produce responses: 1,002. River Road, Unit 118, Riverdale, MD Estimated total annual burden on tends to be more price-sensitive. The 20737–1238, and (2) Clearance Officer, annual quantities of litchi and longan respondents: 256 hours. (Due to OCIO, USDA, Room 404–W, 14th Street averaging, the total annual burden hours that Vietnam expects to export to the and Independence Avenue, SW., United States, namely, 600 MT and may not equal the product of the annual Washington, DC 20250. A comment to number of responses multiplied by the 1,200 MT, would be equivalent to about OMB is best assured of having its full reporting burden per response.) 18 percent and more than 100 percent, effect if OMB receives it within 30 days Copies of this information collection respectively, of U.S. import levels for of publication of this proposed rule. can be obtained from Mrs. Celeste these two fruits in 2010. Negative APHIS is proposing to amend the Sickles, APHIS’ Information Collection impacts for U.S. producers would be fruits and vegetables regulations to Coordinator, at (301) 851–2908. moderated to the extent that imports allow the importation of litchi and from Vietnam displace imports from longan fruit from Vietnam into the E-Government Act Compliance other foreign sources. continental United States. As a The Animal and Plant Health For the proposed rule, APHIS does condition of entry, litchi and longan Inspection Service is committed to not have an alternative to the proposed fruit from Vietnam would be subject to compliance with the E-Government Act systems approach for allowing the a systems approach that would include to promote the use of the Internet and importation of fresh litchi and longan requirements from treatment and other information technologies, to fruit from Vietnam. Widely ranging inspection and restrictions on the provide increased opportunities for distribution of the fruit. This action prices for litchi and longan among U.S. citizen access to Government would allow for the importation of litchi markets and consumers’ varying information and services, and for other and longan fruit from Vietnam into the purchasing criteria in regard to price, purposes. For information pertinent to United States while continuing to E-Government Act compliance related quality, and sustainability may indicate provide protection against the opportunities for domestic growers to to this proposed rule, please contact introduction of quarantine pests. Mrs. Celeste Sickles, APHIS’ alleviate negative effects of increased Allowing the importation of litchi and Information Collection Coordinator, at foreign competition through alternative longan fruit from Vietnam into the (301) 851–2908. marketing arrangements or marketing continental United States will require channels. the completion of a phytosanitary List of Subjects in 7 CFR Part 319 Executive Order 12988 certificate with a declaration, orchard Coffee, Cotton, Fruits, Imports, Logs, registration, and labeling of boxes. Nursery stock, Plant diseases and pests, This proposed rule would allow litchi We are soliciting comments from the Quarantine, Reporting and and longan fruit to be imported into the public (as well as affected agencies) recordkeeping requirements, Rice, United States from Vietnam. If this concerning our proposed information Vegetables. proposed rule is adopted, State and collection and recordkeeping Accordingly, we propose to amend 7 local laws and regulations regarding requirements. These comments will CFR part 319 as follows: litchi and longan fruit imported under help us: this rule would be preempted while the (1) Evaluate whether the proposed PART 319—FOREIGN QUARANTINE information collection is necessary for fruit is in foreign commerce. Fresh fruits NOTICES the proper performance of our agency’s are generally imported for immediate functions, including whether the 1. The authority citation for part 319 distribution and sale to the consuming information will have practical utility; continues to read as follows public and would remain in foreign (2) Evaluate the accuracy of our Authority: 7 U.S.C. 450, 7701–7772, and commerce until sold to the ultimate estimate of the burden of the proposed 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR consumer. The question of when foreign information collection, including the 2.22, 2.80, and 371.3. commerce ceases in other cases must be validity of the methodology and 2. A new § 319.56–54 is added to read addressed on a case-by-case basis. If this assumptions used; as follows: proposed rule is adopted, no retroactive (3) Enhance the quality, utility, and effect will be given to this rule, and this clarity of the information to be § 319.56–54 Fresh litchi and longan from rule will not require administrative collected; and Vietnam. proceedings before parties may file suit (4) Minimize the burden of the Litchi (Litchi chinensis Sonn.) and in court challenging this rule. information collection on those who are longan (Dimocarpus longan Lour.) fruit

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may be imported from into the the mangoes would have to be produced The national plant protection continental United States from Vietnam in accordance with a systems approach organization (NPPO) of Australia has only under the following conditions: employing a combination of mitigation requested that the Animal and Plant (a) Growing conditions. Litchi fruit measures for the fungus Cytosphaera Health Inspection Service (APHIS) must be grown in orchards registered mangiferae and would have to be amend the regulations to allow fresh with and monitored by the national inspected prior to exportation from mangoes from Australia to be imported plant protection organization (NPPO) of Australia and found free of this disease. into the continental United States. Vietnam to ensure that the fruit are free The mangoes would have to be As part of our evaluation of of disease caused by Phytophthora imported in commercial consignments Australia’s request, we prepared a pest litchii. only and would have to be treated by risk assessment (PRA), titled (b) Treatment. Litchi and longan fruit irradiation to mitigate the risk of insect ‘‘Importation of Fresh Fruit of Mango, must be treated with irradiation for pests. The mangoes would also have to Mangifera indica L., from Australia into plant pests of the class Insecta, except be accompanied by a phytosanitary the Continental United States, A pupae and adults of the order certificate with an additional Pathway-Initiated Risk Analysis’’ (June Lepidoptera, in accordance with part declaration that the conditions for 2011). The PRA evaluated the risks 305 of this chapter. importation have been met. This action associated with the importation of (c) Labeling. In addition to meeting would allow the importation of mangoes mangoes into the continental United the labeling requirements in part 305 of from Australia while continuing to States from Australia. this chapter, cartons containing litchi or protect against the introduction of plant The PRA identified 21 pests of longan must be stamped ‘‘Not for pests into the United States. quarantine significance present in importation into or distribution in FL.’’ DATES: We will consider all comments Australia that could be introduced into (d) Commercial consignments. The that we receive on or before December the United States through the litchi and longan fruit may be imported 27, 2011. importation of mangoes: in commercial consignments only. (e) Phytosanitary certificates. (1) Each ADDRESSES: You may submit comments Fruit Flies consignment of litchi fruit must be by either of the following methods: • Bactrocera aquilonis • accompanied by a phytosanitary Federal eRulemaking Portal: Go to • B. cucumis certificate issued by the NPPO of http://www.regulations.gov/ • B. frauenfeldi Vietnam attesting that the conditions of #!documentDetail;D=APHIS-2011-0040- • B. jarvisi this section have been met and that the 0001. • B. kraussi • consignment was inspected in Vietnam Postal Mail/Commercial Delivery: • B. murrayi and found free of Phytophthora litchii. Send your comment to Docket No. • B. neohumeralis (2) Each consignment of longan fruit APHIS–2011–0040, Regulatory Analysis • B. opiliae must be accompanied by a and Development, PPD, APHIS, Station • B. tryoni phytosanitary certificate issued by the 3A–03.8, 4700 River Road Unit 118, • Ceratitis capitata Riverdale, MD 20737–1238. NPPO of Vietnam attesting that the Scales conditions of this section have been Supporting documents and any • met. comments we receive on this docket Red wax scale (Ceroplastes rubens) may be viewed at http:// • Green scale (Coccus viridis) Done in Washington, DC, this 19th day of October 2011. www.regulations.gov/ Weevil #!docketDetail;D=APHIS-2011-0040 or Kevin Shea, • in our reading room, which is located in Mango seed weevil (Sternochetus Acting Administrator, Animal and Plant room 1141 of the USDA South Building, mangiferae) Health Inspection Service. 14th Street and Independence Avenue, Fungi [FR Doc. 2011–27574 Filed 10–24–11; 8:45 am] SW., Washington, DC. Normal reading BILLING CODE 3410–34–P • Cytosphaera mangiferae room hours are 8 a.m. to 4:30 p.m., • Monday through Friday, except Fusarium spp. complex (associated holidays. To be sure someone is there to with mango malformation disease) DEPARTMENT OF AGRICULTURE • Lasioddiplodia pseudotheobraomae help you, please call (202) 690–2817 • before coming. Neofusicoccum mangiferae Animal and Plant Health Inspection • Neoscytalidium novaehollandiae Service FOR FURTHER INFORMATION CONTACT: Ms. • Phomopsis mangiferae Donna West, Senior Import Specialist, • Pseudofusicoccum adansoniae 7 CFR Part 319 PPQ, APHIS, 4700 River Road Unit 39, Riverdale, MD 20737–1231; (301) 734– Bacterium [Docket No. APHIS–2011–0040] 0627. • Xanthomonas campestris pv. RIN 0579–AD52 SUPPLEMENTARY INFORMATION: mangiferaeindicae According to our PRA, for pests rated Importation of Mangoes From Australia Background high risk (C. rubens, C. capitata, and the AGENCY: Animal and Plant Health The regulations in ‘‘Subpart—Fruits nine Bactrocera spp. fruit flies), specific Inspection Service, USDA. and Vegetables’’ (7 CFR 319.56–1 phytosanitary measures beyond ACTION: Proposed rule. through 319.56–52, referred to below as standard port-of-entry inspection are the regulations) prohibit or restrict the strongly recommended. For pests rated SUMMARY: We are proposing to amend importation of fruits and vegetables into medium risk (C. viridis, C. mangiferae, the regulations concerning the the United States from certain parts of L. pseudotheobraomae, N. mangiferae, importation of fruits and vegetables to the world to prevent the introduction N. novaehollandiae, P. adansoniae, S. allow the importation of fresh mangoes and dissemination of plant pests that are mangiferae, and X. campestris pv. from Australia into the continental new to or not widely distributed within mangiferaeindicae), specific United States. As a condition of entry, the United States. phytosanitary measures beyond

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standard port-of-entry inspection may monitoring by APHIS inspectors and In addition, if the fruit is treated with be necessary. For pests rated as low risk safeguarding of the fruit. Treatment irradiation outside the United States, (the Fusarium spp. complex and P. could be conducted at an approved each consignment of fruit would have to mangiferae), specific phytosanitary facility in Australia or in the United be inspected jointly by APHIS and the measures beyond standard port-of-entry States. NPPO of Australia, and the PC would inspection are not required. To The required irradiation treatment have to include an additional recommend specific measures to would not mitigate the risks posed by declaration that the fruit received the mitigate the risk posed by the pests the fungus C. mangiferae. In order to irradiation treatment. identified in the PRA, we prepared a mitigate the risks posed by C. Mangoes imported from Australia into risk management document (RMD). mangiferae, which we consider to be of the United States would also be subject Copies of the PRA and RMD may be medium risk of introduction and to inspection at the port of entry. dissemination within the continental obtained from the person listed under Executive Order 12866 and Regulatory United States, we are proposing three FOR FURTHER INFORMATION CONTACT or Flexibility Act viewed on the Regulations.gov Web site options: (1) The mangoes be treated (see ADDRESSES above for instructions with a broad-spectrum post-harvest This proposed rule has been for accessing Regulations.gov). fungicidal dip, (2) the mangoes originate determined to be not significant for the Based on the recommendations of the from an orchard that was inspected purposes of Executive Order 12866 and, RMD, we are proposing to allow the prior to the beginning of harvest during therefore, has been reviewed by the importation of mangoes from Australia the growing season and the orchard was Office of Management and Budget. into the continental United States only found free of C. mangiferae, or (3) the We have prepared an economic if they are produced in accordance with mangoes originate from an orchard that analysis for this rule. The economic a systems approach. The systems was treated with a broad-spectrum analysis provides a cost-benefit analysis, approach we are proposing would fungicide during the growing season as required by Executive Order 12866, require that mangoes be imported only and was inspected prior to harvest and and an analysis of the potential under the conditions described below. the fruit was found free of C. economic effects of this action on small These conditions would be added to the mangiferae. entities, as required by the Regulatory regulations in a new § 319.56–54. Symptoms of C. mangiferae can be Flexibility Act. The economic analysis Mangoes would have to be imported easily seen and detected in the field on is summarized below. Copies of the full in commercial consignments. Produce mango leaves and fruit during pre- analysis are available by contacting the grown commercially is less likely to be harvest inspection. Post-harvest diseases person listed under FOR FURTHER infested with plant pests than do not occur without the presence of INFORMATION CONTACT or on the noncommercial shipments. fungal symptoms on leaves in the field. Regulations.gov Web site (see Noncommercial shipments are more Orchard application of broad-spectrum ADDRESSES above for instructions for prone to infestations because the fungicide sprays protects fruit from accessing Regulations.gov). commodity is often ripe to overripe, infection by aerial spores produced on The United States produces could be of a variety with unknown leaves or stems. In Australia, spraying of approximately 3,000 metric tons of susceptibility to pests, and is often mango plants with broad-spectrum mangoes per year, about one-hundredth grown with little or no pest control. fungicides during the growing season is of 1 percent of world production. While Commercial consignments, as defined in a common practice to control fungal U.S. mango production is limited, the § 319.56–2, are consignments that an diseases. United States is the world’s leading inspector identifies as having been Prior to export from Australia, the importer of fresh mangoes, receiving 33 imported for sale and distribution. Such fruit would have to be inspected by the percent of imports worldwide. identification is based on a variety of NPPO of Australia and found free of C. Currently, Australia produces 60,000 indicators, including, but not limited to: mangiferae, L. pseudotheobraomae, N. metric tons of mangoes during the mid- Quantity of produce, type of packaging, mangiferae, N. novaehollandiae, P. September to mid-April season. Mango identification of grower or packinghouse adansoniae, P. mangiferae, Fusarium imports from Australia are expected to on the packaging, and documents spp., and X. campestris pv. total about 1,200 metric tons per year. consigning the fruits or vegetables to a mangiferaeindicae. Symptoms of these This represents approximately 0.5 wholesaler or retailer. pathogens are easily discernible with percent of total U.S. mango imports. The mangoes would have to be treated the naked eye and would most likely be U.S. consumers will benefit from for insect pests, except pupae and adults detected during visual inspection of the increased access to another variety of of the order Lepidoptera, with fruit at the packinghouse. These fresh mangoes. In addition, because the irradiation in accordance with 7 CFR practices would effectively remove Australian mango season is opposite part 305, which contains the these pathogens of concern from the that of the United States, fresh mango phytosanitary treatments regulations. pathway. imports would not compete with The Plant Protection and Quarantine Each consignment of fruit would have domestic production and U.S. Treatment Manuel, which lists to be accompanied by a phytosanitary consumers can have access to mangoes minimum absorbed irradiation doses for certificate (PC) issued by the NPPO of the entire year. plant pests and classes of plant pests, Australia with additional declarations Under these circumstances, the includes a 400-gray dose for such pests. that would confirm that: (1) The Administrator of the Animal and Plant None of the pests associated with mangoes were subjected to one of the Health Inspection Service has mangoes from Australia belong to the pre- and post-harvest mitigation options determined that this action would not order Lepidoptera; therefore, this for C. mangiferae described earlier and have a significant economic impact on treatment would successfully mitigate (2) the mangoes were inspected prior to a substantial number of small entities. the risk of all 13 insect pests associated export and found free of C. mangiferae, with mangoes from Australia. L. pseudotheobraomae, N. mangiferae, Executive Order 12988 Within part 305, § 305.9 contains a N. novaehollandiae, P. adansoniae, P. This proposed rule would allow number of other requirements for mangiferae, Fusarium spp., and X. mangoes to be imported into the United irradiation treatment, including campestris pv. mangiferaeindicae. States from Australia. If this proposed

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rule is adopted, State and local laws and We are soliciting comments from the recordkeeping requirements, Rice, regulations regarding mangoes imported public (as well as affected agencies) Vegetables. under this rule would be preempted concerning our proposed information Accordingly, we propose to amend 7 while the fruit is in foreign commerce. collection and recordkeeping CFR part 319 as follows: Fresh fruits are generally imported for requirements. These comments will immediate distribution and sale to the help us: PART 319—FOREIGN QUARANTINE consuming public and would remain in (1) Evaluate whether the proposed NOTICES foreign commerce until sold to the information collection is necessary for 1. The authority citation for part 319 ultimate consumer. The question of the proper performance of our agency s continues to read as follows: when foreign commerce ceases in other functions, including whether the cases must be addressed on a case-by- information will have practical utility; Authority: 7 U.S.C. 450, 7701–7772, and case basis. If this proposed rule is (2) Evaluate the accuracy of our 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR adopted, no retroactive effect will be estimate of the burden of the proposed 2.22, 2.80, and 371.3. given to this rule, and this rule will not information collection, including the 2. A new § 319.56–54 is added to read require administrative proceedings validity of the methodology and as follows: before parties may file suit in court assumptions used; § 319.56–54 Mangoes from Australia. challenging this rule. (3) Enhance the quality, utility, and clarity of the information to be Mangoes (Mangifera indica) may be Paperwork Reduction Act collected; and imported into the continental United In accordance with section 3507(d) of (4) Minimize the burden of the States from Australia only under the the Paperwork Reduction Act of 1995 information collection on those who are following conditions: (44 U.S.C. 3501 et seq.), the information to respond (such as through the use of (a) The mangoes may be imported in collection or recordkeeping appropriate automated, electronic, commercial consignments only. requirements included in this proposed mechanical, or other technological (b) The mangoes must be treated by rule have been submitted for approval to collection techniques or other forms of irradiation for plant pests of the class the Office of Management and Budget information technology; e.g., permitting Insecta, except pupae and adults of the (OMB). Please send written comments electronic submission of responses). order Lepidoptera, in accordance with to the Office of Information and Estimate of burden: Public reporting part 305 of this chapter. (c) The risks presented by Regulatory Affairs, OMB, Attention: burden for this collection of information Cytosphaera mangiferae must be Desk Officer for APHIS, Washington, DC is estimated to average 0.5 hours per addressed in one of the following ways: 20503. Please state that your comments response. (1) The mangoes are treated with a refer to Docket No. APHIS–2011–0040. Respondents: Foreign business. broad-spectrum post-harvest fungicidal Please send a copy of your comments to: Estimated annual number of dip; (1) Docket No. APHIS–2011–0040, respondents: 20. Estimated annual number of (2) The mangoes originate from an Regulatory Analysis and Development, responses per respondent: 5. orchard that was inspected prior to the PPD, APHIS, Station 3A–03.8, 4700 Estimated annual number of beginning of harvest during the growing River Road, Unit 118, Riverdale, MD responses: 100. season and the orchard was found free 20737–1238, and (2) Clearance Officer, Estimated total annual burden on of C. mangiferae; or OCIO, USDA, Room 404–W, 14th Street respondents: 50 hours. (Due to (3) The mangoes originate from an and Independence Avenue, SW., averaging, the total annual burden hours orchard that were treated with a broad- Washington, DC 20250. A comment to may not equal the product of the annual spectrum fungicide during the growing OMB is best assured of having its full number of responses multiplied by the season and was inspected prior to effect if OMB receives it within 30 days reporting burden per response.) harvest and the mangoes are found free of publication of this proposed rule. Copies of this information collection of C. mangiferae. APHIS is proposing to amend the can be obtained from Mrs. Celeste (d) Prior to export from Australia, the fruits and vegetables regulations to Sickles, APHIS’ Information Collection mangoes must be inspected by the allow, under certain conditions, the Coordinator, at (301) 851–2908. national plant protection organization importation into the United States of (NPPO) of Australia and found free of C. commercial consignments of fresh E-Government Act Compliance mangiferae, L. pseudotheobraomae, N. mangoes from Australia. The conditions The Animal and Plant Health mangiferae, N. novaehollandiae, P. for the importation of fresh mangoes Inspection Service is committed to adansoniae, P. mangiferae, Fusarium from Australia include requirements for compliance with the E-Government Act spp. complex associated with mango pest exclusion at the production site, to promote the use of the Internet and malformation disease, and X. campestris irradiation treatment, pest-excluding other information technologies, to pv. mangiferaeindicae. packinghouse procedures and port-of- provide increased opportunities for (e) (1) Each consignment of fruit must entry inspections. The mangoes would citizen access to Government be accompanied by a phytosanitary also be required to be accompanied by information and services, and for other certificate issued by the NPPO of a phytosanitary certificate issued by the purposes. For information pertinent to Australia with additional declarations national plant protection organization E-Government Act compliance related that: (NPPO) of Australia with an additional to this proposed rule, please contact (i) The mangoes were subjected to one declaration confirming that the mangoes Mrs. Celeste Sickles, APHIS’ of the pre- or post-harvest mitigation had been produced in accordance with Information Collection Coordinator, at options described in § 319.56–54(c), and the proposed requirements. This action (301) 851–2908. (ii) The mangoes were inspected prior would allow for the importation of fresh to export from Australia and found free mangoes from Australia while List of Subjects in 7 CFR Part 319 of C. mangiferae, L. continuing to provide protection against Coffee, Cotton, Fruits, Imports, Logs, pseudotheobraomae, N. mangiferae, N. the introduction of injurious plant pests Nursery stock, Plant diseases and pests, novaehollandiae, P. adansoniae, P. into the United States. Quarantine, Reporting and mangiferae, Fusarium spp. complex

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associated with mango malformation • Fax: 202–493–2251. closing date and may amend this disease, and X. campestris pv. • Mail: U.S. Department of proposed AD because of those mangiferaeindicae. Transportation, Docket Operations, comments. (2) If the fruit is treated with M–30, West Building Ground Floor, We will post all comments we irradiation outside the United States, Room W12–140, 1200 New Jersey receive, without change, to http:// each consignment of fruit must be Avenue, SE., Washington, DC 20590. www.regulations.gov, including any inspected jointly by APHIS and the • Hand Delivery: U.S. Department of personal information you provide. We NPPO of Australia, and the Transportation, Docket Operations, phytosanitary certificate must include M–30, West Building Ground Floor, will also post a report summarizing each an additional declaration that the fruit Room W12–140, 1200 New Jersey substantive verbal contact we receive was treated with irradiation in Avenue, SE., Washington, DC 20590, about this proposed AD. accordance with part 305 of this between 9 a.m. and 5 p.m., Monday Discussion chapter. through Friday, except Federal holidays. Done in Washington, DC this 19th day of For service information identified in We received a report of extensive October 2011. this proposed AD, contact Boeing corrosion of the ballscrew of the drive Kevin Shea, Commercial Airplanes, Attention: Data mechanism of the horizontal stabilizer Acting Administrator, Animal and Plant & Services Management, P.O. Box 3707, trim actuator (HSTA). Boeing previously Health Inspection Service. MC 2H–65, Seattle, Washington 98124– initiated a design review and safety [FR Doc. 2011–27564 Filed 10–24–11; 8:45 am] 2207; telephone 206–544–5000, analysis of the ballscrews used on all BILLING CODE 3410–34–P extension 1; fax 206–766–5680; e-mail Model 757 airplanes as a result of an [email protected]; Internet MD–80 airplane accident which https://www.myboeingfleet.com. You occurred in January 2000. The cause of DEPARTMENT OF TRANSPORTATION may review copies of the referenced that accident was attributed to an in- service information at the FAA, flight failure of the horizontal stabilizer Federal Aviation Administration Transport Airplane Directorate, 1601 jackscrew assembly caused by Lind Avenue, SW., Renton, Washington. inadequate maintenance. Jackscrews For information on the availability of 14 CFR Part 39 and ballscrews are similar in function this material at the FAA, call 425–227– and have similar airplane level failure [Docket No. FAA–2011–1093; Directorate 1221. Identifier 2010–NM–149–AD] modes. During this review a Model 757 Examining the AD Docket RIN 2120–AA64 airplane operator reported the subject You may examine the AD docket on corrosion. This condition, if not Airworthiness Directives; The Boeing the Internet at http:// corrected, could result in undetected Company Model 757 Airplanes www.regulations.gov; or in person at the failure of the primary and secondary load paths for the ballscrew in the AGENCY: Federal Aviation Docket Management Facility between horizontal stabilizer, which could lead Administration (FAA), DOT. 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD to loss of control of the horizontal ACTION: Notice of proposed rulemaking docket contains this proposed AD, the stabilizer and consequent loss of control (NPRM). regulatory evaluation, any comments of the airplane. received, and other information. The SUMMARY: We propose to adopt a new Relevant Service Information airworthiness directive (AD) for the street address for the Docket Office products listed above. This proposed (telephone 800–647–5527) is in the We have reviewed Boeing Alert AD would require repetitive detailed ADDRESSES section. Comments will be Service Bulletins 757–27A0144 (for inspections for discrepancies of the available in the AD docket shortly after Model 757–200, –200CB, and 200PF horizontal stabilizer ballscrew assembly; receipt. series airplanes) and 757–27A0145 (for repetitive lubrication of the horizontal FOR FURTHER INFORMATION CONTACT: Model 757–300 series airplanes), both stabilizer trim control system; repetitive Kelly McGuckin, Aerospace Engineer, Revision 1, both dated January 20, 2010. measurements for discrepancies of the Systems and Equipment Branch, ANM– These service bulletins describe ballscrew to ballnut freeplay; and 130S, FAA, Seattle Airplane procedures for repetitive detailed corrective actions if necessary. This Certification Office, 1601 Lind Avenue, inspections for discrepancies of the proposed AD was prompted by a report SW., Renton, Washington 98057–3356; horizontal stabilizer ballscrew assembly of extensive corrosion of the ballscrew telephone (425) 917–6490; fax (425) (including but not limited to, damage, of the drive mechanism of the 917–6590. cracking, corrosion, or wear); repetitive horizontal stabilizer trim actuator. We SUPPLEMENTARY INFORMATION: lubrication of the horizontal stabilizer are proposing this AD to prevent trim control system; and repetitive undetected failure of the primary and Comments Invited measurements of the ballscrew to secondary load paths for the ballscrew We invite you to send any written ballnut freeplay for discrepancies. in the horizontal stabilizer, which could relevant data, views, or arguments about lead to loss of control of the horizontal this proposed AD. Send your comments We have also reviewed Subject 27– stabilizer and consequent loss of control to an address listed under the 41–10, ‘‘Stabilizer Trim Ballscrew of the airplane. ADDRESSES section. Include ‘‘Docket No. Freeplay,’’ of Chapter 27, ‘‘Flight DATES: We must receive comments on FAA–2011–1093; Directorate Identifier Controls,’’ of the Boeing 757 Airplane this proposed AD by December 9, 2011. 2010–NM–149–AD’’ at the beginning of Maintenance Manual (AMM), Revision ADDRESSES: You may send comments by your comments. We specifically invite 101, dated May 20, 2011, which any of the following methods: comments on the overall regulatory, describes procedures for accomplishing • Federal eRulemaking Portal: Go to economic, environmental, and energy the subject inspections and freeplay http://www.regulations.gov. Follow the aspects of this proposed AD. We will measurements, and applicable instructions for submitting comments. consider all comments received by the corrective actions.

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FAA’s Determination and Requirements initial accomplishment of the actions We are issuing this rulemaking under of This Proposed AD specified in paragraphs (g), (h), and (i) the authority described in ‘‘Subtitle VII, We are proposing this AD because we of this AD, as applicable, and the repeat Part A, Subpart III, Section 44701: evaluated all relevant information and interval for those actions may be General requirements.’’ Under that determined the unsafe condition determined from the performance date section, Congress charges the FAA with described previously is likely to exist or of that overhaul. promoting safe flight of civil aircraft in Boeing Alert Service Bulletins 757– develop in other products of the same air commerce by prescribing regulations 27A0144 and 757–27A0145, both type design. This proposed AD would for practices, methods, and procedures Revision 1, both dated January 20, 2010, require accomplishing the actions the Administrator finds necessary for do not specify the initial compliance specified in the service information safety in air commerce. This regulation times for airplanes on which the described previously, except as is within the scope of that authority detailed inspection or lubrication tasks discussed under ‘‘Differences Between because it addresses an unsafe condition have not been performed; however, this the Proposed AD and the Service that is likely to exist or develop on proposed AD provides those compliance Information.’’ products identified in this rulemaking times. action. Differences Between the Proposed AD Boeing Alert Service Bulletins 757– and the Service Information 27A0144 and 757–27A0145, both Regulatory Findings Revision 1, both dated January 20, 2010, Boeing Alert Service Bulletins 757– We determined that this proposed AD specify the initial compliance time for 27A0144 and 757–27A0145, both would not have federalism implications the stabilizer ballscrew to ballnut Revision 1, both dated January 20, 2010, under Executive Order 13132. This freeplay check for Group 1, do not specify corrective actions for proposed AD would not have a Configuration 1, and Group 1, airplanes on which the measured substantial direct effect on the States, on Configuration 3 airplanes based on total freeplay is less than .004 inch and the the relationship between the national flight hours, within 18 months from the freeplay check was done correctly. Government and the States, or on the date of Boeing Alert Service Bulletins However, this proposed AD requires distribution of power and 757–27A0144 and 757–27A0145, both corrective action that includes responsibilities among the various Revision 1, both dated January 20, 2010. replacement of the HSTA before further levels of government. This proposed AD requires the initial flight with a new or overhauled HSTA, For the reasons discussed above, I freeplay check before the accumulation if the freeplay measurement is less then certify this proposed regulation: of 15,000 total flight hours, or within 18 0.002 inch. No action is required for months after the effective date of this (1) Is not a ‘‘significant regulatory freeplay measurements greater then or AD, whichever occurs later. action’’ under Executive Order 12866, equal to 0.002 inch but less then 0.004 We have coordinated the differences (2) Is not a ‘‘significant rule’’ under inch after verifying the measurement discussed above with Boeing. the DOT Regulatory Policies and was performed correctly. Procedures (44 FR 11034, February 26, Costs of Compliance Boeing Alert Service Bulletins 757– 1979), 27A0144 and 757–27A0145, both We estimate that this proposed AD Revision 1, both dated January 20, 2010, (3) Will not affect intrastate aviation would affect 730 airplanes of U.S. in Alaska, and do not specify conditions for replacing registry. We also estimate that it would the HSTA if that replacement is take about 13 work-hours per product to (4) Will not have a significant necessary as corrective action. This comply with this proposed AD. The economic impact, positive or negative, proposed AD requires any replacement average labor rate is $85 per work-hour. on a substantial number of small entities HSTA be new or overhauled if replaced Based on these figures, we estimate the under the criteria of the Regulatory as corrective action. Any replacement cost of this proposed AD to the U.S. Flexibility Act. HSTA that is not new or overhauled operators to be $806,650, or $1,105 per List of Subjects in 14 CFR Part 39 must be inspected before further flight product. in accordance with the requirements of We estimate that it would take about Air transportation, Aircraft, Aviation this proposed AD. 26 work-hours to do any HSTA safety, Incorporation by reference, Boeing Alert Service Bulletins 757– replacement that would be required Safety. 27A0144 and 757–27A0145, both based on the results of the proposed The Proposed Amendment Revision 1, both dated January 20, 2010, inspection. We have no way of do not give credit for airplanes on determining the number of aircraft that Accordingly, under the authority which the HSTA ballscrews were might need these replacements. The delegated to me by the Administrator, overhauled after removing the HSTA average labor rate is $85 per work-hour. the FAA proposes to amend 14 CFR part from the airplane as part of a ‘‘hard- Based on these figures, we estimate the 39 as follows: time’’ replacement program. The cost of this proposed replacement to the proposed AD includes credit for U.S. operators to be $2,210 per product; PART 39—AIRWORTHINESS airplanes on which any HSTA is excluding parts cost, which varies DIRECTIVES overhauled before the effective date of depending on airplane configuration. this AD, or within the compliance time 1. The authority citation for part 39 specified in paragraph (g), (h), or (i) of Authority for This Rulemaking continues to read as follows: this AD, as applicable, as part of a Title 49 of the United States Code Authority: 49 U.S.C. 106(g), 40113, 44701. ‘‘hard-time’’ replacement program that specifies the FAA’s authority to issue § 39.13 [Amended] includes removal of the HSTA from the rules on aviation safety. Subtitle I, airplane and overhaul of the stabilizer section 106, describes the authority of 2. The FAA amends § 39.13 by adding ballscrew using original equipment the FAA Administrator. ‘‘Subtitle VII: the following new AD: manufacturer instructions. Therefore, Aviation Programs,’’ describes in more The Boeing Company: Docket No. FAA– any such HSTA is considered detail the scope of the Agency’s 2011–1093; Directorate Identifier 2010– acceptable for compliance with the authority. NM–149–AD.

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Comments Due Date (ii) Within 6 months after the effective date times specified in those paragraphs, and in (a) We must receive comments by of this AD. accordance with the Accomplishment December 9, 2011. (2) For airplanes on which a detailed Instructions of Boeing Alert Service Bulletin inspection of the horizontal stabilizer 757–27A0144 (for Model 757–200, –200CB, Affected ADs ballscrew assembly specified in Boeing Alert and 200PF series airplanes) or 757–27A0145 (b) None. Service Bulletin 757–27A0144 or 757– (for Model 757–300 series airplanes), 27A0145, dated August 7, 2003; or Revision Revision 1, dated January 20, 2010. Applicability 1, dated January 20, 2010; has not been done (1) For airplanes on which a detailed (c) This AD applies to all The Boeing as of the effective date of this AD: Do a inspection of the horizontal stabilizer Company Model 757–200, –200PF, –200CB, detailed inspection for discrepancies of the ballscrew assembly specified in Boeing Alert and –300 series airplanes, certificated in any horizontal stabilizer ballscrew assembly Service Bulletin 757–27A0144 or 757– category. within 3,500 flight hours or 2 years after the 27A0145, dated August 7, 2003; or Revision effective date of this AD, whichever occurs 1, dated January 20, 2010; has been done as Subject first. Repeat the inspection thereafter at of the effective date of this AD: Do a detailed (d) Joint Aircraft System Component intervals not to exceed 3,500 flight hours or inspection for discrepancies of the horizontal (JASC)/Air Transport Association (ATA) of 2 years, whichever occurs first. stabilizer ballscrew assembly at the later of America Code 27: Flight Controls. (3) For airplanes on which the lubrication the times specified in paragraphs (h)(1)(i) and of the horizontal stabilizer trim control (h)(1)(ii) of this AD. Do the inspection Unsafe Condition system specified in Boeing Alert Service thereafter at intervals not to exceed 3,500 (e) This AD was prompted by a report of Bulletin 757–27A0144 or 757–27A0145, flight hours or 2 years, whichever occurs extensive corrosion of the ballscrew of the dated August 7, 2003; or Revision 1, dated first. drive mechanism of the horizontal stabilizer January 20, 2010; has been done as of the (i) Within 3,500 flight hours or 18 months trim actuator (HSTA). We are issuing this AD effective date of this AD: Lubricate the after doing the most recent detailed to prevent undetected failure of the primary horizontal stabilizer trim control system at inspection of the stabilizer ballscrew and secondary load paths for the ballscrew in the later of the times specified in paragraphs assembly, whichever occurs first. the horizontal stabilizer, which could lead to (g)(3)(i) and (g)(3)(ii) of this AD. Repeat the (ii) Within 6 months after the effective date loss of control of the horizontal stabilizer and lubrication thereafter at intervals not to of this AD. consequent loss of control of the airplane. exceed 2,000 flight hours or 1 year, (2) For airplanes on which a detailed whichever occurs first. inspection of the horizontal stabilizer Compliance (i) Within 2,000 flight hours or 1 year after ballscrew assembly specified in Boeing Alert (f) You are responsible for having the doing the most recent lubrication of the Service Bulletin 757–27A0144 or 757– actions required by this AD performed within horizontal stabilizer trim control system, 27A0145, dated August 7, 2003; or Revision the compliance times specified, unless the whichever occurs first. 1, dated January 20, 2010; has not been done actions have already been done. (ii) Within 6 months after the effective date as of the effective date of this AD: Do a of this AD. detailed inspection for discrepancies of the Group 1, Configuration 1 Airplanes— (4) For airplanes on which the lubrication horizontal stabilizer ballscrew assembly Repetitive Inspections, Lubrications, of the horizontal stabilizer trim control within 3,500 flight hours or 18 months after Freeplay Checks system specified in Boeing Alert Service the effective date of this AD, whichever (g) For Group 1, Configuration 1 airplanes Bulletin 757–27A0144 or 757–27A0145, occurs first. Do the inspection thereafter at identified in Boeing Alert Service Bulletin dated August 7, 2003; or Revision 1, dated intervals not to exceed 3,500 flight hours or 757–27A0144 (for Model 757–200, -200CB, January 20, 2010; has not been done as of the 2 years, whichever occurs first. and 200PF series airplanes) or 757–27A0145 effective date of this AD: Lubricate the (3) For airplanes on which the lubrication (for Model 757–300 series airplanes), horizontal stabilizer trim control system of the horizontal stabilizer trim control Revision 1, dated January 20, 2010, that have within 2,000 flight hours or 1 year after the system specified in Boeing Alert Service accumulated 15,000 total flight cycles or effective date of this AD, whichever occurs Bulletin 757–27A0144 or 757–27A0145, fewer as of the effective date of this AD: Do first. Repeat the lubrication thereafter at dated August 7, 2003; or Revision 1, dated the actions required by paragraph (g)(1) or intervals not to exceed 2,000 flight hours or January 20, 2010; has been done as of the (g)(2) of this AD, as applicable, and do the 1 year, whichever occurs first. effective date of this AD: Lubricate the actions required by paragraph (g)(3) or (g)(4) (5) Do the stabilizer ballscrew to ballnut horizontal stabilizer trim control system at of this AD, as applicable, and do the actions freeplay check for discrepancies at the later the later of the times specified in paragraphs required by paragraph (g)(5) of this AD, at the of the times specified in paragraphs (g)(5)(i) (h)(3)(i) and (h)(3)(ii) of this AD. Do the times specified in those paragraphs, and in and (g)(5)(ii) of this AD. Repeat the freeplay lubrication thereafter at intervals not to accordance with the Accomplishment check thereafter at intervals not to exceed exceed 2,000 flight hours or 1 year, Instructions of Boeing Alert Service Bulletin 18,000 flight hours or 5 years, whichever whichever occurs first. 757–27A0144 (for Model 757–200, -200CB, occurs first. (i) Within 2,000 flight hours or 1 year after and -200PF series airplanes) or 757–27A0145 (i) Before the accumulation of 15,000 total doing the most recent lubrication of the (for Model 757–300 series airplanes), flight hours. horizontal stabilizer trim control system, Revision 1, dated January 20, 2010. (ii) Within 18 months after the effective whichever occurs first. (1) For airplanes on which a detailed date of this AD. (ii) Within 6 months after the effective date inspection of the horizontal stabilizer of this AD. ballscrew assembly specified in Boeing Alert Group 1, Configuration 2 Airplanes— (4) For airplanes on which the lubrication Service Bulletin 757–27A0144 or 757– Repetitive Inspections, Lubrications, of the horizontal stabilizer trim control 27A0145, dated August 7, 2003; or Revision Freeplay Checks system specified in Boeing Alert Service 1, dated January 20, 2010; has been done as (h) For Group 1, Configuration 2 airplanes Bulletins 757–27A0144 or 757–27A0145, of the effective date of this AD: Do a detailed identified in Boeing Alert Service Bulletin dated August 7, 2003; or Revision 1, dated inspection for discrepancies of the horizontal 757–27A0144 (for Model 757–200, –200CB, January 20, 2010; has not been done as of the stabilizer ballscrew assembly at the later of and 200PF series airplanes) or 757–27A0145 effective date of this AD: Lubricate the the times specified in paragraphs (g)(1)(i) and (for Model 757–300 series airplanes), horizontal stabilizer trim control system (g)(1)(ii) of this AD. Repeat the inspection Revision 1, dated January 20, 2010, that have within 2,000 flight hours or 1 year after the thereafter at intervals not to exceed 3,500 accumulated more than 15,000 total flight effective date of this AD, whichever occurs flight hours or 2 years, whichever occurs cycles as of the effective date of this AD: Do first. Do the lubrication thereafter at intervals first. the actions required by paragraph (h)(1) or not to exceed 2,000 flight hours or 1 year, (i) Within 3,500 flight hours or 2 years after (h)(2) of this AD, as applicable, and do the whichever occurs first. doing the most recent detailed inspection of actions required by paragraph (h)(3) or (h)(4) (5) Do the stabilizer ballscrew to ballnut the horizontal stabilizer ballscrew assembly, of this AD, as applicable, and do the actions freeplay check for discrepancies within 18 whichever occurs first. required by paragraph (h)(5) of this AD, at the months after the effective date of this AD.

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Repeat the freeplay check thereafter at (i)(3)(i) and (i)(3)(ii) of this AD. Do the this AD, if a freeplay measurement less then intervals not to exceed 18,000 flight hours or lubrication thereafter at intervals not to 0.002 inch is found. 5 years, whichever occurs first. exceed 2,000 flight hours or 1 year, Note 1: Additional guidance for the whichever occurs first. Group 1, Configuration 3 Airplanes— verification of the measurement can be found (i) Within 2,000 flight hours or 1 year after in Subject 27–41–10, ‘‘Stabilizer Trim Repetitive Inspections, Lubrications, doing the most recent lubrication of the Freeplay Checks Ballscrew Freeplay,’’ of Chapter 27, ‘‘Flight horizontal stabilizer trim control system, Controls,’’ of the Boeing 757 Airplane (i) For Group 1, Configuration 3 airplanes whichever occurs first. Maintenance Manual (AMM), Revision 101, identified in Boeing Alert Service Bulletin (ii) Within 6 months after the effective date dated May 20, 2011. 757–27A0144 (for Model 757–200, –200CB, of this AD. and 200PF series airplanes) or 757–27A0145 (4) For airplanes on which the lubrication Credit for Hard-Time Replacement of HSTA (for Model 757–300 series airplanes), of the horizontal stabilizer trim control (l) Any HSTA overhauled before the Revision 1, dated January 20, 2010: Do the system specified in Boeing Alert Service effective date of this AD, or within the actions required by paragraph (i)(1) or (i)(2) Bulletin 757–27A0144 or 757–27A0145, compliance time specified in paragraph (g), of this AD, as applicable, and do the actions dated August 7, 2003; or Revision 1, dated (h), or (i) of this AD, as applicable—as part required by paragraph (i)(3) or (i)(4) of this January 20, 2010; has not been done as of the of a ‘‘hard-time’’ replacement program that AD, as applicable, and do the actions effective date of this AD: Lubricate the includes removal of the HSTA from the required by paragraph (i)(5) of this AD, at the horizontal stabilizer trim control system at airplane and overhaul of the stabilizer time specified in those paragraphs, and in the later of the times specified in paragraphs ballscrew in accordance with original accordance with the Accomplishment (i)(4)(i) and (i)(4)(ii) of this AD. Do the equipment manufacturer component Instructions of Boeing Alert Service Bulletin lubrication thereafter at intervals not to maintenance manual instructions—meets the 757–27A0144 (for Model 757–200, –200CB, exceed 2,000 flight hours or 1 year, intent of one detailed inspection, one and 200PF series airplanes) or 757–27A0145 whichever occurs first. freeplay inspection, and one lubrication of (for Model 757–300 series airplanes), (i) Within 2,000 flight hours or 1 year, the HSTA as specified in paragraph (g), (h), Revision 1, dated January 20, 2010. whichever occurs first, after accomplishing or (i) of this AD; and therefore, is considered (1) For airplanes on which a detailed an overhaul specified in Boeing Alert Service acceptable for compliance with the initial inspection of the horizontal stabilizer Bulletin 757–27A0142, Revision 2, dated accomplishment of the actions specified in ballscrew assembly specified in the October 23, 2003; or Boeing Alert Service paragraphs (g), (h), and (i) of this AD, as Accomplishment Instructions of Boeing Alert Bulletin 757–27A0143, Revision 1, dated applicable, and the repeat interval for those Service Bulletin 757–27A0144 or 757– October 23, 2003. actions may be determined from the 27A0145, dated August 7, 2003; or Revision (ii) Within 6 months after the effective date performance date of that overhaul. 1, dated January 20, 2010; has been done as of this AD. of the effective date of this AD: Do a detailed (5) Do the stabilizer ballscrew to ballnut Parts Installation inspection for discrepancies of the stabilizer freeplay check for discrepancies at the later (m) As of the effective date of this AD, no ballscrew assembly at the later of the times of the times specified in paragraph (i)(5)(i) or person may install, on any airplane, a specified in paragraphs (h)(1)(i) and (h)(1)(ii) (i)(5)(ii) of this AD. Repeat the freeplay check horizontal stabilizer trim actuator that is not of this AD. Do the inspection thereafter at thereafter at intervals not to exceed 18,000 new or overhauled; unless a detailed intervals not to exceed 3,500 flight hours or flight hours or 5 years, whichever occurs inspection, freeplay measurement, and 2 years, whichever occurs first. first. lubrication of that actuator are performed in (i) Within 3,500 flight hours or 2 years after (i) Before the accumulation of 15,000 total accordance with paragraph (g), (h), or (i) of doing the most recent detailed inspection of flight hours after accomplishing an overhaul this AD, as applicable, and no discrepancies the stabilizer ballscrew assembly, whichever specified in Boeing Alert Service Bulletin are found during the inspection and freeplay occurs first. 757–27A0142, Revision 2, dated October 23, measurement. (ii) Within 6 months after the effective date 2003; or Boeing Alert Service Bulletin 757– of this AD. 27A0143, Revision 1, dated October 23, 2003. Alternative Methods of Compliance (2) For airplanes on which a detailed (ii) Within 18 months after the effective (AMOCs) inspection of the horizontal stabilizer date of this AD. (n)(1) The Manager, Seattle Aircraft ballscrew assembly specified in Boeing Alert Certification Office (ACO), FAA, has the Service Bulletin 757–27A0144 or 757– Corrective Actions authority to approve AMOCs for this AD, if 27A0145, dated August 7, 2003; or Revision (j) If any discrepancy is found during any requested using the procedures found in 14 1, dated January 20, 2010; has not been done action required by paragraph (g), (h), or (i) of CFR 39.19. In accordance with 14 CFR 39.19, as of the effective date of this AD: Do a this AD: Before further flight, do the send your request to your principal inspector detailed inspection for discrepancies of the replacement specified in paragraph (j)(1) or or local Flight Standards District Office, as stabilizer ballscrew assembly at the later of (j)(2) of this AD, in accordance with Subject appropriate. If sending information directly the times in paragraph (i)(2)(i) or (i)(2)(ii) of 27–41–10, ‘‘Stabilizer Trim Ballscrew to the manager of the ACO, send it to the this AD. Repeat the inspection thereafter at Freeplay,’’ of Chapter 27, ‘‘Flight Controls,’’ attention of the person identified in the intervals not to exceed 3,500 flight hours or of the Boeing 757 Airplane Maintenance Related Information section of this AD. 2 years, whichever occurs first. Manual (AMM), Revision 101, dated May 20, Information may be e-mailed to: 9-ANM- (i) Within 3,500 flight hours or 2 years, 2011; except as provided by paragraph (k) of [email protected]. whichever occurs first, after accomplishing this AD. (2) Before using any approved AMOC, an overhaul specified in Boeing Alert Service (1) Replace the HSTA with a new or notify your appropriate principal inspector, Bulletin 757–27A0142, Revision 2, dated overhauled HSTA. or lacking a principal inspector, the manager October 23, 2003; or Boeing Alert Service (2) Replace the HSTA with a HSTA that is of the local flight standards district office/ Bulletin 757–27A0143, Revision 1, dated not new or overhauled on which a detailed certificate holding district office. October 23, 2003. inspection, freeplay measurement, and (ii) Within 6 months after the effective date lubrication of that actuator are performed in Related Information of this AD. accordance with paragraph (g), (h), or (i) of (o) For more information about this AD, (3) For airplanes on which the lubrication this AD, as applicable, and no discrepancies contact Kelly McGuckin, Aerospace of the horizontal stabilizer trim control are found during the inspection and freeplay Engineer, Systems and Equipment Branch, system specified in Boeing Alert Service measurement. ANM–130S, Seattle ACO, 1601 Lind Avenue, Bulletin 757–27A0144 or 757–27A0145, (k) No action is required if a freeplay SW., Renton, Washington 98057–3356; dated August 7, 2003; or Revision 1, dated measurement greater then or equal to 0.002 telephone (425) 917–6490; fax (425) 917– January 20, 2010; has been done as of the inch but less than 0.004 inch is found and 6590; e-mail: [email protected]. effective date of this AD: Lubricate the the measurement is verified that it was (p) For service information identified in horizontal stabilizer trim control system at performed correctly. This AD requires HSTA this AD, contact Boeing Commercial the later of the times specified in paragraphs replacement, as specified in paragraph (j) of Airplanes, Attention: Data & Services

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Management, P.O. Box 3707, MC 2H–65, The proposed AD would require to an address listed under the Seattle, WA 98124–2207; telephone 206– actions that are intended to address the ADDRESSES section. Include ‘‘Docket No. 544–5000, extension 1; fax 206–766–5680; unsafe condition described in the MCAI. FAA–2011–1091; Directorate Identifier e-mail [email protected]; Internet 2011–NM–037–AD’’ at the beginning of https://www.myboeingfleet.com. You may DATES: We must receive comments on review copies of the referenced service this proposed AD by December 9, 2011. your comments. We specifically invite information at the FAA, Transport Airplane ADDRESSES: You may send comments by comments on the overall regulatory, Directorate, 1601 Lind Avenue, SW., Renton, any of the following methods: economic, environmental, and energy Washington 98057–3356. For information on • Federal eRulemaking Portal: Go to aspects of this proposed AD. We will the availability of this material at the FAA, http://www.regulations.gov. Follow the consider all comments received by the call 425–227–1221. instructions for submitting comments. closing date and may amend this Issued in Renton, Washington, on October • Fax: (202) 493–2251. proposed AD based on those comments. 13, 2011. • Mail: U.S. Department of We will post all comments we Ali Bahrami, Transportation, Docket Operations, receive, without change, to http://www. Manager, Transport Airplane Directorate, M–30, West Building Ground Floor, regulations.gov, including any personal Aircraft Certification Service. Room W12–140, 1200 New Jersey information you provide. We will also [FR Doc. 2011–27484 Filed 10–24–11; 8:45 am] Avenue, SE., Washington, DC 20590. post a report summarizing each • substantive verbal contact we receive BILLING CODE 4910–13–P Hand Delivery: U.S. Department of Transportation, Docket Operations, about this proposed AD. M–30, West Building Ground Floor, Discussion DEPARTMENT OF TRANSPORTATION Room W12–40, 1200 New Jersey Avenue, SE., Washington, DC, between The European Aviation Safety Agency Federal Aviation Administration 9 a.m. and 5 p.m., Monday through (EASA), which is the Technical Agent Friday, except Federal holidays. for the Member States of the European 14 CFR Part 39 For service information identified in Community, has issued EASA this proposed AD, contact EADS–CASA, Airworthiness Directive 2011–0010, [Docket No. FAA–2011–1091; Directorate dated January 20, 2011 (referred to after Identifier 2011–NM–037–AD] Military Transport Aircraft Division (MTAD), Integrated Customer Services this as ‘‘the MCAI’’), to correct an unsafe RIN 2120–AA64 (ICS), Technical Services, Avenida de condition for the specified products. Arago´n 404, 28022 Madrid, Spain; The MCAI states: Airworthiness Directives; EADS CASA telephone +34 91 585 55 84; fax +34 91 EADS–CASA received reports of engine (Type Certificate Previously Held by 585 55 05; e-mail MTA. condition control cable (Part Number (P/N) Construcciones Aeronauticas, S.A.) [email protected]; 35–56382–0003) failures that, in one of the Airplanes cases, occurred during the starting phase of Internet http://www.eads.net. You may one engine which led to an engine shut down review copies of the referenced service AGENCY: Federal Aviation following the procedures described within information at the FAA, Transport Administration (FAA), DOT. the Aircraft Operation Manual. Airplane Directorate, 1601 Lind The investigation revealed that the cable ACTION: Notice of proposed rulemaking Avenue, SW., Renton, Washington. For failure is due to a fracture in the area of the (NPRM). information on the availability of this pulley MS 20219–1. The root cause of the material at the FAA, call 425–227–1221. fracture is an unsuitable ratio between the SUMMARY: We propose to adopt a new diameter of the pulley and the cable type and airworthiness directive (AD) for certain Examining the AD Docket diameter. Model CN–235–100, CN–235–200, and This condition, if not detected and You may examine the AD docket on CN–235–300 airplanes. This proposed corrected, could lead to the engine condition the Internet at http://www.regulations. AD results from mandatory continuing control cable failure and consequent runway gov; or in person at the Docket airworthiness information (MCAI) excursion if it occurs during take-off or Operations office between 9 a.m. and reduced control of the aeroplane if it occurs originated by an aviation authority of 5 p.m., Monday through Friday, except during flight. another country to identify and correct Federal holidays. The AD docket To address this condition, EADS–CASA an unsafe condition on an aviation contains this proposed AD, the has developed an engine condition control product. The MCAI describes the unsafe regulatory evaluation, any comments cable P/N 35–56382–0005 with improved condition as: characteristics. received, and other information. The For the reason described above, this EADS–CASA received reports of engine street address for the Docket Operations [EASA] AD requires, at first, [an inspection condition control cable * * * failures that, in office (telephone (800) 647–5527) is in to determine the part number of the engine one of the cases, occurred during the starting the ADDRESSES section. Comments will condition control cable] [repetitive detailed] phase of one engine which led to an engine inspections for [excessive wear] of the shut down following the procedures be available in the AD docket shortly after receipt. [affected] engine condition control cable, and described within the Aircraft Operation its replacement (scheduled or depending of FOR FURTHER INFORMATION CONTACT: Manual. the inspection findings) with engine The investigation revealed that the cable Shahram Daneshmandi, Aerospace condition control cable P/N 35–56382–0005. failure is due to a fracture in the area of the Engineer, International Branch, ANM– You may obtain further information pulley * * *. The root cause of the fracture 116, Transport Airplane Directorate, is an unsuitable ratio between the diameter by examining the MCAI in the AD FAA, 1601 Lind Avenue, SW., Renton, docket. of the pulley and the cable type and Washington 98057–3356; telephone diameter. Relevant Service Information This condition, if not detected and (425) 227–1112; fax (425) 227–1149. corrected, could lead to the engine condition SUPPLEMENTARY INFORMATION: Airbus Military has issued Section control cable failure and consequent runway 76–10–00, ‘‘Power and Condition excursion if it occurs during take-off or Comments Invited Control,’’ Block 601 (Configuration 1), reduced control of the aeroplane if it occurs We invite you to send any written ‘‘Inspection/Check,’’ Paragraph 1.B.; and during flight. relevant data, views, or arguments about Section 76–10–12, ‘‘Power and Control * * * * * this proposed AD. Send your comments Cables,’’ Block 401 (Configuration 1),

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‘‘Removal/Installation,’’ Paragraph 3.; of section 106, describes the authority of EADS CASA (Type Certificate Previously the CN–235 Aircraft Maintenance the FAA Administrator. ‘‘Subtitle VII: Held by Construcciones Aeronauticas, Manual, Revision 57, dated July 15, Aviation Programs,’’ describes in more S.A.): Docket No. FAA–2011–1091; 2010. The actions described in this detail the scope of the Agency’s Directorate Identifier 2011–NM–037–AD. aircraft maintenance manual are authority. Comments Due Date intended to correct the unsafe condition We are issuing this rulemaking under (a) We must receive comments by identified in the MCAI. the authority described in ‘‘Subtitle VII, December 9, 2011. Part A, Subpart III, Section 44701: FAA’s Determination and Requirements General requirements.’’ Under that Affected ADs of This Proposed AD section, Congress charges the FAA with (b) None. This product has been approved by promoting safe flight of civil aircraft in Applicability the aviation authority of another air commerce by prescribing regulations (c) This AD applies to EADS CASA (Type country, and is approved for operation for practices, methods, and procedures Certificate previously held by Construcciones in the United States. Pursuant to our the Administrator finds necessary for Aeronauticas, S.A.) Model CN–235–100, CN– bilateral agreement with the State of safety in air commerce. This regulation 235–200, and CN–235–300 airplanes; Design Authority, we have been notified is within the scope of that authority certificated in any category; serial numbers of the unsafe condition described in the because it addresses an unsafe condition C–030 through C–149 inclusive. MCAI and service information that is likely to exist or develop on Subject referenced above. We are proposing this products identified in this rulemaking AD because we evaluated all pertinent (d) Air Transport Association (ATA) of action. America Code 76: Engine controls. information and determined an unsafe condition exists and is likely to exist or Regulatory Findings Reason develop on other products of the same We determined that this proposed AD (e) The mandatory continuing type design. would not have federalism implications airworthiness information (MCAI) states: under Executive Order 13132. This Differences Between This AD and the EADS–CASA received reports of engine proposed AD would not have a condition control cable * * * failures that, in MCAI or Service Information substantial direct effect on the States, on one of the cases, occurred during the starting We have reviewed the MCAI and the relationship between the national phase of one engine which led to an engine related service information and, in Government and the States, or on the shut down following the procedures general, agree with their substance. But distribution of power and described within the Aircraft Operation we might have found it necessary to use responsibilities among the various Manual. different words from those in the MCAI The investigation revealed that the cable levels of government. failure is due to a fracture in the area of the to ensure the AD is clear for U.S. For the reasons discussed above, I pulley * * *. The root cause of the fracture operators and is enforceable. In making certify this proposed regulation: is an unsuitable ratio between the diameter these changes, we do not intend to differ 1. Is not a ‘‘significant regulatory of the pulley and the cable type and substantively from the information action’’ under Executive Order 12866; diameter. provided in the MCAI and related 2. Is not a ‘‘significant rule’’ under the This condition, if not detected and service information. DOT Regulatory Policies and Procedures corrected, could lead to the engine condition We might also have proposed (44 FR 11034, February 26, 1979); and control cable failure and consequent runway different actions in this AD from those 3. Will not have a significant excursion if it occurs during take-off or in the MCAI in order to follow FAA economic impact, positive or negative, reduced control of the aeroplane if it occurs during flight. policies. Any such differences are on a substantial number of small entities highlighted in a NOTE within the under the criteria of the Regulatory * * * * * proposed AD. Flexibility Act. Compliance We prepared a regulatory evaluation Costs of Compliance of the estimated costs to comply with (f) You are responsible for having the actions required by this AD performed within Based on the service information, we this proposed AD and placed it in the the compliance times specified, unless the estimate that this proposed AD would AD docket. actions have already been done. affect about 7 products of U.S. registry. List of Subjects in 14 CFR Part 39 We also estimate that it would take Actions about 2 work-hours per product to Air transportation, Aircraft, Aviation (g) Within 9 months or 300 flight hours, comply with the basic requirements of safety, Incorporation by reference, whichever occurs first after the effective date this proposed AD. The average labor Safety. of this AD, inspect to determine whether the engine condition control cable has part rate is $85 per work-hour. Based on The Proposed Amendment number (P/N) 35–56382–0003. If an engine these figures, we estimate the cost of the Accordingly, under the authority condition control cable having P/N 35– proposed AD on U.S. operators to be delegated to me by the Administrator, 56382–0003 is installed, within 9 months or $1,190, or $170 per product. the FAA proposes to amend 14 CFR part 300 flight hours, whichever occurs first after In addition, we estimate that any the effective date of this AD, do a detailed 39 as follows: necessary follow-on actions would take inspection for excessive wear of the engine about 12 work-hours and require parts PART 39—AIRWORTHINESS condition control cable (including control rods, levers and pulleys near the flight costing $1,087, for a cost of $2,107 per DIRECTIVES product. We have no way of compartment center console having incorrect determining the number of products 1. The authority citation for part 39 freedom and range of movement, incorrect continues to read as follows: assembly and locking, distortion, damage, that may need these actions. corrosion, incorrect security of attachment; Authority for This Rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. and control rod end fittings having excessive wear, i.e., kinks or distortion, corrosion, Title 49 of the United States Code § 39.13 [Amended] reduced diameter of cable, and broken wires); specifies the FAA’s authority to issue 2. The FAA amends § 39.13 by adding in accordance with Section 76–10–00, rules on aviation safety. Subtitle I, the following new AD: ‘‘Power and Condition Control,’’ Block 601

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(Configuration 1), ‘‘Inspection/Check,’’ (2) Airworthy Product: For any requirement uncontained release of LP turbine Paragraph 1.B., of the Airbus Military CN– in this AD to obtain corrective actions from blades and damage to the airplane. 235 Aircraft Maintenance Manual, Revision a manufacturer or other source, use these DATES: We must receive comments on 57, dated July 15, 2010. actions if they are FAA-approved. Corrective (h) For airplanes with engine condition actions are considered FAA-approved if they this proposed AD by December 27, control cable having P/N 35–56382–0003: are approved by the State of Design Authority 2011. Within 9 months or 300 flight hours after (or their delegated agent). You are required ADDRESSES: You may send comments, doing the detailed inspection required by to assure the product is airworthy before it using the procedures found in 14 CFR paragraph (g) of this AD, whichever occurs is returned to service. 11.43 and 11.45, by any of the following first, repeat the detailed inspection specified Related Information methods: in paragraph (g) of this AD. • (i) If, during any inspection required by (m) Refer to MCAI EASA Airworthiness Federal eRulemaking Portal: Go to paragraph (g) or (h) of this AD, excessive Directive 2011–0010, dated January 20, 2011; http://www.regulations.gov. Follow the wear of the engine condition control cable is and Section 76–10–00, ‘‘Power and instructions for submitting comments. found: Before further flight, replace the Condition Control,’’ Block 601 (Configuration • Fax: 202–493–2251. engine condition control cable with P/N 35– 1), ‘‘Inspection/Check,’’ Paragraph 1.B., and • Mail: U.S. Department of 56382–0005, in accordance with Section 76– Section 76–10–12, ‘‘Power and Condition Transportation, Docket Operations, 10–12, ‘‘Power and Condition Control Control Cables,’’ Block 401 (Configuration 1), M–30, West Building Ground Floor, Cables,’’ Block 401 (Configuration 1), ‘‘Removal/Installation,’’ Paragraph 3., of the Room W12–140, 1200 New Jersey ‘‘Removal/Installation,’’ Paragraph 3., of the Airbus Military CN–235 Aircraft Airbus Military CN–235 Aircraft Avenue, SE., Washington, DC 20590. Maintenance Manual, Revision 57, dated July • Hand Delivery: Deliver to Mail Maintenance Manual, Revision 57, dated July 15, 2010; for related information. 15, 2010. address above between 9 a.m. and (j) Within 27 months or 900 flight hours, Issued in Renton, Washington, on October 5 p.m., Monday through Friday, except whichever occurs first after the effective date 13, 2011. Federal holidays. of this AD: Unless the engine condition Ali Bahrami, For service information identified in control cable has already been replaced in Manager, Transport Airplane Directorate, this AD, contact Rolls-Royce plc, P.O. accordance with paragraph (i) of this AD, Aircraft Certification Service. Box 31, Derby, DE24 8BJ, United replace the engine condition control cable [FR Doc. 2011–27485 Filed 10–24–11; 8:45 am] Kingdom; phone: 011 44 1332 242424, having P/N 35–56382–0003 with an engine condition control cable having P/N 35– BILLING CODE 4910–13–P fax: 011 44 1332 249936; or e-mail: 56382–0005, in accordance with Section 76– http://www.rolls-royce.com/contact/ 10–12, ‘‘Power and Condition Control civil_team.jsp, or download the Cables,’’ Block 401 (Configuration 1), DEPARTMENT OF TRANSPORTATION publication from https:// ‘‘Removal/Installation,’’ Paragraph 3., of the www.aeromanager.com. You may Airbus Military CN–235 Aircraft Federal Aviation Administration review copies of the referenced service Maintenance Manual, Revision 57, dated July information at the FAA, Engine & 15, 2010. 14 CFR Part 39 Propeller Directorate, 12 New England (k) As of the effective date of this AD, no person may install an engine condition [Docket No. FAA–2009–0994; Directorate Executive Park, Burlington, MA 01803. control cable having P/N 35–56382–0003, on Identifier 2009–NE–39–AD] For information on the availability of any airplane. this material at the FAA, call 781–238– RIN 2120–AA64 7125. FAA AD Differences Airworthiness Directives; Rolls-Royce Examining the AD Docket Note 1: This AD differs from the MCAI plc (RR) RB211–535 Series Turbofan and/or service information as follows: No You may examine the AD docket on differences Engines the Internet at http:// www.regulations.gov; or in person at the Other FAA AD Provisions AGENCY: Federal Aviation Administration (FAA), DOT. Docket Management Facility between (l) The following provisions also apply to 9 a.m. and 5 p.m., Monday through this AD: ACTION: Notice of proposed rulemaking (NPRM). Friday, except Federal holidays. The AD (1) Alternative Methods of Compliance docket contains this proposed AD, the (AMOCs): The Manager, International Branch, ANM–116, Transport Airplane SUMMARY: We propose to supersede an regulatory evaluation, any comments Directorate, FAA, has the authority to existing airworthiness directive (AD) received, and other information. The approve AMOCs for this AD, if requested that applies to all RR RB211–535E4–37, street address for the Docket Office using the procedures found in 14 CFR 39.19. –535E4–B–37, –535E4–B–75, and (phone: 800–647–5527) is in the In accordance with 14 CFR 39.19, send your –535E4–C–37 turbofan engines. The ADDRESSES section. Comments will be request to your principal inspector or local existing AD currently requires available in the AD docket shortly after Flight Standards District Office, as performing initial and repetitive visual receipt. appropriate. If sending information directly FOR FURTHER INFORMATION CONTACT to the International Branch, send it to Attn: and fluorescent penetrant inspections : Shahram Daneshmandi, Aerospace Engineer, (FPI) of the low-pressure (LP) turbine Alan Strom, Aerospace Engineer, Engine International Branch, ANM–116, Transport stage 1, 2, and 3 discs to detect cracks Certification Office, FAA, 12 New Airplane Directorate, FAA, 1601 Lind in the discs. Since we issued that AD, England Executive Park, Burlington, MA Avenue, SW., Renton, Washington 98057– we determined that the definition of 01803; phone: 781–238–7143; fax: 781– 3356; telephone (425) 227–1112; fax (425) shop visit is too restrictive in the 238–7199; e-mail: [email protected]. 227–1149. Information may be e-mailed to: existing AD. This proposed AD would SUPPLEMENTARY INFORMATION: [email protected]. continue to require those inspections Before using any approved AMOC, notify and would change the definition of a Comments Invited your appropriate principal inspector, or lacking a principal inspector, the manager of shop visit to be less restrictive. We are We invite you to send any written the local flight standards district office/ proposing this AD to correct the relevant data, views, or arguments about certificate holding district office. The AMOC definition of shop visit, and to detect this proposed AD. Send your comments approval letter must specifically reference cracks in the LP turbine stage 1, 2, and to an address listed under the this AD. 3 discs, which could result in an ADDRESSES section. Include ‘‘Docket No.

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FAA–2009–0994; Directorate Identifier previously. This condition is likely to The Proposed Amendment 2009–NE–39–AD’’ at the beginning of exist or develop in other products of the your comments. We specifically invite same type design. Accordingly, under the authority comments on the overall regulatory, delegated to me by the Administrator, Proposed AD Requirements economic, environmental, and energy the FAA proposes to amend 14 CFR part aspects of this proposed AD. We will This AD requires accomplishing the 39 as follows: consider all comments received by the same requirements as AD 2011–11–08 PART 39—AIRWORTHINESS closing date and may amend this (76 FR 30529, May 26, 2011), except the DIRECTIVES proposed AD because of those definition of shop visit has been comments. redefined. We will post all comments we 1. The authority citation for part 39 receive, without change, to http:// Authority for This Rulemaking continues to read as follows: www.regulations.gov, including any Title 49 of the United States Code Authority: 49 U.S.C. 106(g), 40113, 44701. personal information you provide. We specifies the FAA’s authority to issue § 39.13 [Amended] will also post a report summarizing each rules on aviation safety. Subtitle I, substantive verbal contact we receive Section 106, describes the authority of 2. The FAA amends § 39.13 by about this proposed AD. the FAA Administrator. Subtitle VII, removing airworthiness directive (AD) Discussion Aviation Programs, describes in more 2011–11–08, Amendment 39–16707 (76 detail the scope of the Agency’s FR 30529, May 26, 2011), and adding On May 20, 2011, we issued AD authority. the following new AD: 2011–11–08, Amendment 39–16707 We are issuing this rulemaking under (76 FR 30529, May 26, 2011), for all RR Rolls-Royce plc: Docket No. FAA–2009– the authority described in Subtitle VII, RB211–535E4–37, –535E4–B–37, 0994; Directorate Identifier 2009–NE– Part A, Subpart III, Section 44701, 39–AD. –535E4–B–75, and –535E4–C–37 ‘‘General requirements.’’ Under that turbofan engines. That AD requires (a) Comments Due Date section, Congress charges the FAA with performing an initial FPI on the LP promoting safe flight of civil aircraft in The FAA must receive comments on this turbine stage 1, 2, and 3 discs at the next air commerce by prescribing regulations AD action by December 27, 2011. engine shop inspection after the for practices, methods, and procedures effective date of that AD. That AD also (b) Affected ADs the Administrator finds necessary for requires repetitive inspections at each This AD supersedes AD 2011–11–08, safety in air commerce. This regulation engine shop visit after accumulating Amendment 39–16707 (76 FR 30529, May 26, is within the scope of that authority 1,500 cycles since last inspection of the 2011). because it addresses an unsafe condition LP turbine stage 1, 2, and 3 discs. That that is likely to exist or develop on (c) Applicability AD resulted from several findings of products identified in this rulemaking This AD applies to Rolls-Royce plc RB211– cracking at the firtrees of LP turbine action. 535E4–37, –535E4–B–37, –535E4–B–75, and discs. We issued that AD to detect –535E4–C–37 turbofan engines. cracks in the LP turbine stage 1, 2, and Regulatory Findings 3 discs, which could result in an (d) Unsafe Condition uncontained release of LP turbine We have determined that this This AD was prompted by our blades and damage to the airplane. proposed AD would not have federalism determination that the definition of ‘‘shop implications under Executive Order visit’’ in the existing AD is too restrictive, in Actions Since Existing AD Was Issued 13132. This proposed AD would not that it would require operators to inspect Since we issued AD 2011–11–08, have a substantial direct effect on the more often than required to ensure safety. We Amendment 39–16707 (76 FR 30529, States, on the relationship between the are issuing this AD to correct the definition May 26, 2011), we found that the national Government and the States, or of shop visit, and to detect cracks in the low- definition of ‘‘shop visit’’ in the AD is on the distribution of power and pressure (LP) turbine stage 1, 2, and 3 discs, too restrictive, in that it would require responsibilities among the various which could result in an uncontained release operators to inspect more often than levels of government. of LP turbine blades and damage to the airplane. required to ensure safety. For the reasons discussed above, I certify that the proposed regulation: (e) Compliance Costs of Compliance (1) Is not a ‘‘significant regulatory Comply with this AD within the We estimate that this proposed AD action’’ under Executive Order 12866, compliance times specified, unless already would affect about 588 RB211–535 (2) Is not a ‘‘significant rule’’ under done. series turbofan engines installed on the DOT Regulatory Policies and (1) Initial Inspection Requirements airplanes of U.S. registry. We also Procedures (44 FR 11034, February 26, At the next engine shop visit after the estimate that it would take about 30 1979), work-hours per product to comply with effective date of this AD, perform a visual this proposed AD. The average labor (3) Will not affect intrastate aviation and a fluorescent penetrant inspection (FPI) rate is $85 per work-hour. No parts are in Alaska, and of the LP turbine stage 1, 2, and 3 discs. (4) Will not have a significant required. Based on these figures, we (2) Repeat Inspection Requirements estimate the cost of this proposed AD on economic impact, positive or negative, At each engine shop visit after U.S. operators to be $1,499,400. on a substantial number of small entities under the criteria of the Regulatory accumulating 1,500 cycles since the last FAA’s Determination Flexibility Act. inspection of the LP turbine stage 1, 2 and 3 discs, repeat the inspections specified in We are proposing this AD because we List of Subjects in 14 CFR Part 39 paragraph (e)(1) of this AD. evaluated all the relevant information and determined that the definition of Air transportation, Aircraft, Aviation (3) Remove Cracked Discs shop visit is too restrictive, and to safety, Incorporation by reference, If you find cracks, remove the disc from correct the unsafe condition described Safety. service.

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(f) Definitions added or amended by title VII of the Commission’s regulations, 17 CFR For the purpose of this AD, an ‘‘engine Dodd-Frank Act that reference one or 145.9. shop visit’’ is induction of an engine into the more terms regarding entities or The Commission reserves the right, shop for any purpose where: instruments that title VII requires be but shall have no obligation, to review, (1) All the blades are removed from the ‘‘further defined’’ to the extent that pre-screen, filter, redact, refuse or high-pressure (HP) compressor discs and the requirements or portions of such remove any or all of your submission HP turbine disc, or provisions specifically relate to such from http://www.cftc.gov that it may (2) All the blades are removed from the intermediate pressure turbine disc. referenced terms and do not require a deem to be inappropriate for rulemaking. The second part, which is publication, such as obscene language. (g) Alternative Methods of Compliance based on part 35 of the Commission’s All submissions that have been redacted (AMOCs) regulations, addresses certain provisions or removed that contain comments on The Manager, Engine Certification Office, of the CEA that may apply to certain the merits of the rulemaking will be FAA may approve AMOCs for this AD. Use agreements, contracts, and transactions retained in the public comment file and the procedures found in 14 CFR 39.19 to in exempt or excluded commodities as will be considered as required under the make your request. a result of the repeal of various CEA Administrative Procedure Act and other (h) Related Information exemptions and exclusions as of the applicable laws, and may be accessible (1) Contact Alan Strom, Aerospace general effective date of July 16, 2011. under the Freedom of Information Act. Engineer, Engine Certification Office, FAA, This is a notice of a proposed FOR FURTHER INFORMATION CONTACT: Engine & Propeller Directorate, 12 New amendment to that July 14 Order, 76 FR Terry Arbit, Deputy General Counsel, England Executive Park, Burlington, MA 42508 (July 19, 2011), that would 202–418–5357, [email protected], or Mark 01803; phone: 781–238–7143; fax: 781–238– modify the temporary exemptive relief D. Higgins, Counsel, 202–418–5864, 7199; e-mail: [email protected], for more provided therein by extending the [email protected], Office of the General information about this AD. potential latest expiration date of the (2) Refer to MCAI European Aviation Counsel, Commodity Futures Trading Safety Agency Airworthiness Directive 2009– July 14 Order; and adding provisions to Commission, Three Lafayette Centre, 0244, dated November 9, 2009, and Rolls- account for the repeal and replacement 1155 21st Street, NW., Washington, DC Royce plc Alert Service Bulletin No. RB.211– (as of December 31, 2011) of part 35 of 20581. the Commission’s regulations. Only 72–AG272 for related information. Contact SUPPLEMENTARY INFORMATION: Rolls-Royce plc, P.O. Box 31, Derby, DE24 comments pertaining to these proposed 8BJ, United Kingdom; phone: 011 44 1332 amendments to the July 14 Order will be I. Background 242424, fax: 011 44 1332 249936; or e-mail: considered as part of this notice of _ On July 21, 2010, President Obama http://www.rollsroyce.com/contact/civil proposed amendment. team.jsp, for a copy of this service signed the Dodd-Frank Act into law.1 information or download the publication DATES: Submit comments on or before Title VII of the Dodd-Frank Act amends from https://www.aeromanager.com. November 25, 2011. the CEA 2 to establish a comprehensive ADDRESSES: Comments may be Issued in Burlington, Massachusetts, on new regulatory framework for swaps. October 18, 2011. submitted, referenced as ‘‘Effective Date The legislation was enacted to reduce Amendments,’’ by any of the following Peter A White, risk, increase transparency, and promote methods: market integrity within the financial Manager, Engine & Propeller Directorate, • Agency Web site, via its Comments Aircraft Certification Service. system by, among other things: (1) Online process at http:// Providing for the registration and [FR Doc. 2011–27512 Filed 10–24–11; 8:45 am] comments.cftc.gov. Follow the comprehensive regulation of swap BILLING CODE 4910–13–P instructions for submitting comments dealers and major swap participants; (2) through the Web site. imposing clearing and trade execution • Mail: David A. Stawick, Secretary of requirements on standardized derivative COMMODITY FUTURES TRADING the Commission, Commodity Futures products; (3) creating robust COMMISSION Trading Commission, Three Lafayette recordkeeping and real-time reporting Centre, 1155 21st Street, NW., regimes; and (4) enhancing the 17 CFR Chapter 1 Washington, DC 20581. • rulemaking and enforcement authorities Hand Delivery/Courier: Same as of the Commission with respect to, Effective Date for Swap Regulation mail above. • among others, all registered entities and AGENCY: Commodity Futures Trading Federal eRulemaking Portal: http:// intermediaries subject to the Commission. www.regulations.gov. Follow the Commission’s oversight.3 instructions for submitting comments. ACTION: Notice of proposed amendment. Section 754 of the Dodd-Frank Act Please submit your comments using states that, unless otherwise provided, SUMMARY: On July 14, 2011, the only one method. the provisions of subtitle A of title VII Commodity Futures Trading All comments must be submitted in of the Dodd-Frank Act 4 ‘‘shall take Commission (‘‘CFTC’’ or the English, or if not, accompanied by an ‘‘Commission’’) issued a final order English translation. Comments will be 1 See Dodd-Frank Wall Street Reform and (‘‘July 14 Order’’) that grants temporary posted as received to http:// Consumer Protection Act, Public Law 111–203, 124 exemptive relief from certain provisions www.cftc.gov. You should submit only Stat. 1376 (2010). of the Commodity Exchange Act information that you wish to make 2 7 U.S.C. 1 et seq. (‘‘CEA’’) that otherwise would have available publicly. If you wish the 3 Title VII also includes amendments to the federal securities laws to establish a similar taken effect on the general effective date Commission to consider information regulatory framework for security-based swaps of title VII of the Dodd-Frank Wall that may be exempt from disclosure under the authority of the Securities and Exchange Street Reform and Consumer Protection under the Freedom of Information Act, Commission (‘‘SEC’’). Act (‘‘the Dodd-Frank Act’’)—July 16, a petition for confidential treatment of 4 All of the amendments to the CEA in title VII are contained in subtitle A. Accordingly, for 2011. The July 14 Order grants the exempt information may be convenience, references to ‘‘title VII’’ in this notice temporary relief in two parts. The first submitted according to the established of proposed amendment shall refer only to subtitle part addresses those CEA provisions procedures in § 145.9 of the A of title VII.

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effect on the later of 360 days after the 14, 2011 exercised its exemptive reporting requirements. A complete list date of the enactment of this subtitle or, authority under CEA section 4(c) 9 and of the Category 1 provisions is included to the extent a provision of this subtitle its authority under section 712(f) of the in the appendix to the July 14 Order. requires a rulemaking, not less than 60 Dodd-Frank Act by issuing the July 14 The first part of the relief provided for days after publication of the final rule Order.10 In so doing, the Commission in the July 14 Order reaches those Dodd- or regulation implementing such sought to address concerns that had Frank Act provisions (‘‘Category 2 provision of this subtitle.’’ Thus, the been raised about the applicability of provisions’’) that are self-effectuating general effective date for provisions of various regulatory requirements to (i.e., do not require a rulemaking) and title VII that do not require a rulemaking certain agreements, contracts, and that reference one or more of the terms was July 16, 2011. This includes the transactions after July 16, 2011, and for which the Commission and SEC are provisions that repealed several thereby ensure that current practices required to provide further definition, provisions of the CEA as in effect prior will not be unduly disrupted during the including ‘‘swap,’’ ‘‘swap dealer,’’ to the Dodd-Frank Act that excluded or transition to the new regulatory ‘‘major swap participant,’’ ‘‘eligible exempted, in whole or in part, certain regime.11 contract participant,’’ and ‘‘security- transactions from Commission based swap agreement’’ (collectively, Description of Existing Relief oversight.5 the ‘‘referenced terms’’). These Category Section 712(d)(1) of the Dodd-Frank The July 14 Order groups the relevant 2 provisions include, for example, the Act requires the Commission and the provisions of the Dodd-Frank Act into trade execution requirement of CEA SEC to undertake a joint rulemaking to four categories and provides temporary section 2(h)(8), as amended by Dodd- ‘‘further define’’ certain terms used in exemptive relief, set to expire no later Frank Act section 723. A complete list title VII, including the terms ‘‘swap,’’ than December 31, 2011, with respect to of the Category 2 provisions is included ‘‘swap dealer,’’ ‘‘major swap Categories 2 and 3. A summary of the in the appendix to the July 14 Order. participant,’’ and ‘‘eligible contract four categories of provisions follows. Because the Category 2 provisions 6 participant.’’ Section 721(c) requires Category 1 covers statutory provisions would have taken effect on July 16, 2011 the Commission to adopt a rule to which by their express terms require pursuant to section 754, the ‘‘further define’’ the terms ‘‘swap,’’ rulemaking to implement. Because, Commission granted temporary relief ‘‘swap dealer,’’ ‘‘major swap under section 754 of the Dodd-Frank from those provisions, but only to the participant,’’ and ‘‘eligible contract Act, these provisions do not become extent that the requirements in such participant’’ to prevent evasion of effective until at least 60 days after the provisions specifically relate to a 7 statutory and regulatory obligations. final rule is published, no exemptive referenced term that is not yet further The Commission has issued two notices relief from the general effective date is defined. Thus, if a Category 2 provision of proposed rulemaking that address necessary. Category 1 provisions also applies to futures or options on 8 these further definitions. include, among others, the further futures, the provision took effect on July The Commission’s final rulemakings definitions of terms regarding swap 16 with respect to futures or options on further defining the terms in sections entities or instruments as required by futures. The exemption for Category 2 712(d) and 721(c) were not expected to the Dodd-Frank Act (such as the terms provisions expires on the earlier of: (1) be in effect as of July 16, 2011 (i.e., the ‘‘swap,’’ ‘‘swap dealer,’’ ‘‘major swap The effective date of the applicable final general effective date set forth in section participant,’’ or ‘‘eligible contract rule further defining the relevant term; 754 of the Dodd-Frank Act). participant’’). Category 1 also includes, or (2) December 31, 2011. Accordingly, the Commission on July among others: (1) Registration, capital In part two of the July 14 Order, the and margin requirements, and business Commission provides temporary 5 These exclusions and exemptions were contained in former CEA sections 2(d), 2(e), 2(g), conduct standards for swap dealers and exemptive relief from the provisions of 2(h), and 5d, 7 U.S.C. 2(d), 2(e), 2(g), 2(h), and 7a– major swap participants; (2) provisions the CEA that may apply to certain 3. prohibiting agricultural swaps except agreements, contracts, and transactions 6 Section 712(d)(1) provides: ‘‘Notwithstanding pursuant to CFTC rules; (3) rules in exempt or excluded commodities any other provision of this title and subsections (b) regarding swap execution facilities; and and (c), the Commodity Futures Trading (generally, financial, energy and metals Commission and the Securities and Exchange (4) various swap data recordkeeping and commodities) as a result of the repeal of Commission, in consultation with the Board of the CEA exemptions and exclusions in Governors [of the Federal Reserve System], shall 9 7 U.S.C. 6(c). former CEA sections 2(d), 2(e), 2(g), further define the terms ‘swap’, ‘security-based 10 Effective Date for Swap Regulation, 76 FR 2(h), and 5d as of July 16, 2011 pursuant swap’, ‘swap dealer’, ‘security-based swap dealer’, 42508 (issued and made effective by the ‘major swap participant’, ‘major security-based Commission on July 14, 2011; published in the to sections 723(a)(1) and 734(a) of the swap participant’, and ‘security-based swap Federal Register on July 19, 2011). Dodd-Frank Act (the ‘‘Category 3 agreement’ in section 1a(47)(A)(v) of the 11 Concurrent with the July 14 Order, the provisions’’). As explained in the July Commodity Exchange Act (7 U.S.C. 1a(47)(A)(v)) Commission’s Division of Clearing and 14 Order, this relief is based on the and section 3(a)(78) of the Securities Exchange Act Intermediary Oversight and the Division of Market of 1934 (15 U.S.C. 78c(a)(78)).’’ Oversight (together ‘‘the Divisions’’) identified Commission’s existing ‘‘part 35’’ 12 7 Section 721(c) provides: ‘‘To include certain provisions of the Dodd-Frank Act and CEA exemptive rules. transactions and entities that have been structured as amended that would take effect on July 16, 2011, Part 35 originally was promulgated in to evade this subtitle (or an amendment made by but that may not be eligible for the exemptive relief 1993 pursuant to, among others, the this subtitle), the Commodity Futures Trading provided by the Commission in its July 14 Order— Commission shall adopt a rule to further define the specifically, the amendments made to the CEA by Commission’s general exemptive terms ‘swap’, ‘swap dealer’, ‘major swap Dodd-Frank Act sections 724(c), 725(a), and 731. authority in CEA section 4(c) and its participant’, and ‘eligible contract participant’.’’ On July 14, 2011, the Divisions issued Staff No- plenary options authority under section 8 See Further Definition of ‘‘Swap Dealer,’’ Action Relief addressing the application of these 4c(b),13 and provides a broad-based ‘‘Security-Based Swap Dealer,’’ ‘‘Major Swap provisions after July 16, 2011. Available at: Participant,’’ ‘‘Major Security-Based Swap http://www.cftc.gov/ucm/groups/public/ exemption from the CEA for ‘‘swap Participant’’ and ‘‘Eligible Contract Participant,’’ 75 @newsroom/documents/file/ FR 80174, Dec. 21, 2010 and Further Definition of noactionletter071411.pdf (last visited Sept. 26, 12 76 FR at 42514. The July 14 Order did not ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security- 2011). The Commission anticipates that the extend to agreements, contracts, or transactions that Based Swap Agreement’’; Mixed Swaps; Security- Divisions will extend and conform this no-action fully met the conditions of part 35, since in such Based Swap Agreement Recordkeeping, 76 FR relief to any final amendment to the July 14 Order circumstances further relief was unnecessary. 29818, May 23, 2011. that may result from this proposal. 13 7 U.S.C. 6c(b).

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agreements’’ in any commodity. may not satisfy certain part 35 II. Discussion of the Proposed Specifically, part 35 exempts ‘‘swap requirements (e.g., cleared, executed on Amendments to the July 14 Order agreements,’’ as defined therein, from a multilateral trade execution facility, The Commission is proposing to most of the provisions of the CEA if: (1) entered into by certain persons that are amend the July 14 Order in two ways. They are entered into by ‘‘eligible swap not eligible contract participants, etc.). First, the Commission is proposing to participants’’ (‘‘ESPs’’); 14 (2) they are The Commission stated in the July 14 amend the July 14 Order to extend the not part of a fungible class of Order that this relief is limited to potential latest expiry dates. With agreements standardized as to their transactions in exempt and excluded respect to provisions covered in the first material economic terms; (3) the commodities, and does not extend to part of the relief in the July 14 Order, creditworthiness of any party having an transactions in agricultural the Commission is proposing that the actual or potential obligation under the commodities, because transactions in temporary exemptive relief expire upon swap agreement would be a material agricultural commodities were not the earlier of: (1) The effective date of consideration in entering into or covered by the applicable statutory the applicable final rule further defining determining the terms of the swap exclusions and exemptions in effect the relevant referenced term; or (2) July agreement, including pricing, cost, or prior to July 16, 2011.16 The exemption 16, 2012.18 This amendment addresses credit enhancement terms; and (4) they in part two of the July 14 Order expires the potential that, as of December 31, are not entered into or traded on a on the earlier of: (1) The repeal, 2011, the CFTC–SEC joint rulemakings multilateral transaction execution withdrawal or replacement of part 35; or ‘‘further defining’’ the referenced terms facility. (2) December 31, 2011. will not yet be effective. The Under part two of the relief provided Category 4 contains those Dodd-Frank Commission also is proposing to amend for in the July 14 Order, the Commission Act provisions for which the the July 14 Order to extend the expiry stated that transactions in exempt or Commission determined not to issue date of the second part of the relief in excluded commodities (and persons relief, and which therefore went into the July 14 Order until the earlier of: offering, entering into, or rendering effect on July 16, 2011. A complete list (1) July 16, 2012; or (2) such other advice or rendering other services with compliance date as may be determined of the Category 4 provisions is included respect to such transactions) are by the Commission. For the same reason in the appendix to the July 14 Order. temporarily exempt from provisions of stated by the Commission with respect the CEA that may apply to such The temporary exemptions issued in to the second part of the relief provided transactions if such transactions comply the July 14 Order are subject to several in the July 14 Order, the proposed with part 35, notwithstanding that: (1) conditions. These conditions provide extension of this exemptive relief ‘‘will The transaction may be executed on a that the July 14 Order shall not: (1) allow markets and market participants multilateral transaction execution Limit in any way the Commission’s anti- to continue to operate under the facility; (2) the transaction may be fraud or anti-manipulation authority regulatory regime as in effect prior to cleared; (3) persons offering or entering under the CEA; (2) apply to any July 16, 2011, but subject to various into the transaction may be eligible provision of the Dodd-Frank Act or the implementing regulations that the contract participants as defined in the CEA that became effective prior to July Commission promulgates and applies to CEA (prior to the enactment of the 16, 2011; (3) affect any effective date or the subject transactions, market Dodd-Frank Act); (4) the transaction compliance date set forth in any participants, or markets.’’ 19 may be part of a fungible class of rulemaking issued by the Commission Second, the Commission is proposing agreements that are standardized as to to implement provisions of the Dodd- to include within the second part of the their material economic terms; and/or Frank Act; (4) limit the Commission’s relief any agreement, contract or (5) no more than one of the parties to authority under Dodd-Frank Act section transaction that fully meets the the transaction is entering into the 712(f) to issue rules, orders, or conditions in part 35 as in effect on transaction in conjunction with its line exemptions prior to the effective date of December 31, 2011. This amendment of business, but is neither an eligible any provision of the Dodd-Frank Act addresses the fact that such contract participant nor an ESP, and the and the CEA, in order to prepare for transactions, which were not included transaction was not and is not marketed such effective date; and (5) affect the within the scope of the July 14 Order to the public.15 applicability of any provision of the because the exemptive rules in part 35 Thus, for certain transactions, the July CEA to futures contracts or options on covered them at that time, now require 14 Order provides relief futures contracts, or to cash markets.17 temporary relief because part 35 will no notwithstanding that the transaction longer be available after December 31, 20 16 The Commission also stated, though, that 2011. Accordingly, to ensure that the 14 As noted in the July 14 Order, the parties because part 35 remained in effect at the time of the covered under the ESP definition, while very broad, July 14 Order, market participants could continue 18 The date of July 16, 2012, is consistent with the are not coextensive with those covered by the terms to rely on part 35 with respect to swaps (other than potential transitional period provided in section ‘‘eligible commercial entity’’ or ‘‘eligible contract commodity options) on enumerated agricultural 723(c) of the Dodd-Frank Act regarding former CEA participant.’’ Therefore, it is possible that a small commodities as defined in CEA section 1a(4) or section 2(h) and section 734(c) of the Dodd-Frank segment of persons or entities that are currently § 32.2 of the Commission’s regulations, as well as Act regarding former CEA section 5d (i.e., for ‘‘not relying on one or more of the CEA exclusions or swaps and commodity options on non-enumerated longer than a 1-year period’’ following the general exemptions cited above might not qualify as an ESP agricultural commodities, to the extent these effective date of title VII) . and consequently would not be eligible for part 35. transactions fully comply with part 35. Under the 19 76 FR at 42513. 76 FR at 42511, n. 40. July 14 Order, market participants also may 20 The Commission recently promulgated a rule 15 76 FR at 42514. With respect to commodity continue to rely on part 32 for options on pursuant to section 723(c)(3) of the Dodd-Frank Act options, the Commission made clear that options enumerated agricultural commodities to the extent that, effective December 31, 2011, will repeal the identified in the swap agreement definition in these transactions are conducted in accordance existing part 35 relief and replace it with new § 35.1 paragraph (b)(1)(i) of § 35.1 of the Commission’s with § 32.13(g) of the Commission’s regulations. of the Commission’s regulations. See Agricultural regulations and any options captured by the Rule 32.13(g) permits off-exchange options between Swaps, 76 FR 49291 (Aug. 10, 2011). Rule 35.1 concluding catch-all language in that paragraph, as producers, processors, commercial users or provides, in pertinent part, that ‘‘agricultural swaps well as any options described in paragraphs merchants of the commodity or its products or by- may be transacted subject to all provisions of the (b)(1)(ii) and/or (iii) of § 35.1, involving excluded or products that have a net worth of at least $10 CEA, and any Commission rule, regulation or order exempt commodities are within the scope of the million. thereunder, that is otherwise applicable to swaps. July 14 Order. 76 FR at 42514–15. 17 76 FR at 42522. Continued

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exemptive relief currently available for to amend that relief in the for the repeal of part 35 of the these transactions continues to be aforementioned ways. The Commission Commission’s regulations. As such, and available after December 31, 2011, the notes, for example, that Category 1 because this proposal does not change Commission proposes to amend the July provisions—i.e., those for which a the nature or limit the scope of relief 14 Order to incorporate by reference the rulemaking is required—will continue granted in the July 14 Order, the costs part 35 relief available as of December to be addressed outside the scope of the and benefits set forth in the July 14 31, 2011. Whereas the relief provided in July 14 Order. Further, where Order may be incorporated by reference part two of the July 14 Order was (and appropriate, the Commission expects to in this proposal.25 Nevertheless, the would remain) limited to transactions in phase-in compliance with its final rules Commission seeks comment on whether excluded or exempt commodities, this over a period of time as part of the these proposed amendments would proposed amendment also would Commission’s ongoing commitment to impose any costs or confer any benefits include, beginning on January 1, 2012, ensuring an orderly transition to the beyond the July 14 Order. new regulatory regime. transactions in agricultural commodities V. Proposed Amendments to the July 14 that fully meet the conditions in part 35 III. Request for Comment Order as in effect on December 31, 2011.21 The Commission proposes that this further The Commission requests and will The Commission proposes the amendment to the July 14 Order is only consider comments on the following amendments to the July 14 necessary to ensure that the same scope amendments to the July 14 Order that Order: of the exemptive relief available before are proposed in this notice of proposed The Commission, to provide for the December 31, 2011 is available to all amendment. orderly implementation of the requirements of Title VII of the Dodd- swaps and extends through July 16, IV. Related Matters 2012, at the latest. Frank Act, pursuant to sections 4(c) and In proposing these amendments, the a. Paperwork Reduction Act 4c(b) of the CEA and section 712(f) of Commission continues to strive to The Paperwork Reduction Act the Dodd-Frank Act, hereby issues this ensure that current practices will not be (‘‘PRA’’) 23 imposes certain Order consistent with the unduly disrupted during the transition requirements on Federal agencies determinations set forth above, which to the new regulatory regime. As stated (including the Commission) in are incorporated in this Final Order, as above, the proposed July 16, 2012 date connection with conducting or amended, by reference, and: coincides with the potential transitional sponsoring any collection of (1) Exempts, subject to the conditions period provided in sections 723(c) and information as defined by the PRA. set forth in paragraph (3), all 734(c) of the Dodd-Frank Act.22 Further, These proposed amendments, if agreements, contracts, and transactions, should the Commission deem it approved, would not require a new and any person or entity offering, appropriate to terminate or extend any collection of information from any entering into, or rendering advice or exemptive relief under part two of the persons or entities that would be subject rendering other services with respect to, July 14 Order, the Commission will be to the proposed amendments. any such agreement, contract, or transaction, from the provisions of the in a better position to comprehensively b. Cost-Benefit Considerations evaluate and consider any tailored CEA, as added or amended by the Dodd- 24 exemption at that time. Section 15(a) of the CEA requires Frank Act, that reference one or more of The Commission believes it is in the the Commission to consider the costs the terms regarding entities or interest of the public and market and benefits of its action before issuing instruments subject to further definition participants to continue to provide an order under the CEA. CEA section under sections 712(d) and 721(c) of the regulatory certainty regarding the 15(a) further specifies that costs and Dodd-Frank Act, which provisions are applicability of the Dodd-Frank Act. benefits shall be evaluated in light of listed in Category 2 of the Appendix to There have been no disruptions to the five broad areas of market and public this Order; provided, however, that the market resulting from the July 14 Order, concern: (1) Protection of market foregoing exemption: nor has the Commission received any participants and the public; (2) a. Applies only with respect to those request for additional relief beyond that efficiency, competitiveness, and requirements or portions of such provided for in the July 14 Order. financial integrity of futures markets; provisions that specifically relate to Accordingly, the Commission believes (3) price discovery; (4) sound risk such referenced terms; and b. With respect to any such provision the scope of the existing relief is management practices; and (5) other of the CEA, shall expire upon the earlier appropriate and is proposing here only public interest considerations. The Commission may in its discretion give of: (i) The effective date of the applicable final rule further defining the [It] also clarifies that by issuing a rule allowing greater weight to any one of the five agricultural swaps to transact subject to the laws enumerated areas and could in its relevant term referenced in the and rules applicable to all other swaps, the discretion determine that, provision; or (ii) July 16, 2012. Commission is allowing agricultural swaps to notwithstanding its costs, a particular (2) Exempts, subject to the conditions transact on [designated contract markets (‘‘DCMs’’), set forth in paragraph (3), all swap execution facilities (‘‘SEFs’’)], or otherwise to order is necessary or appropriate to the same extent that all other swaps are allowed to protect the public interest or to agreements, contracts, and transactions, trade on DCMs, SEFs, or otherwise.’’ Id. at 49296. effectuate any of the provisions or to and any person or entity offering, 21 The Commission also is clarifying that, by accomplish any of the purposes of the entering into, or rendering advice or operation of new § 35.1 of the Commission’s CEA. rendering other services with respect to, regulations, the Commission’s statement in any such agreement, contract, or adopting the July 14 Order that a DCM may list and This notice of proposed amendment trade swaps ‘‘under the DCM’s rules related to proposes to amend the existing July 14 transaction, from the provisions of the futures contracts, without exemptive relief,’’ 76 FR Order by extending the currently CEA, if the agreement, contract, or at 42518, would apply, as of January 1, 2012, to available temporary relief to no later transaction complies with part 35 of the swaps in agricultural commodities. than July 16, 2012, and by accounting Commission’s regulations as in effect as 22 See Order Regarding the Treatment of Petitions Seeking Grandfather Relief for Exempt Commercial of December 31, 2011, including any Markets and Exempt Boards of Trade, 75 FR 56513, 23 44 U.S.C. 3507(d). Sept. 16, 2010. 24 7 U.S.C. 19(a). 25 76 FR 42521.

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agreement, contract, or transaction in an exemptions prior to the effective date of CEA requirements that may apply as the exempt or excluded (but not any provision of the Dodd-Frank Act result of the repeal, effective on July 16, agricultural) commodity that complies and the CEA, in order to prepare for the 2011, of CEA sections 2(d), 2(e), 2(g), 2(h) with such provisions then in effect effective date of such provision, and 5d. The proposed amendment also extends this relief to July 16, 2012, or until notwithstanding that: provided that such rule, order, or a date the Commission may otherwise a. The agreement, contract, or exemption shall not become effective determine with respect to a particular transaction may be executed on a prior to the effective date of the requirement under the CEA. multilateral transaction execution provision; and In addition, today’s proposed amendment facility; e. Affect the applicability of any also tailors the July 14th relief in light of the b. The agreement, contract, or provision of the CEA to futures Commission’s actions finalizing the transaction may be cleared; contracts or options on futures agricultural swap rules. c. Persons offering or entering into the contracts, or to cash markets. Appendix 2—Statement of agreement, contract or transaction may In its discretion, the Commission may Commissioner Scott O’Malia not be eligible swap participants, condition, suspend, terminate, or provided that all parties are eligible otherwise modify this Order, as As Yogi Berra famously proclaimed: ‘‘It is contract participants as defined in the appropriate, on its own motion. This de´ja` vu all over again.’’ Yogi perfectly CEA prior to the date of enactment of encapsulates my feelings today. We find Final Order, as amended, shall be ourselves again voting on a proposed order the Dodd-Frank Act; effective immediately. aimed at providing legal certainty in the form d. The agreement, contract, or Issued in Washington, DC, on October 18, ‘‘temporary exemptive relief’’ for swap transaction may be part of a fungible 2011 by the Commission. market participants that extends the soon to class of agreements that are David A. Stawick, expire relief found in the Commission’s July standardized as to their material 14, 2011 exemptive order (‘‘July 14 Order’’). economic terms; and/or Secretary of the Commission. This temporary relief is necessary because: e. No more than one of the parties to Note: (1) The Commission has not yet put forth the agreement, contract, or transaction is final rules defining such key terms such as The following appendices will not entering into the agreement, contract, or ‘‘swap’’ and ‘‘swap dealer’’; and (2) certain appear in the Code of Federal transaction in conjunction with its line exemptions and exclusions for transactions Regulations. of business, but is neither an eligible in exempt and excluded commodities currently relied upon by market participants contract participant nor an eligible swap Appendices to Notice of Proposed will be repealed effective December 31, 2011. participant, and the agreement, contract, Amendment to Effective Date for Swap The proposal states: ‘‘[t]he Commission or transaction was not and is not Regulation—Commission Voting proposes that this further amendment to the marketed to the public; Summary and Statements of July 14 Order is necessary to ensure that the Provided, however, that: (i) Such Commissioners same scope of the exemptive relief available agreements, contracts, and transactions before December 31, 2011 is available to all Appendix 1—Commission Voting (and persons offering, entering into, or swaps and extends through July 16, 2012, at Summary rendering advice or rendering other the latest.’’ services with respect to, any such On this matter, Chairman Gensler and Unfortunately, we are once again facing an Commissioners Dunn, Sommers, Chilton and exemptive order that suffers the same faults agreement, contract, or transaction) fall that the July 14 Order suffered, namely: (1) within the scope of any of the existing O’Malia voted in the affirmative; no Commissioner voted in the negative. It again includes an arbitrary sunset CEA sections 2(d), 2(e), 2(g), 2(h), and provision that will cut the transition period 5d provisions or the line of business Appendix 2—Statement of Chairman short and so will likely not provide necessary provision as in effect prior to July 16, Gary Gensler ‘‘relief’’ to market participants, and (2) it 2011; and (ii) the foregoing exemption demonstrates the lack of ordering of I support the proposed amendment to the shall expire upon the earlier of: (I) July rulemakings combined with the failure to put July 14th Exemptive Order regarding the forth an implementation schedule. We now 16, 2012; or (II) such other compliance effective dates of certain Dodd-Frank Act date as may be determined by the need to broaden the scope of the July 14 provisions. Order because the exemptive rules contained Commission. The July 14th order provided relief until in part 35 will no longer be available to (3) Provides that the foregoing December 31, 2011, or when the definitional market participants after December 31, 2011 exemptions in paragraphs (1) and (2) rulemakings become effective, whichever is even though the replacement regulatory above shall not: sooner, from certain provisions that would regime is not in place yet.26 Part 35 is more a. Limit in any way the Commission’s otherwise apply to swaps or swap dealers on commonly known as the swap exemption authority with respect to any person, July 16. This includes provisions that do not and is relied upon primarily by entities entity, or transaction pursuant to CEA directly rely on a rule to be promulgated, but engaging in agricultural swaps. The do refer to terms that must be further defined Commission repealed part 35 in order to sections 2(a)(1)(B), 4b, 4o, 6(c), 6(d), 6c, by the CFTC and SEC, such as ‘‘swap’’ and 8(a), 9(a)(2), or 13, or the regulations of ensure that it is not used by individuals and ‘‘swap dealer.’’ entities who had relied on Sections 2(d), (g) the Commission promulgated pursuant Commission staff is working very closely to such authorities, including and (h) of the Commodity Exchange Act with Securities and Exchange Commission (‘‘CEA’’) as an end run around the new regulations pursuant to CEA section (SEC) staff on rules relating to entity and statutory and regulatory requirements. 4c(b) proscribing fraud; product definitions. Staff is making great I support the proposal, as I did last time, b. Apply to any provision of the progress, and we anticipate taking up the because it is important for the Commission Dodd-Frank Act or the CEA that became further definition of entities in the near term to provide market participants and the public effective prior to July 16, 2011; and product definitions shortly thereafter. with the form of relief the exemptive order c. Affect any effective or compliance As these definitional rulemakings have yet is contemplating, but I would have preferred date set forth in any rulemaking issued to be finalized or become effective, today’s proposed amendment would provide relief 26 by the Commission to implement through July 16, 2012, or when the The Commission recently promulgated a rule provisions of the Dodd-Frank Act; pursuant to section 723(c)(3) of the Dodd-Frank Act definitional rulemakings become effective— that, effective December 31, 2011, will repeal the d. Limit in any way the Commission’s whichever is sooner. existing part 35 relief and replace it with new § 35.1 authority under section 712(f) of the The order also provided relief through no of the Commission’s regulations. See Agricultural Dodd-Frank Act to issue rules, orders, or later than December 31, 2011, from certain Swaps, 76 FR 49291 (Aug. 10, 2011).

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that this rule, like its predecessor, would not advised that information on this matter United States International Trade select an arbitrary end date. can be obtained by contacting the Commission Mr. Chairman, I again renew my call for a Commission’s TDD terminal at 202– comprehensive rulemaking schedule and Preliminary Plan for Retrospective implementation plan, that provides greater 205–1810. General information Analysis of Existing Rules concerning the Commission may also be insight on reporting requirements to swap October 18, 2011 data repositories as well as separate obtained by accessing its Internet server rulemaking on real time and block rules. The (http://www.usitc.gov). I. Executive Summary of Plan Commission must also provide some Executive Orders 13579 and 13563 certainty on the clearing and trading mandate SUPPLEMENTARY INFORMATION: Executive including clarification of ‘‘made available for Order 13579 of July 11, 2011, calls on recognize the importance of maintaining trading’’ and guidance on swap clearing. each independent regulatory agency to a consistent culture of retrospective review and analysis throughout the [FR Doc. 2011–27535 Filed 10–24–11; 8:45 am] develop and release to the public, within 120 days of the date of the Federal government. Executive Order BILLING CODE 6351–01–P 13579 calls on each independent Executive Order, a plan under which regulatory agency to develop and release the agency will periodically review its to the public a plan, consistent with law INTERNATIONAL TRADE significant regulations to determine and reflecting the agency’s resources COMMISSION whether any such regulations should be and regulatory priorities and processes, modified, streamlined, expanded, or under which the agency will 19 CFR Chapter II repealed so as to make the agency’s periodically review its significant regulatory program more effective or Preliminary Plan for Retrospective regulations to determine whether any less burdensome in achieving regulatory Analysis of Existing Rules such regulations should be modified, objectives. The following is the streamlined, expanded, or repealed so AGENCY: International Trade Commission’s Preliminary Plan for as to make the agency’s regulatory Commission. Retrospective Analysis of Existing program more effective or less ACTION: Notice of Availability; Request Rules. The Commission welcomes burdensome in achieving the regulatory for Comments. comments from the public concerning objectives. this plan. Pursuant to Executive Order 13579, SUMMARY: The United States the U.S. International Trade International Trade Commission Public Participation Commission developed this preliminary (Commission) is developing a plan for plan for retrospective analysis of its the retrospective analysis of its existing Instructions: All submissions received must include the agency name and the regulations. The plan is designed to regulations. The Commission is seeking create a defined method and schedule docket number (MISC–038) for this public comment on a preliminary for identifying and reconsidering certain proceeding. All comments received will version of such a plan. significant rules that are obsolete, be posted without change to http:// DATES: Comment Date: To be assured of unnecessary, unjustified, excessively consideration, written comments must www.usitc.gov, including any personal burdensome, or counterproductive. Its be received by 5:15 p.m. on November information provided. For paper copies, review processes are intended to 25, 2011. a signed original and 14 copies of each facilitate the identification of rules that ADDRESSES: You may submit comments, set of comments, along with a cover warrant repeal or modification, or the identified by docket number MISC–038 letter stating the nature of the strengthening, complementing, or by any of the following methods: commenter’s interest in the proposed modernizing of rules where necessary or Federal eRulemaking Portal: http:// rulemaking, should be submitted to appropriate. www.regulations.gov. Follow the James Holbein, Secretary, U.S. instructions for submitting comments. International Trade Commission, 500 E II. Background Agency Web Site: http:// Street, SW., Room 112, Washington, DC The Commission is an independent, www.usitc.gov. Follow the instructions 20436. Comments, along with a cover quasi-judicial Federal agency with for submitting comments. See http:// letter, may be submitted electronically broad investigative responsibilities on www.usitc.gov/secretary/edis.htm. to the extent provided by Sec. 201.8 of matters of trade. It investigates the Mail: For paper submission. U.S. the Commission’s rules. This rule may effects of dumped and subsidized International Trade Commission, 500 E refer commenters to the Handbook for imports on domestic industries, Street, SW., Room 112, Washington, DC Electronic Filing Procedures (see http:// conducts global safeguard 20436. www.usitc.gov/secretary/edis.htm). For investigations, and adjudicates cases Hand Delivery/Courier: U.S. involving imports that allegedly infringe those submitting comments by mail, it International Trade Commission, 500 E intellectual property rights. The is advisable to mail comments in Street, SW., Room 112, Washington, DC Commission also serves as a Federal advance of the due date since 20436. From the hours of 8:45 a.m. to resource where trade data and other 5:15 p.m. Commission mail will be delayed due to trade policy-related information are For detailed instructions on necessary security screening. gathered and analyzed. The information submitting comments, see the ‘‘Public Docket: For access to the docket to and analysis are provided to the Participation’’ heading of the read comments received, go to http:// President, the Office of the United SUPPLEMENTARY INFORMATION section of www.usitc.gov or U.S. International States Trade Representative (USTR), and this document. Trade Commission, 500 E Street, SW., Congress to facilitate the development FOR FURTHER INFORMATION CONTACT: Room 112, Washington, DC 20436. of sound and informed U.S. trade Peter L. Sultan, Office of the General policy. The Commission makes most of Counsel, United States International its information and analysis available to Trade Commission, telephone 202–205– the public to promote understanding of 3094, e-mail [email protected]. international trade issues. The Hearing-impaired individuals are Commission also maintains the

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Harmonized Tariff Schedule of the investigations, including its V. Public Access and Participation United States (HTS). ‘‘Antidumping and Countervailing Duty On October 18, 2011, the Commission Thus, the Commission is not Handbook,’’ ‘‘An Introduction to issued a notice to be published in the primarily a regulatory agency, and its Administrative Protective Order Federal Register and posted on the regulations generally serve to govern the Practice in Import Injury homepage of its Web site http:// process of its statutory investigative Investigations,’’ and the ‘‘Handbook on www.usitc.gov/, seeking public responsibilities. In carrying out its Electronic Filing Procedures.’’ The comment on the design of this Plan and mission, the Commission issues rules of documents are maintained in electronic the identification of specific rules to be practice and procedure relating to the form on the Commission’s Web site and included in the Plan. See http:// conduct of its investigations. The are reviewed and updated periodically. www.usitc.gov/. Commission’s rules are codified in Title 19 of the Code of Federal Regulations. III. Scope of Plan [This section will discuss public comments that the Commission • Part 201 of the Commission’s rules This Plan covers existing regulations, receives.] are rules of general application relating existing information collections, and to the functions and activities of the significant guidance documents. VI. Current Agency Efforts Already Commission. Underway Independent of Executive • IV. Elements of the Plan Part 202 sets out rules pertaining to Order 13579 investigations of costs of production Fostering a Culture of Retrospective Even before the issuance of Executive under section 336 of the Tariff Act of Analysis. The Commission intends to 1930, as amended (19 U.S.C. 1336). Order 13579, Commission staff • strengthen its culture of retrospective periodically review existing regulations Part 204 contains rules pertaining to analysis by informing all of its investigations of effects of imports on with a view to updating and improving employees of the Plan and periodically them, and eliminating redundant or agricultural programs under section 22 seeking input from them. of the Agricultural Adjustment Act, as unnecessary regulations. For example, Prioritization. The Commission has amended (7 U.S.C. 624). this year the Commission undertook to • Part 205 covers rules pertaining to identified selection criteria for the rules revise its rules to provide that most investigations to determine the probable it will review retrospectively. It will documents filed with the agency will be economic effect on the economy of the endeavor to review rules that: filed by electronic means. See 76 FR • United States of proposed modifications Have been affected by subsequent 61937 (Oct. 6, 2011). In addition, the of duties or any other barrier to (or other legal developments; Commission staff constantly adapts the distortion of) international trade or of • Overlap, duplicate, or conflict with questionnaires that it issues in its taking retaliatory actions to obtain the other Federal rules; investigations to reflect the specific elimination of unjustifiable or • Are the subject of public comments, circumstances of each investigation. unreasonable foreign acts or policies from individuals and entities that Wherever possible, the staff seek which restrict U.S. commerce. appear before the Commission, and from preliminary input from firms that will • Part 206 pertains to investigations Congressional and other Executive be asked to complete these relating to global and bilateral safeguard Branch sources; questionnaires. In light of these efforts, actions, market disruption, trade • Require outdated reporting the Commission is well-positioned to diversion, and review of relief actions. practices; or implement a more systematic plan for • retrospective review of its regulations. Part 207 sets out rules for the • Have been in place for a long time, conduct of antidumping and so that updating may be appropriate. VII. Examples of Rules for countervailing duty investigations Structure and Staffing. The following Retrospective Review conducted under title VII of the Tariff Commission official will be responsible Act of 1930, as amended (19 U.S.C. 1671 The Commission has preliminarily for overseeing the retrospective review et seq.). identified the following aspects of its • Part 208 contains rules pertaining to of existing rules: James R. Holbein, existing rules for review over the next investigations with respect to the Secretary, e-mail: [email protected]. two years: commercial availability of textile fabric Process for Retrospective Review. 1. General review of existing and yarn in Sub-Saharan African Every two years, the Commission’s regulations in 19 CFR parts 201, 207, countries. General Counsel will send a and 210. The Commission will seek to • Part 210 sets out rules for the memorandum to the Commission’s determine whether any such regulations conduct of investigations of unfair Secretary, office directors, and shall be modified, streamlined, practices in import trade under section administrative law judges asking them expanded or repealed so as to make the 337 of the Tariff Act of 1930, as for input on rules suitable for agency’s regulations more effective or amended (19 U.S.C. 337). modification or elimination. The less burdensome. • Part 212 establishes rules for the Commission will also seek input from 2. Employee Responsibilities and implementation of the Equal Access to the public at that time. Based on Conduct, 19 CFR part 200. The Justice Act (5 U.S.C. 504). responses to this memorandum and Commission intends to review its In the course of its investigations, the comments from the public, and in regulations addressing employee Commission also generally issues consultation with Commissioners, staff responsibilities and conduct, to assess questionnaires seeking business and of the General Counsel’s office will whether these regulations can be financial information from domestic and make recommendations to the modified or repealed, in light of the foreign firms. These questionnaires are Commission regarding the possible issuance of similar regulations by the frequently revised and adapted, with the modification or elimination of existing Office of Government Ethics. input of affected parties wherever regulations. Once an appropriate rule 3. National Security Information, 19 possible. change has been identified, the CFR part 201, subpart F. The The Commission also maintains Commission will publish a notice of Commission intends to review its several documents that provide proposed rulemaking and solicit public regulations addressing national security guidance to parties involved in its comment on the proposed change. information, to assess whether these

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regulations should be modified, in light ACTION: Notice of proposed rulemaking 6401, (410) 965–1020. For information of Executive Order 13526 (Dec. 29, (NPRM). on eligibility or filing for benefits, call 2009). our national toll-free number, 1–800– 4. Investigations With Respect to SUMMARY: We propose to revise the 772–1213, or TTY 1–800–325–0778, or Commercial Availability of Textile criteria in the Listing of Impairments visit our Internet site, Social Security Fabric and Yarn in Sub-Saharan African (listings) that we use to evaluate cases Online, at http:// Countries, 19 CFR part 208. The involving impairments that affect www.socialsecurity.gov. Commission intends to review its multiple body systems in adults and SUPPLEMENTARY INFORMATION: regulations addressing investigations children under titles II and XVI of the with respect to the commercial Social Security Act (Act). The proposed Why are we proposing to revise the availability of textile fabric and yarn in revisions reflect our program experience listings for this body system? and address adjudicator questions we Sub-Saharan African countries, to assess We last published final rules making have received since we last whether these regulations can be comprehensive revisions to the multiple comprehensively revised this body repealed, in light of the repeal of section body systems listings on August 30, system in 2005. We do not expect any 112(c)(2) of the African Growth and 2005.1 These listings are scheduled to decisional differences due the revisions Opportunity Act (AGOA), which expire on October 31, 2013. However, in this body system. required the Commission to make we decided to propose these revisions determinations with respect to the DATES: To ensure that your comments now to reflect our program experience commercial availability and use of are considered, we must receive them and to address adjudicator questions we regional textile fabric or yarn in lesser by no later than December 27, 2011. have received since 2005.2 developed beneficiary sub-Saharan ADDRESSES: You may submit comments African countries in the production of by any one of three methods—Internet, What revisions are we proposing? apparel articles receiving U.S. fax, or mail. Do not submit the same Most of the proposed rules are preferential treatment under AGOA (see comments multiple times or by more substantively the same as the current section 3(a)(2)(B) of Public Law 110– than one method. Regardless of which ones. We propose to clarify and 436, October 16, 2008, 122 Stat. 4980). method you choose, please state that reorganize them. We also propose to This list is non-exhaustive and the your comments refer to Docket No. revise some rules to simplify them and Commission will consider whether SSA–2009–0039 so that we may to revise the listings to include different other parts of its regulations should also associate your comments with the methods for establishing the existence be subject to review within the next two correct regulation. of non-mosaic Down syndrome and years. Caution: You should be careful to other congenital disorders that affect VIII. Publishing the Plan Online include in your comments only multiple body systems under the information that you wish to make listings. We do not expect any The Commission will publish this publicly available. We strongly urge you decisional differences due the revisions plan in the Federal Register and on the not to include in your comments any in this body sytem. agency’s Web site, at http:// personal information, such as Social We propose to: www.usitc.gov. The Web site includes a Security numbers or medical • Revise the name of the body system page on the Commission’s Rules of information. from ‘‘Impairments That Affect Multiple Practice and Procedure, at http:// 1. Internet: We strongly recommend Body Systems’’ to ‘‘Congenital Disorders www.usitc.gov/secretary/ _ _ that you submit your comments via the That Affect Multiple Body Systems’’; fed reg notices/rules/. This Rules page • Reorganize and revise the will include a link to the plan. Members Internet. Visit the Federal eRulemaking portal at http://www.regulations.gov. introductory text for the adult listings of the public will be able to post (section 10.00) and the childhood comments about the plan via a link on Use the Search function to find docket number SSA–2009–0039. The system listings (section 110.00); the page. Commenters may also choose • will issue you a tracking number to Revise adult listing 10.06 and to file comments in paper form to the childhood listing 110.06 for non-mosaic Secretary to the Commission, room 112, confirm your submission. You will not be able to view your comment Down syndrome; and 500 E Street, SW., Washington, DC • Make editorial changes in 20436. immediately because we must post each comment manually. It may take up to a childhood listing 110.08 for catastrophic By Order of the Commission. week for your comment to be viewable. congenital disorders. Issued: October 18, 2011. 2. Fax: Fax comments to (410) 966– Why are we proposing to change the James Holbein, 2830. name of this body system? Secretary to the Commission. 3. Mail: Address your comments to We are proposing to change the name the Office of Regulations, Social [FR Doc. 2011–27363 Filed 10–24–11; 8:45 am] of this body system from ‘‘Impairments Security Administration, 107 Altmeyer BILLING CODE 7020–02–P That Affect Multiple Body Systems’’ to Building, 6401 Security Boulevard, ‘‘Congenital Disorders That Affect Baltimore, Maryland 21235–6401. Comments are available for public SOCIAL SECURITY ADMINISTRATION 1 70 FR 51252. viewing on the Federal eRulemaking 2 We published an advance notice of proposed 20 CFR Part 404 portal at http://www.regulations.gov or rulemaking (ANPRM) on November 10, 2009. 74 FR 57971. In the ANPRM, we invited interested people [Docket No. SSA–2009–0039] in person, during regular business hours, by arranging with the contact and organizations to send us written comments and RIN 0960–AH04 suggestions about whether and how we should person identified below. revise these listings. We received two comment FOR FURTHER INFORMATION CONTACT: letters. We said in the ANPRM that we would not Revised Medical Criteria for Evaluating respond to the comment letters, and this NPRM Congenital Disorders That Affect Cheryl Williams, Office of Medical Listings Improvement, Social Security does not reflect the commenters’ suggestions. You Multiple Body Systems may read the comment letters at http:// Administration, 6401 Security www.regulations.gov by searching under docket AGENCY: Social Security Administration. Boulevard, Baltimore, Maryland 21235– number SSA–2009–0039.

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Multiple Body Systems’’ to clarify that evaluate congenital disorders with What changes are we proposing to the we consider only certain congenital single effects under other body systems. introductory text of the multiple body disorders in this body system. We systems adult listings? evaluate other disorders that affect more The following chart provides a than one body system under the listings comparison of the current introductory that address their specific effects. We text for adults and the proposed introductory text:

Current introductory text Proposed introductory text

10.00A What Impairment Do We Evaluate Under This Body System? 10.00A Which disorder do we evaluate under this body system? 10.00A1 General. Revised and included in 10.00A. 10.00A2 What is Down syndrome? Revised and included in 10.00B. 10.00A3 What is non-mosaic Down syndrome? 10.00B What is non-mosaic Down syndrome? 10.00A4 What is mosaic Down syndrome? Revised and included in 10.00B and 10.00D. 10.00B What Documentation Do We Need To Establish That You 10.00C What evidence do we need to document non-mosaic Down Have Non-Mosaic Down Syndrome? syndrome under 10.06? 10.00B1 General. Revised and included in 10.00C. 10.00B2 Definitive chromosomal analysis. Revised and included in 10.00C. 10.00B3 What if we do not have the results of definitive chromosomal Revised and included in 10.00C. analysis? 10.00C How Do We Evaluate Other Impairments That Affect Multiple 10.00D How do we evaluate mosaic Down syndrome and other con- Body Systems? genital disorders that affect multiple body systems? 10.00D1 Mosaic Down syndrome. 10.00D2 Other congenital disorders that affect multiple body systems. 10.00D3 Evaluating the effects of mosaic Down syndrome or another congenital disorder under the listing. 10.00E What if your disorder does not meet a listing?

As the chart illustrates, we are certain Federal statutes that referred to need to provide any additional proposing to make minor revisions to ‘‘mental retardation’’ to use the term information to establish the existence of terms in the introductory text (for ‘‘intellectual disability’’ instead.3 the disorder, as we explain in proposed example, changing the word In proposed section 10.00C1, we section 10.00C1c. ‘‘impairment’’ to ‘‘disorder’’) and to explain that we need a copy of a Proposed section 10.00C2 reorganize the information in the text. laboratory report of karyotype analysis corresponds in part to current section We are also proposing to make other to establish that a claimant’s non-mosaic 10.00B3 and explains the evidence we changes that we discuss below. Down syndrome meets proposed listing need to establish that a claimant’s non- In proposed section 10.00A, we 10.06A. Karyotype analysis clarifies mosaic Down syndrome meets the explain that, although there are two whether the Down syndrome is the non- criteria of proposed listing 10.06B or forms of Down syndrome, we evaluate mosaic or mosaic form. The report must 10.06C. only the non-mosaic form under the either be signed by a physician or, if • In proposed section 10.00C2a, we listing. Non-mosaic Down syndrome unsigned, accompanied by a statement explain how we would establish that occurs when a person has three copies from a physician indicating that the non-mosaic Down syndrome meets of chromosome 21 in all of their cells or person has Down syndrome. proposed listing 10.06B. This proposed an extra copy of chromosome 21 In proposed section 10.00C1, we listing covers claimants who have had attached to a different chromosome in explain that: definitive laboratory testing, but who all of their cells. Mosaic Down • We will not purchase karyotype have not provided us with a copy of syndrome occurs when some cells have analysis, consistent with our their laboratory reports. Our current an extra copy of chromosome 21 and longstanding policy that we will not rules require detailed evidence other cells are normal, with only two purchase genetic testing, and describing a person’s physical copies of the chromosome. The mosaic • We will not accept the fluorescence appearance and other evidence that is form is much less common than the in situ hybridization (FISH) test—a ‘‘persuasive’’ that the claimant has non- non-mosaic form, and its effects are less screening test—and that it is not mosaic Down syndrome. Since the great likely to be of listing-level severity. In equivalent to the requirement for majority of people with Down syndrome section 10.00D of the proposed rules, we karyotype analysis. have the non-mosaic form, we will no clarify our guidance in current Our rules require evidence from an longer require the physician to describe 10.00A4b that we will evaluate ‘‘acceptable medical source’’ to establish the person’s physical features. Instead, impairment(s) caused by mosaic Down the existence of a medically to meet proposed listing 10.06B, a syndrome in the appropriate body determinable impairment, and a physician must report that (1) The system, or if the disorder does not meet physician is the only acceptable source claimant has Down syndrome that is a listing, consider whether the for establishing that a person has Down consistent with prior karyotype analysis impairment(s) medically equals the syndrome.4 The physician does not and (2) the claimant has the distinctive listings. physical features of the disorder. In proposed section 10.00B, we 3 Rosa’s Law, Pub. L. 111–256 (Oct. 5, 2010). It • In proposed section 10.00C2b, we describe non-mosaic Down syndrome also revised references from ‘‘a mentally retarded explain a new method for establishing and its effects. We propose to replace individual’’ to ‘‘an individual with an intellectual disability based on non-mosaic Down disability.’’ the term ‘‘mental retardation’’ with the 4 We define the terms ‘‘medically determinable syndrome under proposed listing term ‘‘intellectual disability’’ to conform impairment’’ and ‘‘acceptable medical source’’ in 20 10.06C. The proposed listing, which is with recent legislation that revised CFR 404.1508, 404.1513, 416.908, and 416.913. also based on our adjudicative

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experience, allows for a finding of ensure that it is consistent with the statement that the claimant has Down disability when the claimant has not diagnosis. syndrome that is consistent with prior karyotype analysis demonstrating had definitive laboratory testing or we What changes are we proposing to the chromosome 21 trisomy or chromosome have no information about karyotype multiple body systems listings for 21 translocation and that the person has analysis results even if the person did adults? have a test. Because we do not have the distinctive physical features of definitive test results, we would require We propose to revise current listing Down syndrome; and • a more detailed description of the 10.06, Non-mosaic Down syndrome, to Under proposed listing 10.06C, a clinical features of the disorder and make it more specific. A claimant can person can meet the listing when we do demonstrate that he or she meets evidence that the claimant’s functioning not have a copy of, or information proposed listing 10.06 in one of three is consistent with a diagnosis of non- about, laboratory testing, but we have a ways. mosaic Down syndrome. The proposed physician’s report that the person has • Under proposed listing 10.06A, a Down syndrome with distinctive provision would allow us to find that a claimant can demonstrate that he or she physical features and evidence that the claimant does not have non-mosaic meets the listing based solely on a person functions at a level consistent Down syndrome if we have other laboratory report of karyotype analysis with non-mosaic Down syndrome. evidence that is inconsistent with a that a physician signed or on a diagnosis of the disorder. This provision laboratory report of karyotype analysis What changes are we proposing to the is similar to current 10.00B3 that that is not signed by a physician but is introductory text of the congenital provides ‘‘the report must be consistent accompanied by a physician’s statement disorders listings for children? with other evidence in your case that the person has Down syndrome; The following chart provides a record.’’ While we do not need to obtain • Under proposed listing 10.06B, a comparison of the current introductory additional evidence, we must consider claimant can demonstrate that he or she text for children and the proposed any other evidence in the case record to meets the listing based on a physician’s introductory text:

Current introductory text Proposed introductory text

110.00A What Kinds of Impairments Do We Evaluate Under This 110.00A Which disorders do we evaluate under this body system? Body System? 110.00A1 General. Revised and included in 110.00A. 110.00A2 What is Down syndrome? Revised and included in 110.00B. 110.00A3 What is non-mosaic Down syndrome? 110.00B What is non-mosaic Down syndrome? 110.00A4 What is mosaic Down syndrome? Revised and included in 110.00F. 110.00A5 What are catastrophic congenital abnormalities or dis- Revised and included in 110.00D. eases? 110.00B What Documentation Do We Need To Establish That You 110.00C What evidence do we need to document non-mosaic Down Have an Impairment That Affects Multiple Body Systems? syndrome under 110.06? 110.00B1 General. Revised and included in 110.00C. 110.00B2 Non-mosaic Down syndrome (110.06) Revised and included in 110.00C. 110.00B3 Catastrophic congenital abnormalities or diseases (110.08) Revised and included in 110.00D and 110.00E. 110.00D What are catastrophic congenital disorders? 110.00E What evidence do we need under 110.08? 110.00C How Do We Evaluate Other Impairments That Affect Multiple 110.00F How do we evaluate mosaic Down syndrome and other con- Body Systems and That Do Not Meet the Criteria of the Listings in genital disorders that affect multiple body systems? This Body System? 110.00F1 Mosaic Down syndrome. 110.00F2 Other congenital disorders that affect multiple body sys- tems. 110.00F3 Evaluating the effects of mosaic Down syndrome or an- other congenital disorder under the listings. 110.00G What if your disorder does not meet a listing?

We propose to reorganize and revise ‘‘catastrophic’’ congenital disorders. We 110.00B3. We propose changes in this the introductory text as in the adult propose to reorganize and clarify the section to make it similar to proposed rules. Since we are proposing the same introductory text that explains listing sections 10.00C and 110.00C for non- changes in the childhood rules that 110.08 as follows: mosaic Down syndrome. For example, correspond to the adult rules, we do not • In proposed section 110.00D, we the current rule requires both a clinical summarize them here. Proposed section briefly explain the kinds of disorders we description of the diagnostic physical 110.00C is identical to proposed section would evaluate under proposed listing features of the disorder and the report 10.00C and includes a reference to a 110.08 and provide some examples of of the definitive laboratory study child’s ‘‘work history.’’ We included these disorders. In the current rules, we establishing the diagnosis. Since the this phrase in the child rules because include these examples in listing second requirement is for a definitive the listings in part B are for people up 110.08. We propose to move them to the laboratory study, we do not believe that to the age of 18, and some older introductory text so there is no we also need a description of the adolescents have worked. implication that the examples in current diagnostic clinical features in such As under the current listings, the listings 110.08A and B are the sole cases. We believe that we can simplify proposed childhood listings include a disorders covered by these listings. the rule and make some favorable listing that we do not include in the • Proposed section 110.00E determinations more quickly. adult rules—proposed listing 110.08 for corresponds to current section

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What changes are we proposing to the • Would a different format make the PART 404—FEDERAL OLD-AGE, congenital disorders listings for rules easier to understand, e.g., grouping SURVIVORS AND DISABILITY children? and order of sections, use of headings, INSURANCE (1950– ) paragraphing? We propose to revise current listing Subpart P—[Amended] 110.06, Non-mosaic Down syndrome, in When will we start to use these rules? the same way as proposed adult listing 1. The authority citation for subpart P 10.06. We would revise listings 110.08A We will not use these rules until we of part 404 is revised to read as follows: and B by moving the examples from evaluate public comments and publish Authority: Secs. 202, 205(a)–(b) and (d)– these current listings to proposed final rules in the Federal Register. All (h), 216(i), 221(a), (i), and (j), 222(c), 223, section 110.00D in the introductory text. final rules we issue include an effective 225, and 702(a)(5) of the Social Security Act We would also replace the phrase date. We will continue to use our (42 U.S.C. 402, 405(a)–(b) and (d)–(h), 416(i), ‘‘profoundly impaired’’ in listing current rules until that date. If we 421(a), (i), and (j), 422(c), 423, 425, and 902(a)(5)); sec. 211(b), Pub. L. 104–193, 110 110.08A with the phrase ‘‘very serious publish final rules, we will include a interference’’ the same phrase we use in Stat. 2105, 2189; sec. 202, Pub. L. 108–203, summary of those relevant comments 118 Stat. 509 (42 U.S.C. 902 note). proposed listing 110.08B. Both listings we received along with responses and 2. Amend appendix 1 to subpart P of should have the same severity criterion. an explanation of how we will apply the part 404 by revising item 11 of the The criterion we propose is based on new rules. current listing 110.08B, which uses the introductory text before part A of phrase ‘‘interferes very seriously’’ and is Regulatory Procedures appendix 1 to read as follows: a term we use in other rules. We would Executive Order 12866, as Appendix 1 to Subpart P of Part 404— also clarify in proposed section 110.00D Listing of Impairments that ‘‘very seriously’’ has the same Supplemented by Executive Order meaning as our definition of the term 13563 * * * * * ‘‘extreme’’ in our rules for determining 11. Congenital Disorders That Affect We have consulted with the Office of Multiple Body Systems (10.00 and 110.00): functional equivalence for children.5 Management and Budget (OMB) and [Insert date 5 years from the effective date of What is our authority to make rules determined that this NPRM meets the the final rules]. and set procedures for determining criteria for a significant regulatory * * * * * whether a person is disabled under the action under Executive Order 12866, as 3. Amend part A of appendix 1 to statutory definition? supplemented by Executive Order subpart P of part 404 by revising the body system name for section 10.00 in The Act authorizes us to make rules 13563. Therefore, OMB reviewed it. the table of contents to read as follows: and regulations and to establish Regulatory Flexibility Act necessary and appropriate procedures to * * * * * implement them. Sections 205(a), We certify that this NPRM will not 10.00 Congenital Disorders That Affect 702(a)(5), and 1631(d)(1). have a significant economic impact on Multiple Body Systems. How long would these proposed rules a substantial number of small entities * * * * * be effective? because they affect individuals only. 4. Revise section 10.00 in part A of Therefore, the Regulatory Flexibility appendix 1 to subpart P of part 404 to If we publish these proposed rules as Act, as amended, does not require us to read as follows: final rules, they will remain in effect for prepare a regulatory flexibility analysis. * * * * * 5 years after the date they become effective, unless we extend them, or Paperwork Reduction Act Part A revise and issue them again. * * * * * These rules do not create any new or Clarity of These Proposed Rules affect any existing collections, and 10.00 Congenital Disorders That Affect Multiple Body Systems Executive Order 12866, as therefore, do not require Office of supplemented by Executive Order Management and Budget approval A. Which disorder do we evaluate under this body system? Although Down syndrome 13563, requires each agency to write all under the Paperwork Reduction Act. exists in non-mosaic and mosaic forms, we rules in plain language. In addition to (Catalog of Federal Domestic Assistance evaluate only non-mosaic Down syndrome your substantive comments on these Program Nos. 96.001, Social Security— under this body system. proposed rules, we invite your Disability Insurance; 96.002, Social B. What is non-mosaic Down syndrome? comments on how to make them easier Security—Retirement Insurance; 96.004, Non-mosaic Down syndrome is a genetic disorder. Most people with non-mosaic to understand. Social Security—Survivors Insurance; and Down syndrome have three copies of For example: 96.006, Supplemental Security Income). • Would more, but shorter, sections chromosome 21 in all of their cells List of Subjects in 20 CFR Part 404 (chromosome 21 trisomy); some have an be better? extra copy of chromosome 21 attached to a • Are the requirements in the rules Administrative practice and different chromosome in all of their cells clearly stated? procedure; Blind, Disability benefits; (chromosome 21 translocation). Virtually all • Have we organized the material to people with non-mosaic Down syndrome Old-Age, Survivors, and Disability suit your needs? have characteristic facial or other physical • Could we improve clarity by adding Insurance; Reporting and recordkeeping features, delayed physical development, and tables, lists, or diagrams? requirements; Social Security. intellectual disability. People with non- • mosaic Down syndrome may also have What else could we do to make the Michael J. Astrue, rules easier to understand? congenital heart disease, impaired vision, • Commissioner of Social Security. hearing problems, and other disorders. We Do the rules contain technical evaluate non-mosaic Down syndrome under language or jargon that is not clear? For the reasons set out in the 10.06. If you have non-mosaic Down preamble, we propose to amend 20 CFR syndrome documented as described in 5 See 20 CFR 416.926a(e)(3). part 404 subpart P as set forth below: 10.00C, we consider you disabled from birth.

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C. What evidence do we need to document disorders, such as congenital anomalies, 5. Amend part B of appendix 1 to subpart non-mosaic Down syndrome under 10.06? chromosomal disorders, dysmorphic P of part 404 by revising the body system 1. Under 10.06A, we will find you disabled syndromes, inborn metabolic syndromes, and name in section 110.00 in the table of based on laboratory findings. perinatal infectious diseases, can cause contents to read as follows: a. To find that your disorder meets 10.06A, deviation from, or interruption of, the normal * * * * * we need a copy of the laboratory report of function of the body or can interfere with karyotype analysis, which is the definitive development. Examples of these disorders 110.00 Congenital Disorders That test to establish non-mosaic Down syndrome. include both the juvenile and late-onset Affect Multiple Body Systems We will not purchase karyotype analysis. We forms of Tay-Sachs disease, trisomy X will not accept a fluorescence in situ syndrome (XXX syndrome), fragile X * * * * * hybridization (FISH) test because it does not syndrome, phenylketonuria (PKU), caudal 6. Revise section 110.00 in part B of distinguish between the mosaic and non- regression syndrome, and fetal alcohol appendix 1 to subpart P of part 404 to mosaic forms of Down syndrome. syndrome. For these disorders and other read as follows: b. If a physician (see §§ 404.1513(a)(1) and disorders like them, the degree of deviation, 416.913(a)(1) of this chapter) has not signed interruption, or interference, as well as the Appendix 1 to Subpart P of Part 404— the laboratory report of karyotype analysis, resulting functional limitations and their Listing of Impairments the evidence must also include a physician’s progression, may vary widely from person to statement that you have Down syndrome. person and may affect different body * * * * * c. For purposes of 10.06A, we do not systems. Part B require additional evidence stating that you 3. Evaluating the effects of mosaic Down * * * * * have the distinctive facial or other physical syndrome or another congenital disorder features of Down syndrome. under the listings. When the effects of mosaic 110.00 Congenital Disorders That Affect 2. If we do not have a laboratory report of Down syndrome or another congenital Multiple Body Systems karyotype analysis showing that you have disorder that affects multiple body systems A. Which disorders do we evaluate under non-mosaic Down syndrome, we may find are sufficiently severe we evaluate the this body system? We evaluate non-mosaic you disabled under 10.06B or 10.06C. disorder under the appropriate affected body Down syndrome and catastrophic congenital system(s), such as musculoskeletal, special a. Under 10.06B, we need a physician’s disorders under this body system. senses and speech, neurological, or mental report stating: (i) your karyotype diagnosis or B. What is non-mosaic Down syndrome? evidence that documents your type of Down disorders. Otherwise, we evaluate the Non-mosaic Down syndrome is a genetic syndrome is consistent with prior karyotype specific functional limitations that result disorder. Most children with non-mosaic analysis (for example, reference to a from the disorder under our other rules Down syndrome have three copies of diagnosis of ‘‘trisomy 21’’), and (ii) that you described in 10.00E. chromosome 21 in all of their cells have the distinctive facial or other physical E. What if your disorder does not meet a (chromosome 21 trisomy); some have an features of Down syndrome. We do not listing? If you have a severe medically extra copy of chromosome 21 attached to a require a detailed description of the facial or determinable impairment(s) that does not different chromosome in all of their cells other physical features of the disorder. meet a listing, we will consider whether your (chromosome 21 translocation). Virtually all However, we will not find that your disorder impairment(s) medically equals a listing. See meets 10.06B if we have evidence—such as §§ 404.1526 and 416.926 of this chapter. If children with non-mosaic Down syndrome evidence of functioning inconsistent with the your impairment(s) does not meet or have characteristic facial or other physical diagnosis—that indicates that you do not medically equal a listing, you may or may not features, delayed physical development, and have non-mosaic Down syndrome. have the residual functional capacity to intellectual disability. Children with non- b. If we do not have evidence of prior engage in substantial gainful activity. We mosaic Down syndrome may also have karyotype analysis (you did not have testing, proceed to the fourth, and if necessary, the congenital heart disease, impaired vision, or you had testing but we do not have fifth steps of the sequential evaluation hearing problems, and other disorders. We information from a physician about the test process in §§ 404.1520 and 416.920 of this evaluate non-mosaic Down syndrome under results), we will find that your disorder chapter. We use the rules in §§ 404.1594 and 110.06. If you have non-mosaic Down meets 10.06C if we have: (i) a physician’s 416.994 of this chapter, as appropriate, when syndrome documented as described in report stating that you have the distinctive we decide whether you continue to be 110.00C, we consider you disabled from facial or other physical features of Down disabled. birth. syndrome, and (ii) evidence that your C. What evidence do we need to document 10.01 Category of Impairments, Congenital non-mosaic Down syndrome under 110.06? functioning is consistent with a diagnosis of Disorders That Affect Multiple Body Systems non-mosaic Down syndrome. This evidence 1. Under 110.06A, we will find you may include medical or nonmedical 10.06 Non-mosaic Down syndrome disabled based on laboratory findings. information about your physical and mental (chromosome 21 trisomy or chromosome 21 a. To find that your disorder meets abilities, including information about your translocation), documented by: 110.06A, we need a copy of the laboratory education, work history, or the results of A. A laboratory report of karyotype report of karyotype analysis, which is the psychological testing. However, we will not analysis signed by a physician, or both a definitive test to establish non-mosaic Down find that your disorder meets 10.06C if we laboratory report of karyotype analysis not syndrome. We will not purchase karyotype have evidence—such as evidence of signed by a physician and a statement by a analysis. We will not accept a fluorescence functioning inconsistent with the diagnosis— physician that you have Down syndrome (see in situ hybridization (FISH) test because it that indicates that you do not have non- 10.00C1). does not distinguish between the mosaic and mosaic Down syndrome. Or non-mosaic forms of Down syndrome. D. How do we evaluate mosaic down B. A physician’s report stating that you b. If a physician (see §§ 404.1513(a)(1) and syndrome and other congenital disorders that have chromosome 21 trisomy or chromosome 416.913(a)(1) of this chapter) has not signed affect multiple body systems? 21 translocation consistent with prior the laboratory report of karyotype analysis, 1. Mosaic Down syndrome. Approximately karyotype analysis with the distinctive facial the evidence must also include a physician’s 2 percent of people with Down syndrome or other physical features of Down syndrome statement that you have Down syndrome. have the mosaic form. In mosaic Down (see 10.00C2a). c. For purposes of 110.06A, we do not require evidence stating that you have the syndrome, there are some cells with an extra OR copy of chromosome 21 and other cells with distinctive facial or other physical features of the normal two copies of chromosome 21. C. A physician’s report stating that you Down syndrome. Mosaic Down syndrome can be so slight as have Down syndrome with the distinctive 2. If we do not have a laboratory report of to be undetected clinically, but it can also be facial or other physical features and evidence karyotype analysis documenting that you profound and disabling, affecting various demonstrating that you function at a level have non-mosaic Down syndrome, we may body systems. consistent with non-mosaic Down syndrome find you disabled under 110.06B or 110.06C. 2. Other congenital disorders that affect (see 10.00C2b). a. Under 110.06B, we need a physician’s multiple body systems. Other congenital * * * * * report stating: (i) Your karyotype diagnosis or

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evidence that documents your type of Down supports the diagnosis. This evidence may 110.01 Category of Impairments, syndrome that is consistent with prior include medical or nonmedical information Congenital Disorders That Affect Multiple karyotype analysis (for example, reference to about your development and functioning. Body Systems a diagnosis of ‘‘trisomy 21’’) and (ii) that you 5. For obvious catastrophic congenital 110.06 Non-mosaic Down syndrome have the distinctive facial or other physical anomalies that are expected to result in early (chromosome 21 trisomy or chromosome 21 features of Down syndrome. We do not death, such as anencephaly and cyclopia, we translocation), documented by: require a detailed description of the facial or need evidence from a physician that A. A laboratory report of karyotype other physical features of the disorder. analysis signed by a physician, or both a However, we will not find that your disorder demonstrates that the infant has the characteristic physical features of the laboratory report of karyotype analysis not meets 110.06B if we have evidence—such as signed by a physician and a statement by a disorder. In these rare cases, we do not need evidence of functioning inconsistent with the physician that the child has Down syndrome diagnosis—that indicates that you do not laboratory testing or any other evidence that (see 110.00C1). have non-mosaic Down syndrome. confirms the disorder. OR b. If we do not have evidence of prior F. How do we evaluate mosaic Down karyotype analysis (you did not have testing, syndrome and other congenital disorders that B. A physician’s report stating that the child has chromosome 21 trisomy or or you had testing but we do not have affect multiple body systems? chromosome 21 translocation consistent with information from a physician about the test 1. Mosaic Down syndrome. Approximately results), we will find that your disorder karyotype analysis with the distinctive facial 2 percent of children with Down syndrome or other physical features of Down syndrome meets 110.06C if we have: (i) a physician’s have the mosaic form. In mosaic Down report stating that you have the distinctive (see 110.00C2a). syndrome, there are some cells with an extra facial or other physical features of Down OR copy of chromosome 21 and other cells with syndrome and (ii) evidence that your C. A physician’s report stating that the functioning is consistent with a diagnosis of the normal two copies of chromosome 21. child has Down syndrome with the non-mosaic Down syndrome. This evidence Mosaic Down syndrome can be so slight as distinctive facial or other physical features may include medical or nonmedical to be undetected clinically, but it can also be and evidence demonstrating that the child is information about your physical and mental profound and disabling, affecting various functioning at the level of a child with non- abilities, including information about your body systems. mosaic Down syndrome (see 110.00C2b). development, education, work history, or the 2. Other congenital disorders that affect 110.08 A catastrophic congenital disorder results of psychological testing. However, we multiple body systems. Other congenital (see 110.00D and 110.00E) with: will not find that your disorder meets disorders, such as congenital anomalies, A. Death usually expected within the first 110.06C if we have evidence—such as chromosomal disorders, dysmorphic months of life. evidence of functioning inconsistent with the syndromes, inborn metabolic syndromes, and OR diagnosis—that indicates that you do not perinatal infectious diseases, can cause B. Very serious interference with have non-mosaic Down syndrome. deviation from, or interruption of, the normal development or functioning. D. What are catastrophic congenital function of the body or can interfere with disorders? Some catastrophic congenital * * * * * development. Examples of these disorders disorders, such as anencephaly, cyclopia, [FR Doc. 2011–27357 Filed 10–24–11; 8:45 am] include both the juvenile and late-onset chromosome 13 trisomy (Patau syndrome or BILLING CODE 4191–02–P trisomy D), and chromosome 18 trisomy forms of Tay-Sachs disease, trisomy X (Edwards’ syndrome or trisomy E) are usually syndrome (XXX syndrome), fragile X syndrome, phenylketonuria (PKU), caudal expected to result in early death. Others such DEPARTMENT OF THE TREASURY as cri du chat syndrome (chromosome 5p regression syndrome, and fetal alcohol deletion syndrome) and the infantile onset syndrome. For these disorders and other Internal Revenue Service form of Tay-Sachs disease interfere very disorders like them, the degree of deviation, seriously with development. We evaluate interruption, or interference, as well as the 26 CFR Part 1 catastrophic congenital disorders under resulting functional limitations and their 110.08. The term ‘‘very seriously’’ in 110.08 progression, may vary widely from child to [REG–109006–11] has the same meaning as in the term child and may affect different body systems. RIN 1545–BK13 ‘‘extreme’’ in § 416.926a(e)(3) of this chapter. 3. Evaluating the effects of mosaic Down E. What evidence do we need under syndrome or another congenital disorder 110.08? Modifications of Certain Derivative under the listings. When the effects of mosaic We need one of the following to determine Contracts; Hearing Cancellation Down syndrome or another congenital if your disorder meets 110.08A or B: AGENCY: 1. A laboratory report of the definitive test disorder that affects multiple body systems Internal Revenue Service (IRS), that documents your disorder (for example, are sufficiently severe we evaluate the Treasury. genetic analysis or evidence of biochemical disorder under the appropriate affected body ACTION: Cancellation of notice of public abnormalities) signed by a physician. system(s), such as musculoskeletal, special hearing on notice of proposed 2. A laboratory report of the definitive test senses and speech, neurological, or mental rulemaking by cross-reference to that documents your disorder that is not disorders. Otherwise, we evaluate the temporary regulations. signed by a physician and a report from a specific functional limitations that result physician stating that you have the disorder. from the disorder under our other rules SUMMARY: This document cancels a 3. A report from a physician stating that described in 110.00G. public hearing on notice of proposed you have the disorder with the typical G. What if your disorder does not meet a rulemaking by cross-reference to clinical features of the disorder and that you listing? If you have a severe medically temporary regulations relating to had definitive testing that documented your determinable impairment(s) that does not whether an exchange for purposes of disorder. In this case, we will find that your meet a listing, we will consider whether your disorder meets 110.08A or B unless we have § 1.1001–1(a) occurs for the impairment(s) medically equals a listing. See evidence that indicates that you do not have nonassigning counterparty when there § 416.926 of this chapter. If your the disorder. is an assignment of certain derivative 4. If we do not have the definitive impairment(s) does not meet or medically contracts. equal a listing, we will consider whether it laboratory evidence we need under E1, E2, or DATES: The public hearing, originally E3, we will find that your disorder meets functionally equals the listings. See 110.08A or B if we have: (i) a report from a §§ 416.924a and 416.926a of this chapter. We scheduled for October 27, 2011 at 10 physician stating that you have the disorder use the rules in § 416.994a of this chapter a.m., is cancelled. and that you have the typical clinical features when we decide whether you continue to be FOR FURTHER INFORMATION CONTACT: of the disorder, and (ii) other evidence that disabled. Richard A. Hurst of the Publications and

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Regulations Branch, Legal Processing 5203, Internal Revenue Service, P.O. the economic effect of the allocation Division, Associate Chief Counsel Box 7604, Ben Franklin Station, must be substantial within the meaning (Procedure and Administration), at Washington, DC 20044. Submissions of § 1.704–1(b)(2)(iii). [email protected]. may be hand-delivered Monday through For an allocation to have economic SUPPLEMENTARY INFORMATION: A notice Friday between the hours of 8 a.m. and effect, it must be consistent with the 4 p.m. to CC:PA:LPD:PR (REG–109564– of proposed rulemaking by cross- underlying economic arrangement of the 10), Courier’s Desk, Internal Revenue reference to temporary regulations and a partners. This means that, in the event notice of public hearing that appeared Service, 1111 Constitution Avenue, NW, Washington, DC; or sent electronically, that there is an economic benefit or in the Federal Register on Friday, July burden that corresponds to the 22, 2011 (76 FR 43957), announced that via the Federal eRulemaking Portal at http://www.regulations.gov (IRS REG– allocation, the partner to whom the a public hearing was scheduled for allocation is made must receive such October 27, 2011, beginning at 10 a.m. 109564–10). economic benefit or bear such economic in the auditorium of the Internal FOR FURTHER INFORMATION CONTACT: Revenue Building, 1111 Constitution Concerning the proposed regulations, burden. See § 1.704–1(b)(2)(ii). Avenue, NW., Washington, DC. The Michala Irons, at (202) 622–3050; Generally, an allocation of income, gain, subject of the public hearing is under concerning submission of comments, or loss, or deduction (or item thereof) to a section 1001 of the Internal Revenue requests for a public hearing, Richard partner will have economic effect if, and Code. Hurst, at (202) 622–2949 (TDD only if, throughout the full term of the The public comment period for a Telephone) (not toll free numbers) and partnership, the partnership agreement notice of proposed rulemaking by cross- his e-mail address is provides: (1) for the determination and reference to temporary regulations [email protected]. maintenance of the partners’ capital expired on October 20, 2011. Outlines of SUPPLEMENTARY INFORMATION: accounts in accordance with § 1.704– topics to be discussed at the hearing 1(b)(2)(iv); (2) for liquidating were due on October 20, 2011. A notice Background distributions to the partners to be made of propose rulemaking by cross- Subchapter K is intended to permit in accordance with the positive capital reference to temporary regulations and taxpayers to conduct joint business account balances of the partners; and (3) notice of public hearing instructed those activities through a flexible economic for each partner to be unconditionally interested in testifying at the public arrangement without incurring an obligated to restore the deficit balance hearing to submit an outline of the entity-level tax. To achieve this goal of in the partner’s capital account topics to be addressed. As of Friday, a flexible economic arrangement, following the liquidation of the October 21, 2011, no one has requested partners are generally permitted to partner’s partnership interest. In lieu of to speak. Therefore, the public hearing decide among themselves how a satisfying the third criterion, the scheduled for October 27, 2011 is partnership’s items will be allocated. cancelled. partnership may satisfy the qualified Section 704(a) of the Internal Revenue income offset rules set forth in § 1.704– LaNita Van Dyke, Code provides that a partner’s 1(b)(2)(ii)(d). distributive share of income, gain, loss, Chief, Publications and Regulations Branch, Section 1.704–1(b)(2)(iii)(a) provides Legal Processing Division, Associate Chief deduction, or credit shall, except as Counsel, Procedure and Administration. otherwise provided, be determined by as a general rule that the economic [FR Doc. 2011–27573 Filed 10–24–11; 8:45 am] the partnership agreement. effect of an allocation (or allocations) is substantial if there is a reasonable BILLING CODE 4830–01–P Section 704(b) places a significant limitation on the general flexibility of possibility that the allocation (or section 704(a). Specifically, section allocations) will affect substantially the DEPARTMENT OF THE TREASURY 704(b) provides that a partner’s dollar amounts to be received by the distributive share of income, gain, loss, partners from the partnership, Internal Revenue Service deduction, or credit (or item thereof) independent of tax consequences. This shall be determined in accordance with section further provides that, even if the 26 CFR Part 1 the partner’s interest in the partnership allocation affects substantially the dollar [REG–109564–10] (determined by taking into account all amounts, the economic effect of the facts and circumstances) if the allocation (or allocations) is not RIN 1545–BJ37 allocation to a partner under the substantial if, at the time the allocation Partner’s Distributive Share partnership agreement of income, gain, (or allocations) becomes part of the loss, deduction, or credit (or item partnership agreement: (1) The after-tax AGENCY: Internal Revenue Service (IRS), thereof) does not have substantial economic consequences of at least one Treasury. economic effect. Thus, the statute partner may, in present value terms, be ACTION: Notice of proposed rulemaking. provides that partnership allocations enhanced compared to such either must have substantial economic consequences if the allocation (or SUMMARY: This document contains effect or must be in accordance with the allocations) were not contained in the proposed regulations removing § 1.704– partners’ interests in the partnership. 1(b)(2)(iii)(e) (the de minimis partner Section 1.704–1(b)(2)(i) provides that partnership agreement, and (2) there is rule) because the rule may have resulted the determination of whether an a strong likelihood that the after-tax in unintended tax consequences. The allocation of income, gain, loss, or economic consequences of no partner proposed regulations affect partnerships deduction to a partner has substantial will, in present value terms, be and their partners. economic effect involves a two-part substantially diminished compared to DATES: Written or electronic comments analysis that is made as of the end of the such consequences if the allocation (or and requests for a public hearing must partnership taxable year to which the allocations) were not contained in the be received by January 23, 2012. allocation relates. First, the allocation partnership agreement. ADDRESSES: Send submissions to: must have economic effect within the CC:PA:LPD:PR (REG–109564–10), Room meaning of § 1.704–1(b)(2)(ii). Second,

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Explanation of Provisions been submitted to the Chief Counsel for ENVIRONMENTAL PROTECTION Removal of De Minimis Partner Rule in Advocacy of the Small Business AGENCY § 1.704–1(b)(2)(iii)(e) Administration for comment on its impact on small business. 40 CFR Part 52 The de minimis partner rule in § 1.704–1(b)(2)(iii)(e) (TD 9398, 73 FR Comments and Requests for a Public [EPA–R07–OAR–2011–0859; FRL–9482–8] 28699–01) was promulgated on May 19, Hearing Approval and Promulgation of Air 2008, as part of final regulations with Quality Implementation Plans; respect to partners that are look-through Before the proposed regulations are Missouri; Reasonably Available entities. The de minimis partner rule adopted as final regulations, Control Technology (RACT) for the 8- provides that for purposes of applying consideration will be given to any Hour Ozone National Ambient Air the substantiality rules, the tax written (a signed original and eight (8) Quality Standard (NAAQS) attributes of de minimis partners need copies) or electronic comments that are not be taken into account and defines a submitted timely to the IRS. The IRS AGENCY: Environmental Protection de minimis partner as any partner, and the Treasury Department request Agency (EPA). including a look-through entity that comments on the clarity of the proposed ACTION: Proposed rule. owns, directly or indirectly, less than 10 rules and how they can be made easier percent of the capital and profits of a to understand. All comments will be SUMMARY: EPA is proposing to partnership, and who is allocated less available for public inspection and conditionally approve a State than 10 percent of each partnership item copying. A public hearing may be Implementation Plan (SIP) revision of income, gain, loss, deduction, and scheduled if requested in writing by any submitted by the State of Missouri to credit. The intent of the de minimis person that timely submits written or EPA on January 17, 2007, with a partner rule was to allow partnerships electronic comments. If a public hearing supplemental revision submitted to EPA to avoid the complexity of testing the is scheduled, notice of the date, time, on June 1, 2011. The purpose of these substantiality of insignificant and place for the public hearing will be SIP revisions is to satisfy the RACT allocations to partners owning very published in the Federal Register. requirements for volatile organic small interests in the partnership. It was compounds (VOCs) set forth by the not intended to allow partnerships to Drafting Information Clean Air Act (CAA or Act) with respect entirely avoid the application of the to the 8-hour ozone NAAQS. In addition substantiality regulations if the The principal author of these to proposing approval on the 2007 partnership is owned by partners each regulations is Michala Irons, Office of submission, EPA is also proposing to of whom owns less than 10 percent of the Associate Chief Counsel approve several VOC rules adopted by the capital or profits, and who are (Passthroughs and Special Industries). Missouri and submitted to EPA in a allocated less than 10 percent of each However, other personnel from the IRS letter dated August 16, 2011 for partnership item of income, gain, loss, and the Treasury Department approval into its SIP. We are approving deduction, and credit. The IRS and the participated in its development. these revisions because they enhance Treasury Department have determined the Missouri SIP by improving VOC List of Subjects in 26 CFR Part 1 that the de minimis partner rule should emission controls in Missouri. EPA’s be removed in order to prevent Income taxes, Reporting and proposal to conditionally approve the unintended tax consequences. The IRS recordkeeping requirements. SIP submittal is consistent with section and the Treasury Department request 110(k)(4) of the CAA. As part of the comments on how to reduce the burden Proposed Amendments to the conditional approval, Missouri would of complying with the substantial Regulations have up to twelve months from the date economic effect rules, with respect to of EPA’s final conditional approval of look-through partners, without Accordingly, 26 CFR Part 1 is the SIP revisions in which to revise its diminishing the safeguards the rules proposed to be amended as follows: rules to be consistent with the CAA. provide. PART 1—INCOME TAXES DATES: Comments must be received on Proposed Effective Date or before November 25, 2011. These regulations are proposed to be Paragraph 1. The authority citation ADDRESSES: Submit your comments effective the date final regulations are for part 1 continues to read in part as identified by Docket ID No. EPA–R07– published in the Federal Register. follows: OAR–2011–0589, by one of the following methods: Authority: 26 U.S.C. 7805 * * * Special Analyses 1. http://www.regulations.gov: Follow It has been determined that this notice Par. 2. In § 1.704–1 paragraph the on-line instructions for submitting of proposed rulemaking is not a (b)(2)(iii)(e) is removed. comments. significant regulatory action as defined 2. E-mail: [email protected]. in Executive Order 12866. Therefore, a Steven T. Miller, 3. Mail or Hand Delivery or Courier: regulatory assessment is not required. It Deputy Commissioner for Services and Lachala Kemp, Air Planning and has also been determined that § 553(b) Enforcement. Development Branch, Environmental of the Administrative Procedure Act (5 [FR Doc. 2011–27575 Filed 10–24–11; 8:45 am] Protection Agency Region 7, 901 North U.S.C. chapter 5) does not apply to these BILLING CODE 4830–01–P 5th Street, Kansas City, Kansas 66101. regulations, and because the regulation Instructions: Direct your comments to does not impose a collection of Docket ID No. EPA–R07–OAR–2011– information on small entities, the 0859. EPA’s policy is that all comments Regulatory Flexibility Act (5 U.S.C. received will be included in the public chapter 6) does not apply. Pursuant to docket without change and may be § 7805(f) of the Internal Revenue Code, made available online at http:// this notice of proposed rulemaking has www.regulations.gov, including any

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personal information provided, unless SUPPLEMENTARY INFORMATION: levels for CTGs issued by EPA after the comment includes information Throughout this document, ‘‘we,’’ ‘‘us,’’ 2006; and (3) a negative declaration that claimed to be Confidential Business or ‘‘our’’ refer to EPA. This section certain categories of sources that do not Information (CBI) or other information provides additional information by exist in Missouri. whose disclosure is restricted by statute. addressing the following questions: II. Statutory and Regulatory Do not submit information that you Table of Contents Background consider to be CBI or otherwise protected through http:// I. What action is EPA proposing? CAA section 172(c)(1) requires that www.regulations.gov or e-mail. The II. Statutory and Regulatory Background SIPs for nonattainment areas ‘‘provide III. Summary of Missouri’s SIP Revision http://www.regulations.gov Web site is for the implementation of all reasonably IV. Missouri’s VOC RACT Rules available control measures as an ‘‘anonymous access’’ system, which V. EPA’s Proposed Action means EPA will not know your identity VI. Statutory and Executive Order Reviews expeditiously as practicable (including or contact information unless you such reductions in emissions from provide it in the body of your comment. I. What action is EPA proposing? existing sources in the area as may be If you send an e-mail comment directly EPA is proposing to conditionally obtained through the adoption, at a to EPA without going through http:// approve a SIP revision submitted by the minimum, of reasonably available www.regulations.gov, your e-mail State of Missouri to EPA on January 17, control technology) and shall provide address will be automatically captured 2007, and June 1, 2011. The purpose of for attainment of the national primary and included as part of the comment these revisions is to control the ambient air quality standards.’’ The St. that is placed in the public docket and emissions of VOCs, consistent with Louis metropolitan area—which made available on the Internet. If you Control Techniques Guidelines (CTGs) includes the counties of Franklin, submit an electronic comment, EPA issued by EPA. EPA is also proposing to Jefferson, St. Charles and St. Louis and recommends that you include your approve several VOC rules approved by the city of St. Louis in Missouri—is name and other contact information in Missouri and submitted to EPA in a currently designated as a moderate the body of your comment and with any letter dated August 16, 2011 for nonattainment area under the 8-hour disk or CD–ROM you submit. If EPA approval into its SIP. The purpose of ozone standard. For areas in moderate cannot read your comment due to these rules is to satisfy the RACT nonattainment with the ozone NAAQS, technical difficulties and cannot contact requirements of the CAA for the section 182(b)(2) requires states to you for clarification, EPA may not be Missouri portion of the St. Louis submit SIP revisions to EPA that require able to consider your comment. metropolitan 8-hour ozone sources of VOCs that are subject to a Electronic files should avoid the use of nonattainment area. As explained CTG issued by EPA, and all other major further below, at this time, EPA is 2 special characters, any form of stationary sources, in the unable to fully approve the State’s encryption, and be free of any defects or nonattainment area to implement RACT. RACT SIP revision because the current viruses. EPA has defined RACT as the lowest submittal does not yet meet all RACT emissions limitation that a particular Docket. All documents in the requirements. Specifically, at this time, source is capable of meeting by the electronic docket are listed in the Missouri has not submitted a RACT rule application of control technology that is http://www.regulations.gov index. for inclusion into the Missouri SIP to reasonably available, considering Although listed in the index, some address one CTG: Solvent Cleanup technological and economic feasibility. information is not publicly available, Operations. However, based on 44 FR 53761 (Sept. 17, 1979). EPA e.g., CBI or other information whose Missouri’s commitment to do so by provides states with guidance disclosure is restricted by statute. December 31, 2012,1 pursuant to section concerning what types of controls could Certain other material, such as 110(k)(4) of the CAA, EPA is proposing constitute RACT for a given source copyrighted material, will be publicly to conditionally approve Missouri’s category through the issuance of a CTG. available only in hard copy. Publicly proposed SIP revision at this time. See 71 FR 58745, 58747 (Oct. 5, 2006). available docket materials are available Under that section, EPA may approve a Section 182(f) of the CAA requires either electronically in http:// SIP revision based on a commitment of that all SIP provisions required for www.regulations.gov or in hard copy at the State to adopt specific enforceable major stationary sources of VOCs shall the U.S. Environmental Protection measures by a date certain, but not later also apply to major stationary sources of Agency Region 7, 901 North 5th Street, than 1 year after the date of approval of Nitrogen Oxides (NOX). With respect to Kansas City, Kansas 66101, from 8 a.m. the SIP. This conditional approval NOX, section 182(f) authorizes EPA to to 4:30 p.m., Monday through Friday, would be treated as a disapproval if exempt the sources in an area from the excluding legal holidays. EPA requests Missouri fails to comply with this NOX RACT requirements through a that you contact the person listed in the commitment. ‘‘waiver,’’ if EPA finds that additional FOR FURTHER INFORMATION CONTACT We are proposing to conditionally reductions of NOX would not contribute section to schedule your inspection. The approve these revisions because they to attainment of the NAAQS for ozone interested persons wanting to examine represent RACT under the 8-hour ozone in that area. On June 9, 2011, EPA these documents should make an NAAQS. These requirements are based published a final determination that the appointment with the office at least 24 on (1) Missouri’s RACT analysis and St. Louis Metropolitan area has attained hours in advance. certification that previously adopted the 8-hour ozone standard based on RACT controls in Missouri’s SIP that FOR FURTHER INFORMATION CONTACT: Ms. three years of complete, quality assured were previously approved by EPA under ambient air quality monitoring data. See Lachala Kemp, Air Planning and the 1-hour ozone NAAQS continue to Development Branch, U.S. 76 FR 33647. On July 21, 2011, EPA represent RACT; (2) the adoption by approved Missouri’s request for such a Environmental Protection Agency Missouri of new or more stringent Region 7, 901 N. 5th Street, Kansas City, regulations that represent RACT control 2 For a moderate nonattainment area, a major Kansas 66101; telephone number (913) stationary source is one which emits, or has the 551–7214; e-mail address: 1 See letter from MDNR to EPA, dated September potential to emit, one hundred tons per year or [email protected]. 30, 2011. more of VOCs. See CAA section 302(j).

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‘‘NOX waiver,’’ effective September 19, submittal, EPA has issued a number of Adhesives. As a result of these new 2011. 76 FR 43598. Based on this rule, new CTGs in 2006, 2007, and 2008.3 CTGs, Missouri submitted an on September 9, 2011, Missouri On October 5, 2006, EPA issued four amendment to its prior RACT withdrew the portion of its 2007 CTGs which states were required to demonstration on June 1, 2011. In submission relating to NOX RACT. address by October 5, 2007 (71 FR addition, on August 16, 2011, Missouri Therefore, today’s action only addresses 58745): Lithographic Printing and submitted proposed revisions to its SIP Missouri’s RACT obligations for VOCs. Letterpress Printing Materials; Flexible to EPA. These revisions will ensure that Packaging Printing Materials; Flat Wood the requirements of the new CTGs will III. Summary of Missouri’s SIP Paneling Coatings; and Industrial be incorporated into the VOC RACT Revision Cleaning Solvents. Also, on October 9, rules for the St. Louis moderate ozone 2007, EPA issued three CTGs which nonattainment area. On January 17, 2007, Missouri states were required to address by Department of Natural Resources October 9, 2008 (72 FR 57215): Paper, IV. Missouri’s VOC RACT Rules (MDNR) submitted to EPA proposed SIP Film, and Foil Coatings; Metal Furniture Missouri’s SIP submittals dated revisions demonstrating compliance Coatings; and Large Appliance Coatings. January 17, 2007, and June 1, 2011, with the RACT requirements set forth by Furthermore, on October 7, 2008, EPA include an analysis of its VOC rules for the CAA under the 8-hour ozone issued four CTGs which states were the Missouri portion of the St. Louis NAAQS. This submittal addressed all required to address by October 7, 2009 metropolitan 8-hour ozone NAAQS source categories for which a CTG had (73 FR 58481): Miscellaneous Metal and nonattainment area. Table 1 summarizes been issued by EPA at the time, and Plastic Parts Coatings; Auto and Light- the CTGs issued by EPA both prior to addressed the controls in place for all Duty Truck Assembly Coatings; 2006 and after 2006, and the other major stationary sources in the Fiberglass Boat Manufacturing corresponding Missouri VOC rules nonattainment area. Since the initial Materials; and Miscellaneous Industrial which address these CTGs.

TABLE 1—CTG SOURCE CATEGORIES AND APPLICABLE MISSOURI VOC RACT RULES

Missouri State rule CTG Source category

10 CSR 10–5.295 Control of Emissions From Aerospace Manufacture Aerospace Manufacturing and Rework Operations & Coating Oper- and Rework Facilities. ations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Automobile and Light-Duty Truck Assembly Coatings. ing Operations. 10 CSR 10–5.220 Control of Petroleum Liquid Storage, Loading and Bulk Gasoline Plants. Transfer. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Can Coatings. ing Operations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Coil Coatings. ing Operations. 10 CSR 10–5.310 Liquefied Cutback Asphalt Paving Restricted ...... Cutback Asphalt. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Fabric Coatings. ing Operations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Flat Wood Paneling Coatings. ing Operations. 10 CSR 10–5.340 Control of Emissions From Rotogravure and Flexo- Flexible Package Printing. graphic Printing Facilities. 10 CSR 10–5.340 Control of Emissions From Rotogravure and Flexo- Flexographic and Rotogravure Printing. graphic Printing Facilities. 10 CSR 10–5.220 Control of Petroleum Liquid Storage, Loading and Gasoline Dispensing Stage II Vapor Recovery. Transfer. 10 CSR 10–5.220 Control of Petroleum Liquid Storage, Loading and Gasoline Service Stations. Transfer. 10 CSR 10–5.390 Control of Emissions From Manufacture of Paints, Ink and Paint Manufacturing. Varnishes, Lacquers, Enamels and Other Allied Surface Coating Op- erations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Large Appliance Coatings. ing Operations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Magnet Wire, Surface Coating. ing Operations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Metal Furniture Coatings. ing Operations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Miscellaneous Industrial Adhesives. ing Operations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Miscellaneous Metal and Plastic Parts Coatings. ing Operations. 10 CSR 10–5.442 Control of Emissions From Lithographic and Letter- Offset Lithographic Printing and Letterpress Printing. press Printing Operations. 10 CSR 10–5.330 Control of Emissions From Industrial Surface Coat- Paper, Film, and Foil Coatings. ing Operations. 10 CSR 10–5.220 Control of Petroleum Liquid Storage, Loading and Petroleum Liquid Storage in External Floating Roof Tanks. Transfer.

3 Under section 183(b), EPA is required to periodically review and, as necessary, update CTGs.

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TABLE 1—CTG SOURCE CATEGORIES AND APPLICABLE MISSOURI VOC RACT RULES—Continued

Missouri State rule CTG Source category

10 CSR 10–5.350 Control of Emissions From Manufacture of Syn- Pharmaceutical Products. thesized Pharmaceutical Products. 10 CSR 10–5.410 Control of Emissions From Manufacture of Poly- Polyester Resin. styrene Resin. 10 CSR 10–5.455 Control of Emissions From Industrial Solvent Solvent Cleanup Operations.4 Cleaning Operations. 10 CSR 10–5.300 Control of Emissions From Solvent Metal Cleaning Solvent Metal Cleaning. 10 CSR 10–5.220 Control of Petroleum Liquid Storage, Loading and Storage of Petroleum Liquids in Fixed Roof Tanks. Transfer. 10 CSR 10–5.420 Control of Equipment Leaks From Synthetic Or- Synthetic Organic Chemical Manufacturing. ganic Chemical and Polymer Manufacturing Plants. 10 CSR 10–5.550 Control of Volatile Organic Compound Emissions Synthetic Organic Chemical and Polymer Manufacturing Equipment, From Reactor Processes and Distillation Operations Processes in the Equipments Leaks from. Synthetic Organic Chemical Manufacturing Industry. 10 CSR 10–5.220 Control of Petroleum Liquid Storage, Loading and Tank Truck Gasoline Loading Terminals. Transfer. 10 CSR 10–5.220 Control of Petroleum Liquid Storage, Loading and Tank Trucks, Gasoline, and Vapor Collection Systems. Transfer. 10 CSR 10–5.500 Control of Emissions From Volatile Organic Liquid Volatile Organic Liquid Storage in Floating and Fixed Roof Tanks. Storage. 10 CSR 10–5.530 Control of Emissions From Wood Furniture Manu- Wood Furniture Manufacturing. facturing Operations.

A. CTGs Issued Prior to 2006 Louis ozone nonattainment area to be These revised requirements are based With respect 4 to Missouri’s VOC consistent with the current federal on and consistent with the following RACT rules that address CTGs issued by RACT CTGs. Compliance with these CTG document issued by EPA since EPA prior to 2006, EPA has previously rules is required by March 1, 2012. 2006: approved these rules into the Missouri These revised requirements are based • Flexible Packaging Printing Materials SIP as RACT for the 1-hour ozone on and consistent with the following CTG documents issued by EPA since 3. 10 CSR 10–5.442 Lithographic standard. In its June 1, 2011, submittal Printing Operations to EPA, MDNR reviewed all of the St. 2006: Louis area VOC rules and certified that • Flat Wood Paneling Coatings This rule amendment adds specific they still satisfy RACT requirements for • Paper, Film, and Foil Coatings emission limits of VOCs for both offset lithographic and letterpress printing the 8-hour ozone standard by the • Miscellaneous Industrial Adhesives application of control technology that is • operations in the St. Louis ozone Large Appliance Coatings nonattainment area. The rule also reasonably available considering • Metal Furniture Coatings technological and economic feasibility. lowers the applicability limit and adds • Miscellaneous Metal and Plastic Parts EPA is proposing to approve this letterpress printing as a new category. Coatings These changes are intended to make the certification in today’s rulemaking. • Automobile and Light-Duty Truck limits consistent with the current B. CTGs Issued After 2006 Assembly Coatings Federal RACT CTGs. Compliance with With respect to addressing CTGs The revisions to this rule either create these rules is required by March 1, 2012. issued by EPA after 2006, Missouri new source categories that are subject to These revised requirements are based submitted three revised rules to EPA for VOC limits (the first three CTG source on and consistent with the following inclusion into the Missouri SIP. EPA categories on this list) or strengthen CTG document issued by EPA since has reviewed these new VOC rule limits that are already existing for other 2006: revisions with respect to the RACT source categories (the last four CTG • Lithographic Printing and Letterpress requirements and the recommendations source categories on this list). The rule Printing Materials in the new CTGs and proposes to find revisions also specify work practices for 4. 10 CSR 10–5.455 Solvent Cleanup that these revisions meet RACT. A brief sources that are subject to this rule. description of the VOC rules that are Operations proposed for approval in this action is 2. 10 CSR 10–5.340 Rotogravure and At this time, Missouri has not provided below. Flexographic Printing submitted this proposed rule revision to 1. 10 CSR 10–5.330 Industrial Surface This rule amendment adds specific EPA for approval into the Missouri SIP. Coating Operations limits of VOCs for flexible package However, in a letter dated September printing operations in the St. Louis 30, 2011, Missouri has committed to This rule amendment exempts ozone nonattainment area. The rule submit this rule to EPA by December 31, facilities that are regulated under other amendment will add stricter emission 2012 for inclusion into the SIP. The rules that limit emissions of VOCs and limits and lower applicability limits, as intent of this rule is to reduce the VOC incorporates changes in RACT for well as add flexible package printing emissions from industrial cleaning surface coating operations in the St. presses as a source subcategory. These operations that use organic solvents. changes are intended to make the limits The rule amendment will lower the 4 At this time, Missouri has not submitted this rule revision to EPA for inclusion into the SIP. consistent with the current federal allowable emissions threshold for VOCs However, as discussed previously, Missouri has RACT CTGs. Compliance with these released per day from the use, storage committed to doing so by December 31, 2012. rules is required by March 1, 2012. and disposal of industrial cleaning

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solvents. It will also add requirements Missouri has made a negative VI. Statutory and Executive Order for facilities that have VOC emission declaration that there are no applicable Reviews levels that exceed the threshold, sources of VOC located in the St. Louis Under the CAA, the Administrator is including placing limitations on the portion of the ozone nonattainment area required to approve a SIP submission VOC content of the cleaning materials. for the following CTG categories that complies with the provisions of the C. Non-CTG Major Stationary Sources identified by EPA in CTG documents: Act and applicable Federal regulations. 1. Fiberglass Boat Manufacturing 42 U.S.C. 7410(k); 40 CFR 52.02(a). Major sources not subject to a specific Materials (EPA–453/R–08–004). Thus, in reviewing SIP submissions, CTG, but for which RACT is required, EPA’s role is to approve state choices, are referred to as non-CTG sources. 2. Shipbuilding and Ship Repair provided that they meet the criteria of Table 2 summarizes the Missouri’s VOC Operations (See 61 FR 44050). the CAA. Accordingly, this proposed rules that address non-CTG sources. All 3. Petroleum Refinery Equipment action merely approves state law as of these rules have previously been (EPA–450/2–78–036). meeting Federal requirements and does approved by EPA into the Missouri SIP. 4. Application of Agriculture Pesticides (EPA–453/R–92–011). not impose additional requirements beyond those imposed by state law. For TABLE 2—SUMMARY OF ST. LOUIS 5. Pneumatic Rubber Tires (EPA–450/ that reason, this proposed action: AREA NON-CTG VOC RACT RULES 2–78–030). • Is not a ‘‘significant regulatory 6. Natural Gas/Gasoline Processing action’’ subject to review by the Office Missouri State rule Plants (EPA–450/3–83–007). of Management and Budget under 10 CSR 10–5.360 Control of Emissions 7. Plywood Veneer Dryers (EPA–450/ Executive Order 12866 (58 FR 51735, From Polyethylene Bag Sealing Oper- 3–83–012). October 4, 1993); ations. • Does not impose an information 10 CSR 10–5.370 Control of Emissions E. Summary collection burden under the provisions From the Application of Deadeners and The purpose of Missouri’s RACT rules of the Paperwork Reduction Act (44 Adhesives. in the St. Louis area is to establish U.S.C. 3501 et seq.); • 10 CSR 10–5.450 Control of VOC Emis- reasonable controls on the emissions of Is certified as not having a sions From Traffic Coatings. ozone precursors. As new RACT rules significant economic impact on a 10 CSR 10–5.451 Control of Emissions substantial number of small entities From Aluminum Foil Rolling. have been added and other RACT rules 10 CSR 10–5.490 Municipal Solid Waste have been expanded with new source under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.); Landfills. categories or stricter limits, Missouri has • 10 CSR 10–5.520 Control of Volatile Or- continuously reviewed and updated its Does not contain any unfunded ganic Compound Emissions From Existing VOC rules in order satisfy all RACT mandate or significantly or uniquely Major Sources. requirements. Based on EPA’s review of affect small governments, as described 10 CSR 10–5.540 Control of Emissions Missouri’s submittal, EPA is proposing in the Unfunded Mandates Reform Act From Batch Process Operations. to find that for the CTG and non-CTG of 1995 (Pub. L. 104–4); • Does not have Federalism source categories included in this In particular, Missouri promulgated implications as specified in Executive rulemaking, Missouri has RACT-level 10 CSR 10–5.520 (Control of Volatile Order 13132 (64 FR 43255, August 10, Organic Compound Emissions from controls. 1999); Existing Major Sources). This generic V. Proposed Action • Is not an economically significant rule applies to all major sources of VOC regulatory action based on health or located in the St. Louis ozone In today’s rulemaking, EPA is safety risks subject to Executive Order nonattainment area that are not subject proposing several actions. First, with 13045 (62 FR 19885, April 23, 1997); to individual RACT rules and have the respect to Missouri’s VOC RACT rules • Is not a significant regulatory action potential to emit greater than 100 tons that EPA previously approved into subject to Executive Order 13211 (66 FR per year of VOCs. Sources subject to this Missouri’s SIP under the 1-hour ozone 28355, May 22, 2001); rule must submit a detailed engineering standard, EPA is proposing to approve • Is not subject to requirements of RACT proposal to MDNR for each VOC Missouri’s certification that these RACT Section 12(d) of the National emission unit at the facility. In its controls continue to represent RACT Technology Transfer and Advancement submittal to EPA, MDNR noted that in under the 8-hour ozone standard. Act of 1995 (15 U.S.C. 272 note) because the St. Louis ozone nonattainment area, Second, EPA is proposing to approve application of those requirements would no sources have been identified that are revisions to three of Missouri’s VOC be inconsistent with the Clean Air Act; subject to this generic RACT rule. rules (10 CSR 10–5.330; 10 CSR 10– and Therefore, the State believes that the 5.340; 10 CSR 10–5.442) into Missouri’s • Does not provide EPA with the requirements of section 182(b)(2)(C) SIP, as these rules satisfy RACT for the discretionary authority to address, as have been met.5 Missouri portion of the St. Louis appropriate, disproportionate human nonattainment area. Third, pursuant to health or environmental effects, using D. Negative Declarations CAA section 110(k)(4), EPA is proposing practicable and legally permissible In addition, the June 1, 2011, to conditionally approve the Missouri methods, under Executive Order 12898 submittal from MDNR also states that SIP revisions that addresses the (59 FR 7629, February 16, 1994). requirements of RACT under the 8-hour In addition, this rule does not have 5 We note that other regulatory mechanisms ozone NAAQS. Missouri would have up tribal implications as specified by within the CAA affect sources in the St. Louis to twelve months from the date of EPA’s Executive Order 13175 (65 FR 67249, ozone nonattainment area, such as Maximum Achievable Control Technology (MACT), New final conditional approval of the SIP November 9, 2000), because the SIP is Source Performance Standards (NSPS), and revisions in which to revise its rules to not approved to apply in Indian country National Emission Standards for Hazardous Air be consistent with the CAA. This located in the State, and EPA notes that Pollutants (NESHAPS). Because these standards are conditional approval shall be treated as it will not impose substantial direct generally more stringent than RACT, emission sources subject to these standards were determined a disapproval if Missouri fails to comply costs on tribal governments or preempt to also fulfill RACT requirements. with this commitment. tribal law.

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List of Subjects in 40 CFR Part 52 incorporate information that we receive recovery_plan/880524.pdf), but it did Environmental protection, Air after the above requested date. We must not quantify criteria for downlisting or pollution control, Incorporation by receive requests for public hearings, in delisting due to a lack of knowledge reference, Intergovernmental relations, writing, at the address shown in FOR about the species (Service 1988, p. 14). Nitrogen dioxide, Reporting and FURTHER INFORMATION CONTACT by Threats identified in the recovery plan recordkeeping requirements, Volatile December 9, 2011. were the small number of individuals, organic compounds. ADDRESSES: Electronic copies of the the restricted distribution, the low 2003 proposed delisting of the plant reproductive potential, and the impacts Dated: October 17, 2011. Frankenia johnstonii (Johnston’s of heavy grazing and land management Karl Brooks, frankenia), comments received on that practices, such as road construction or Regional Administrator, Region 7. proposal, and the Draft Post-Delisting maintenance and bulldozing of woody [FR Doc. 2011–27601 Filed 10–24–11; 8:45 am] Monitoring Plan for Frankenia vegetation (Service 1988, p. 11). BILLING CODE 6560–50–P johnstonii can be obtained from the Web Since the recovery plan was sites http://www.regulations.gov or completed, our knowledge of F. http://www.fws.gov/southwest/es/ johnstonii has greatly increased. Based DEPARTMENT OF THE INTERIOR Library/. Also, you may submit on what we learned about the species’ comments and information by one of the known range, the number of newly Fish and Wildlife Service following methods: discovered populations, the life history • Federal eRulemaking Portal: http:// requirements of this species, 50 CFR Part 17 www.regulations.gov. In the box that clarification of the degrees of threats, reads ‘‘Enter Keyword or ID,’’ enter the and the protection offered by several [Docket No. FWS–R2–ES–2011–0084; landowners who control those 92220–1113–0000; ABC Code: C6] Docket number for this finding, which is FWS–R2–ES–2011–0084 . Choose the populations, we proposed delisting the RIN 1018–AH53 Action that reads ‘‘Submit a Comment.’’ F. johnstonii on May 22, 2003 (68 FR Please ensure that you have found the 27961), due to recovery. Please see the Endangered and Threatened Wildlife May 22, 2003 (68 FR 27961), proposed and Plants; Delisting of the Plant correct rulemaking before submitting your comment. delisting rule (also posted on our Web Frankenia johnstonii (Johnston’s • sites) for a detailed analysis of factors frankenia) U.S. mail or hand-delivery: Public Comments Processing, Attn: FWS–R2– affecting the species. Because of the amount of time that has lapsed since the AGENCY: Fish and Wildlife Service, ES–2011–0084; Division of Policy and Interior. Directives Management; U.S. Fish and 2003 delisting proposal, we are reopening the public comment period ACTION: Wildlife Service; 4401 N. Fairfax Drive, Proposed rule; notice of for that proposal, and inviting comment document availability. MS 2042–PDM; Arlington, VA 22203. We will post all comments and on new information presented in this SUMMARY: We, the U.S. Fish and information we receive on http:// announcement as well as on the draft Wildlife Service (Service), notify the www.regulations.gov. This generally post-delisting monitoring plan for public that we are reopening the means that we will post any personal Johnston’s frankenia (Frankenia johnstonii). comment period on the May 22, 2003, information you provide us (see the proposed rule to remove the plant Public Comments section below for Background Frankenia johnstonii (Johnston’s more details). In this document, we will only frankenia) from the List of Endangered FOR FURTHER INFORMATION CONTACT: discuss new information pertinent to and Threatened Plants (List) under the Michelle Shaughnessy, Assistant the proposed delisting of Frankenia Endangered Species Act of 1973, as Regional Director, Ecological Services, johnstonii. For a more detailed amended (Act). Comments submitted Southwest Regional Office, P.O. Box description of F. johnstonii, its current during the 2003 comment period will be 1306, Albuquerque, NM 87103, by status and its threats, please refer to the considered and do not need to be telephone (505–248–6671), or by May 23, 2003, proposed rule to delist resubmitted now. However, we invite facsimile (505–248–6788). If you use a the species (68 FR 27961 and posted on comments on the new information telecommunications device for the deaf our Web sites with this docket; see presented in this announcement (TDD), please call the Federal ADDRESSES above) and the recovery plan relevant to our consideration of the Information Relay Service (FIRS) at (http://ecos.fws.gov/docs/ status of F. johnstonii. We encourage 800–877–8339. recovery_plan/880524.pdf). those who may have commented SUPPLEMENTARY INFORMATION: At the time of listing F. johnstonii, 5 previously to submit additional populations were known, 4 in Texas comments, if appropriate, in light of this Previous Federal Actions and 1 in Mexico, and the total number new information. We are also making Frankenia johnstonii was listed of individual plants was estimated to be available for public review the Draft August 7, 1984 (49 FR 31418), as an approximately 1,500. Threats to the Post-Delisting Monitoring Plan for F. endangered species under the species at the time of listing were johnstonii. Endangered Species Act of 1973, as considered to be small number of DATES: To ensure that we are able to amended (16 U.S.C. 1531 et seq.). At the plants, their restricted distribution, the consider your comments and time F. johnstonii was listed, we impacts of grazing on them, and low information, we request that we receive determined that designation of critical reproductive potential (49 FR 31418). them no later than December 27, 2011. habitat was not prudent because if The May 22, 2003 (68 FR 27961), Please note that, if you are using the localities were published in the Federal proposal to remove Frankenia Federal eRulemaking Portal (see Register, the species might be johnstonii from the List of Endangered ADDRESSES, below), the deadline for additionally threatened by taking and and Threatened Plants was based on submitting an electronic comment is vandalism. A recovery plan was results of field work conducted between Eastern Standard Time on this date. We completed for F. johnstonii in 1988 1993 and 1999 that included extensive may not be able to address or (http://ecos.fws.gov/docs/ population surveys, landowner

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outreach, and biological and ecological determine that the species is not in unequivocal, as is now evident from research. The culmination of these danger of extinction throughout all or a observations of increases in global efforts showed F. johnstonii to be much significant portion of its range, nor is it average air and ocean temperatures, more widespread and abundant than likely to become in danger of extinction widespread melting of snow and ice, was known at the time of listing within the foreseeable future throughout and rising global average sea level.’’ The (Janssen 1999, pp. 5–160). Research all or a significant portion of its range. average Northern Hemisphere results also helped to alleviate concerns During the comment period following temperatures during the second half of about threats associated with the the May 23, 2003, proposed rule to the 20th century were very likely higher species’ low reproductive potential and delist the species (68 FR 27961), we than during any other 50-year period in competition from nonnative, invasive received comments from four the last 500 years and likely the highest grasses (Janssen 1999, pp. 161–166, independent biologists with expertise in in at least the past 1,300 years (IPCC 208–212). In addition, the Texas Parks the ecology of Frankenia johnstonii. The 2007, p. 5). It is very likely that over the and Wildlife Department had already comments from those peer reviewers past 50 years, cold days, cold nights, negotiated signed, voluntary will be considered and incorporated as and frosts have become less frequent conservation agreements with private appropriate into our final determination over most land areas, and hot days and landowners that helped to ensure on the status of the species. In addition, hot nights have become more frequent habitat integrity for a number of the we will also request peer review of the (IPCC 2007, p. 8). Data suggest that heat populations into the future. Since 2003 draft post-delisting monitoring plan. waves are occurring more often over several other landowners have signed New Information most land areas, and the frequency of agreements as well. heavy precipitation events has increased Frankenia johnstonii is endemic to The majority of relevant information over most areas (IPCC 2007, pp. 8, 15). Webb, Zapata, and Starr Counties in that has become available since our The IPCC (2007, pp. 12, 13) predicts that southern Texas and an adjacent area in 2003 proposal to delist Frankenia changes in the global climate system northeastern Mexico. The range of F. johnstonii has resulted from additional during the 21st century will very likely johnstonii in Texas is currently surveys that documented new be larger than those observed during the estimated at approximately 2,031 square populations (Price et al. 2006, pp. 1–3; 20th century. For the next 2 decades a miles (5,260 square kilometers), Janssen 2007, pers. comm.). From 2003 warming of about 0.2 °C (0.4 °F) per extending from northwestern Webb to 2006, Price et al. (2006, pp. 1–3) decade is projected (IPCC 2007, p. 12). County on the north, to central Starr surveyed for several rare south Texas In addition, Seager et al. (2007, p. County at the species’ most southern plants, including F. johnstonii. 1181) showed that there is a broad distribution point (Janssen 1999, p. 4; Additional F. johnstonii populations consensus among climate models that Price et al. 2006, pp. 2–3). The results were located in Webb, Zapata, and Starr southwestern North America will get of status surveys have dramatically Counties, Texas, although drier in the 21st century and that the increased the known numbers of measurements of these populations, transition to a more arid climate is individual plants, from approximately including areal extent and numbers of already under way. Only 1 of 19 models 1,500 at the time of listing in 1984 to plants, were not collected (Price et al. has a trend toward a wetter climate in greater than 4 million in 1999 (Janssen 2006, p. 10 in Attachment B and pp. 2– the Southwest (Seager et al. 2007, p. 1999, pp. 5–160). Based on earlier 5 in Attachment C). Subsequently, G. 1181). A total of 49 projections were reviews of Janssen’s 1999 data, we Janssen conducted a 2007 survey on a created using the 19 models, and all but initially estimated the number of ranch in southern Starr County, north of 3 predicted a shift to increasing aridity individuals around 9 million and stated Escobares, where new populations of F. (dryness) in the Southwest as early as this in the 2003 proposed rule (68 FR johnstonii were documented (Janssen 2021 to 2040 (Seager et al. 2007, p. 27961). However, after more thorough 2007, pers. comm.). Also, The Nature 1181). These research results indicate review of Janssen’s 1999 data, we Conservancy (TNC) conducted surveys that southwestern North America can be estimate the number of individual on a Webb County ranch (adjacent to the expected to be hotter and drier in the plants to have been greater than 4 most northern known population) in future. million at that time (Janssen 1999, pp. 2007, where new populations of F. Nevertheless, we believe that 5–160). In addition, 58 U.S. populations johnstonii were also found (Janssen increasing global temperatures and were reported in 1999 (Janssen 1999, p. 2010, pp. 5–6). Adding these newly drought conditions will likely have little 8). Additional populations have been documented populations to those impact on Frankenia johnstonii because discovered subsequently. described in Janssen’s 1999 report this species is well adapted to the warm, For a summary of factors affecting the brings the total number of known arid landscape of south Texas. In fact, species, please refer to the May 23, populations in Texas to approximately it may be reasonable to assume that 2003, proposed rule to delist the species 84, depending on whether some climate change may actually benefit F. (68 FR 27961). We conclude that new occurrences constitute separate johnstonii by making the landscape data have clarified the significance of populations or are instead scattered more arid, thus reducing competition threats to the species, and several large subpopulations of one or more with other less physiologically adapted populations are now covered under metapopulations. plants. However, we lack sufficient signed voluntary conservation Beyond documenting new certainty to know specifically how agreements with Texas Parks and populations, climate change was not climate change will affect the species. Wildlife Department or under analyzed in the 2003 proposal to delist. We have not identified, nor are we conservation management agreements Although climate change may be a aware of, any data on an appropriate between the landowner and the Nature concern for many sensitive species, we scale to evaluate habitat or population Conservancy of Texas. Taken together do not believe it will have much of an trends for the F. johnstonii within its this information leads to the conclusion impact on Frankenia johnstonii either range, or to make predictions on future that the potential impacts due to now or into the foreseeable future. trends and whether the species will destruction or modification of habitat According to the Intergovernmental actually be impacted. We lack are significantly reduced. After Panel on Climate Change (IPCC 2007, p. predictive local or regional models on reviewing the status of the species, we 5), ‘‘Warming of the climate system is how climate change will specifically

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affect the F. johnstonii or its habitat, and Department of Transportation. The PDM American Tribes, the scientific we have no certainty regarding the plan is designed to verify that F. community, industry, and any other timing, magnitude, or effects of impacts. johnstonii remains secure from risk of interested parties. We request comments Therefore, based on the best available extinction after removal from the list of or suggestions on our May 22, 2003 (68 information, we do not consider climate endangered species. With this notice, FR 27961), proposal to delist the F. change to be a threat to the F. johnstonii we are soliciting public comments and johnstonii, on the new information now or in the foreseeable future. peer review on the draft PDM plan. All presented in this Federal Register In summary, based on our analysis of comments on the draft PDM plan from notice, on the draft post-delisting the new information that has become the public and peer reviewers will be monitoring plan for F. johnstonii, and available since our original 2003 considered and incorporated into the on any other information. Specifically, proposal to delist Frankenia johnstonii, final PDM plan as appropriate. we seek information on: we continue to believe that the data The following is a brief summary of (1) The species’ biology, range, and supporting the original classification the draft PDM plan. Please see the plan, population trends, including: were incomplete and that new data have available at http://www.fws.gov/ (a) Life history, ecology, and habitat clarified the significance of threats to southwest/es/Library/or http:// use of the F. johnstonii; the species. Moreover, the signing of www.regulations.gov, for more details. (b) Range, distribution, population voluntary conservation agreements or In essence, the PDM plan for the size, and population trends; conservation management agreements Frankenia johnstonii will be (c) Positive and negative effects of for a number of populations indicates implemented for 9 years, and will current and foreseeable land landowner interest in conservation of include habitat evaluation using remote management practices on F. johnstonii, the species and their intent to protect sensing of 20 populations and on-site including conservation efforts. the species and its habitat has monitoring of 10 populations. Habitat (2) The factors, as detailed in the May significantly reduced potential impacts assessments with remote sensing will 22, 2003 (68 FR 27961), that are the due to destruction or modification of occur about every 2 or 3 years, basis for making a listing/delisting/ habitat. After reviewing the status of the depending on when updated aerial downlisting determination for a species species, we determine that the species is photography is available. Onsite under section 4(a) of the Endangered not in danger of extinction throughout assessments will be conducted in the Species Act of 1973, as amended (Act) all or a significant portion of its range, fall every 3 years for a total of three (16 U.S.C. 1531 et seq.), which are: nor is it likely to become in danger of visits during the 9-year PDM period. (a) The present or threatened extinction within the foreseeable future Potential impacts to the species are destruction, modification, or throughout all or a significant portion of habitat loss from vegetation clearing curtailment of its habitat or range; its range. associated with construction of roads (b) Overutilization for commercial, and buildings for residential and recreational, scientific, or educational Post-Delisting Monitoring Plan commercial development, and clearing purposes; Section 4(g)(1) of the Act requires us, and construction associated with oil and (c) Disease or predation; in cooperation with the States, to gas development (seismic exploration (d) The inadequacy of existing implement a monitoring program for not and road, pipeline, and well pad regulatory mechanisms; or less than 5 years for all species that have construction). A site visit will be (e) Other natural or manmade factors been recovered and delisted (50 CFR triggered from remote sensing analysis affecting its continued existence. 17.11, 17.12). The purpose of this post- when a 30 percent loss of habitat is (3) The draft post-delisting monitoring delisting monitoring (PDM) is to verify detected within any monitored polygon plan. that the species remains secure from when compared to 2008 baseline data. You may submit your information risk of extinction after it has been A second way to trigger site visits is if concerning this status review by one of removed from the protections of the Act. the overall area being assessed shows a the methods listed in ADDRESSES. If you The PDM is designed to detect the habitat loss of 30 percent or more submit information via http:// failure of any delisted species to sustain compared to the 2008 baseline. www.regulations.gov, your entire itself without the protective measures If onsite monitoring reveals any cause submission—including any personal provided by the Act. If, at any time for concern, such as reduced numbers of identifying information—will be posted during the monitoring period, data plants or decreased extent of a on the Web site. If you submit a indicate that protective status under the population, a more comprehensive hardcopy that includes personal Act should be reinstated, we can initiate ground assessment of the monitored identifying information, you may listing procedures, including, if populations, or addition of extra request at the top of your document that appropriate, emergency listing under monitoring sites, may be necessary. If we withhold this personal identifying section 4(b)(7) of the Act. Section 4(g) of monitoring concerns become information from public review. the Act explicitly requires cooperation sufficiently high, we will conduct a full However, we cannot guarantee that we with the States in development and status review of the species to determine will be able to do so. We will post all implementation of PDM programs, but if relisting is warranted. hardcopy submissions on http:// we remain responsible for compliance www.regulations.gov. with section 4(g) and, therefore, must Public Comments Information and supporting remain actively engaged in all phases of We intend that any final action documentation that we received and PDM. We also seek active participation resulting from this proposal will be used in preparing this proposal and of other entities that are expected to based on the best scientific and other listing determinations for the assume responsibilities for the species’ commercial data available and will be as species, will be available for you to conservation post-delisting. accurate and effective as possible. To review at http://www.regulations.gov, or The Service has developed a draft ensure our determination is based on you may make an appointment during PDM plan for Frankenia johnstonii in the best available scientific and normal business hours at the Service’s cooperation with the TPWD, U.S. commercial information, we request Southwest Regional Office, Ecological International Boundary and Water information on the Frankenia johnstonii Services Division (see FOR FURTHER Commission, TNC, and the Texas from governmental agencies, Native INFORMATION CONTACT).

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If you submitted comments or Shrimp, and Coral and Coral Reefs (IRFA), and a regulatory impact review, information previously on the May 22, Fishery Management Plans for the Gulf may be obtained from the Southeast 2003, proposed rule (68 FR 27961), of Mexico (FMPs) as prepared and Regional Office Web Site at http:// please do not resubmit them. These submitted by the Gulf of Mexico Fishery sero.nmfs.noaa.gov. comments have been incorporated into Management Council (Council). If FOR FURTHER INFORMATION CONTACT: Rich the public record and will be fully implemented, this rule would allow Malinowski, Southeast Regional Office, considered in the preparation of our management of selected species by other NMFS, telephone 727–824–5305; final determination. Federal and/or state agencies; remove e-mail: [email protected]. The Service will finalize a new listing species not currently in need of Federal SUPPLEMENTARY INFORMATION: determination after we have completed management from the FMPs; develop The our review of the best available species groups; modify framework fisheries for reef fish, red drum, shrimp, scientific and commercial information, procedures; establish annual catch and coral and coral reefs of the Gulf of including information and comments limits (ACLs); and establish Mexico (Gulf) are managed under their submitted during this comment period. accountability measures (AMs). The respective FMPs. The FMPs were intent of this rule is to specify ACLs for prepared by the Council and are References Cited species not undergoing overfishing implemented through regulations at 50 A complete list of references cited is while maintaining catch levels CFR part 622 under the authority of the available on the Internet at http:// consistent with achieving optimum Magnuson-Stevens Fishery www.regulations.gov and upon request yield (OY) for the resource. Conservation and Management Act (Magnuson-Stevens Act). from the Service’s Southwest Regional DATES: Written comments must be Office, Ecological Services (see FOR received on or before November 18, Background FURTHER INFORMATION CONTACT). 2011. The 2006 revisions to the Magnuson- Author ADDRESSES: You may submit comments Stevens Act require that by 2011, for The primary author of this notice is on the proposed rule identified by fisheries determined by the Secretary of staff of the Service’s Southwest Regional ‘‘NOAA–NMFS–2011–0143’’ by any of Commerce (Secretary) to not be subject Office, Ecological Services (see FOR the following methods: to overfishing, NMFS establish ACLs • FURTHER INFORMATION CONTACT). Electronic submissions: Submit and AMs at a level that prevents electronic comments via the Federal overfishing and helps to achieve OY. Authority e-Rulemaking Portal: http:// This mandate is intended to ensure The authority for this action is the www.regulations.gov. Follow the fishery resources are managed for the Endangered Species Act of 1973, as instructions for submitting comments. greatest overall benefit to the nation, amended (16 U.S.C. 1531 et seq.). • Mail: Rich Malinowski, Southeast particularly with respect to providing Regional Office, NMFS, 263 13th food production and recreational Dated: October 12, 2011. Avenue South, St. Petersburg, FL 33701. opportunities, and protecting marine Gregory E. Siekaniec, Instructions: All comments received ecosystems. Acting Director, U.S. Fish and Wildlife are a part of the public record and will Service. generally be posted to http:// Management Measures Contained in [FR Doc. 2011–27372 Filed 10–24–11; 8:45 am] www.regulations.gov without change. This Proposed Rule BILLING CODE 4310–55–P All Personal Identifying Information (for By removing selected stocks from example, name, address, etc.) certain FMPs, this rule would defer to voluntarily submitted by the commenter other entities management of those DEPARTMENT OF COMMERCE may be publicly accessible. Do not stocks. The rule would also remove 10 submit Confidential Business species that do not require conservation National Oceanic and Atmospheric Information or otherwise sensitive or and management from the Reef Fish Administration protected information. FMP; create and revise the species To submit comments through the groupings for reef fish; modify the 50 CFR Part 622 Federal e-Rulemaking Portal: http:// framework procedures; and establish [Docket No. 100217097–0101–01] www.regulations.gov, click on ‘‘submit a ACLs and AMs for the required species comment,’’ then enter ‘‘NOAA–NMFS– within the Generic ACL Amendment. RIN 0648–AY22 2011–0143’’ in the keyword search and Defer to Other Entities Management of click on ‘‘search.’’ To view posted Fisheries of the Caribbean, Gulf of Selected Stocks Mexico, and South Atlantic; Generic comments during the comment period, Some stocks currently managed by Annual Catch Limits/Accountability enter ‘‘NOAA–NMFS–2011–0143’’ in FMPs are uncommon in Gulf Federal Measures Amendment for the Gulf of the keyword search and click on waters. These stocks are also primarily Mexico ‘‘search.’’ NMFS will accept anonymous comments (enter N/A in the required harvested within areas under the AGENCY: National Marine Fisheries field if you wish to remain anonymous). jurisdiction of the South Atlantic Service (NMFS), National Oceanic and You may submit attachments to Fishery Management Council (South Atmospheric Administration (NOAA), electronic comments in Microsoft Word, Atlantic Council). National Standard 7 Commerce. Excel, WordPerfect, or Adobe PDF file of the Magnuson-Stevens Act states that, ACTION: Proposed rule; request for formats only. to the extent practicable, conservation comments. Comments through means not and management measures shall avoid specified in this rule will not be unnecessary duplication. The proposed SUMMARY: NMFS proposes regulations to accepted. rule would remove Nassau grouper from implement the Generic Annual Catch Electronic copies of the Generic ACL the Reef Fish FMP, and the Council will Limits/Accountability Measures Amendment, which includes a final request that the Secretary designate the Amendment (Generic ACL Amendment) environmental impact statement (FEIS), South Atlantic Council as the to the Reef Fish Resources, Red Drum, an initial regulatory flexibility analysis responsible council for Nassau grouper.

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If this provision of the Generic ACL caught species because individual single apportion those overarching ABCs Amendment is approved and the South species information is often insufficient. between them. This proposed rule Atlantic Council is designated as the This rule would modify existing species would establish commercial and lead council, the South Atlantic Council groupings and create the following recreational harvest allocations for black will need to amend its Snapper-Grouper additional groupings: other SWG (black grouper for the Gulf based upon FMP to extend authority over Nassau grouper, scamp, yellowmouth grouper, historical landings. grouper into Gulf Federal waters. Given and yellowfin grouper); DWG (warsaw The ACLs to be implemented have the time necessary to implement these grouper, snowy grouper, speckled hind, been developed based upon the measures, NMFS intends to delay the and yellowedge grouper); tilefishes Magnuson-Stevens Act National effective date for removing the (golden tilefish, blueline tilefish, and Standards 1 guidelines that state that prohibition on the harvest of Nassau goldface tilefish); jacks (almaco jack, the Council must establish an ABC grouper until the South Atlantic Council banded rudderfish, and lesser control rule based on scientific advice has implemented the changes to the amberjack); and mid-water snapper (silk from the Council’s Scientific and Snapper-Grouper FMP. This delay will snapper, wenchman, blackfin snapper, Statistical Committee (SSC). prevent any lapse in the protective and queen snapper). Additionally, the ABC should be based, regulations necessary for the species. when possible, on the probability that Modification of Generic Framework Similarly, the rule would remove an actual catch equal to the stock’s ABC Procedures octocorals from the Coral and Coral would not result in overfishing. The Reefs FMP. Most octocorals are To facilitate timely adjustments to Council selected the ABC control rule harvested in waters under the harvest parameters and other based upon SSC recommendations to jurisdiction of the South Atlantic management measures, the Council has use varying levels of scientific Council, which will continue to manage added the ability to adjust ACLs and uncertainty in setting the ACL. octocorals in their region. Octocorals AMs, and to establish and adjust annual Standard methods for determining the harvested in the Gulf are primarily target catch (ACT) levels, to the current appropriate ABC allow the Council’s taken in Florida state waters; Florida framework procedures. These SSC to determine an objective and manages octocorals in its state waters, adjustments or additions may be efficient assignment of ABC at or less and has notified the Council that it will accomplished through a regulatory than the overfishing limit (OFL). The assume management of octocorals in amendment which is less time-intensive SSC’s selection of an ABC takes into Gulf Federal waters as well. than an FMP amendment. By including account scientific uncertainty regarding ACLs, AMs, and ACTs in the framework the harvest levels that would lead to Removal of Stocks From Reef Fish procedures, the Councils and NMFS overfishing. The quality and quantity of Fishery Management Plan would have the flexibility to more landings information varies according to Approximately 50 species of fish are promptly alter those harvest parameters the stock in question, thus separate under consideration for management as new scientific information becomes control rules are needed for data- actions in the Generic ACL Amendment. available. The proposed addition of adequate and data-poor stocks. In some Many uncommonly harvested species other management options into the cases, the nature of the fishery or other were originally placed in fishery framework procedures would also add management considerations may require management plans for data monitoring flexibility and the ability to more timely a separate control rule for a given stock. purposes, rather than because they were respond to certain future Council The default buffer level for each stock considered to be in need of Federal decisions through the framework is to set the ABC at 75 percent of the management. This rule would remove procedures. OFL unless a different risk level is 10 of the less frequently landed species determined by the Council. The Generic Specification of ACLs in the Reef Fish FMP, because the ACL Amendment describes the process Council determined these species are This rule would establish 13 initial by which the ABC would be established not in need of Federal management. ACLs for 26 species or species groups, for the applicable species. Species proposed for removal include 8 ACLs for individual species, and 5 Under the Magnuson-Stevens Act, those species for which average ACLs for stock complexes. Individual ACTs are optional management targets landings are less than 15,000 lb (6,804 ACLs would be established for intended to help constrain harvest to kg) annually, or that are harvested vermilion snapper, lane snapper, gray levels so that the ACL is not exceeded. primarily in state waters, and include: snapper, hogfish, cubera snapper, Establishing control rules for setting anchor tilefish, misty grouper, sand mutton snapper, yellowtail snapper, and these catch levels would provide perch, dwarf sand perch, blackline royal red shrimp. Species complex guidance to the Council on setting an tilefish, schoolmaster, red hind, rock ACLs would be established for deep- objective and efficient assignment of hind, dog snapper, and mahogany water grouper, other shallow-water ACLs that takes into account the snapper. grouper, tilefishes, jacks, and mid-water potential for management uncertainty. snappers. Additionally, the ACL for the As with the ABC control rule, different Species Groupings other SWG complex would be revised. levels of landings information about In some cases, groups of stocks share The rule would also establish catch levels and management of stocks a common habitat and are caught with allowable biological catch (ABC) limits may require separate control rules for the same gear in the same area at the in the Gulf Council’s area of jurisdiction data-adequate and data-poor stocks. The same time. Some species groupings, for several species managed separately ACT control rule was also developed by such as shallow-water grouper (SWG), by both the Gulf and South Atlantic the SSC and provided to the Council. It deep-water grouper (DWG), and Councils, but for which only single uses assessment information and tilefishes, are already managed in in stock assessments, and single ABCs characterization of uncertainty to Gulf Federal water. The Council covering both Council’s areas of develop a percentage for calculating the determined that grouping together jurisdiction, were provided. Based on ACT from the ACL. There are nine ACTs species with similar fishery historical landings and that would be established through this characteristics would allow for more recommendations from their respective rule. National Standard 1 guidelines effective management of those lesser SSC’s, the two councils have agreed to recommend that an ACT be used for

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stocks when in-season AMs are not reaches or is projected to reach the stock preamble and in the SUMMARY section of used. ACL, the commercial and recreational the preamble. A copy of the full analysis sectors would be closed for the is available from the Council (see Accountability Measures remainder of that fishing year. There is ADDRESSES). A summary of the IRFA Accountability measures (AMs) may no federally managed recreational sector follows. be used for both in-season and post- for royal red shrimp, so the ACL only The rule would remove octocorals season management of a stock to control applies to the commercial sector. The from the Coral and Coral Reefs FMP; or mitigate harvest levels with respect to AM for royal red shrimp would apply if remove Nassau grouper from the Reef the ACL. commercial landings exceed the ACL in Fish Fishery FMP; and remove species With the exception of royal red a given fishing year. In that case then that have average annual landings of shrimp, the stocks and stock complexes during the following fishing year, if the 15,000 lb (6,804 kg) or less or those that requiring AMs are in the reef fish commercial landings reach, or are are primarily harvested in state waters, fishery management unit. projected to reach, the ACL, the including anchor tilefish, blackline The reef fish species requiring AMs commercial sector would be closed for tilefish, red hind, rock hind, misty within the Generic ACL Amendment are the remainder of that fishing year. grouper, schoolmaster, dog snapper, and contained in two categories. The first In the case of vermilion snapper, in mahogany snapper, sand perch and category is for reef fish stocks and stock any fishing year, if the combined dwarf sand perch from the Reef Fish complexes where the commercial sector commercial and recreational landings Fishery FMP. The rule would also create is managed under the individual fishing reach or exceed the stock ACL during the additional species groups other quota (IFQ) program for Gulf groupers the fishing year, then both the shallow-water groupers (black grouper, and tilefishes, but the recreational sector commercial and recreational sectors scamp, yellowmouth grouper, and does not currently have an AM in place. would be closed for the remainder of yellowfin grouper), deep-water groupers For these species, a portion of the ACL that fishing year. (warsaw grouper, snowy grouper, has been apportioned to the commercial For stocks for which an ACL would be speckled hind, and yellowedge sector for IFQ allocation within the IFQ set through this rulemaking, none are grouper), tilefishes (golden tilefish, program. For species within the currently overfished, in a rebuilding blueline tilefish, and goldface tilefish), commercial sector of a Gulf IFQ plan, or undergoing overfishing. jacks (almaco jack, banded rudderfish, program, this rule would make the IFQ Therefore, there is a reduced likelihood and lesser amberjack), and mid-water program itself the AM for the an ACL would be exceeded. snapper (silk snapper, wenchman, commercial sector because commercial blackfin snapper, and queen snapper), landings are closely monitored and IFQ Species in the Amendment Without a without using any indicator species participants are limited to their specific Codified ACL or AM within each group. IFQ allocation each fishing year. Thus, The Generic ACL Amendment The rule would adopt an ABC control if the stock ACL were exceeded, the proposes to retain Federal management rule providing separate guidance in reason for the overage would be for, and keep within their respective setting ABC for Tier 1 species (assessed attributable to an excessive harvest by fishery management units, several stocks with estimates of MSY and the recreational sector. Therefore, this species that will not have specifically probability distribution around the rule would implement AMs for the codified ACLs and AMs. These species estimate), Tier 2 species (assessed stocks recreational sector in the event of a are red drum, goliath grouper, and without estimates of MSY or its proxy), stock ACL overage for the IFQ related corals (excluding octocorals). Harvesting Tier 3a (unassessed stocks but deemed species. The three stock complexes these species is currently prohibited in stable over time), and Tier 3b whose commercial sectors are managed Gulf Federal waters, and they therefore (unassessed stocks with current fishing under an IFQ program but whose have a functional ACL of zero. levels deemed by the SSC as not recreational sectors do not currently Additionally, the harvest prohibition sustainable). The rule would have AMs in place are tilefishes, other serves as a functional AM to manage the additionally establish an initial estimate SWG, and DWG. ACL. of ACL/ACT, based on a spreadsheet The second category of species or method and followed by a review by the species groups that would have AMs Classification Council’s Socioeconomic Panel, for implemented through this rule are those Pursuant to section 304(b)(1)(A) of the seven individual reef fish species species or species groups that do not Magnuson-Stevens Act, the NMFS (vermilion snapper, lane snapper, gray currently have AMs in place for either Assistant Administrator has determined snapper, hogfish, cubera snapper, the commercial or recreational sector. that this proposed rule is consistent mutton snapper, and yellowtail This rule would implement new ACLs with the Generic ACL Amendment, snapper) and five reef fish species and AMs in both sectors for the other provisions of the Magnuson- complexes (other shallow-water following: Vermilion snapper, lane Stevens Act, and other applicable law, grouper, deep-water grouper, tilefishes, snapper, mid-water snappers (silk subject to further consideration after jacks, and mid-water snappers). The snapper, wenchman, blackfin snapper, public comment. rule would also adopt a generic and queen snapper), mutton snapper, This proposed rule has been framework procedure by modifying yellowtail snapper, gray snapper, cubera determined to be not significant for existing framework procedures under snapper, hogfish, jacks (lesser purposes of Executive Order 12866. the Reef Fish, Gulf Shrimp, and Red amberjack, almaco jack, and banded NMFS prepared an IRFA for this rule, Drum Fishery FMPs and establishing a rudderfish), and royal red shrimp. as required by Regulatory Flexibility framework procedure for the Coral and For this second category of stocks, Act, 5 U.S.C. 603. The IRFA describes Coral Reefs FMP; and would specify an with the exception of royal red shrimp the economic impact that this rule, if ACL of 334,000 lb (151,500 kg) of tails and vermilion snapper, if a stock or adopted, would have on small entities. for royal red shrimp based on the stock complex exceeds its ACL in a A description of the rule, why it is being overfishing limit of 392,000 lb (177,808 given fishing year, then during the considered, and the objectives of, and kg) of tails as recommended by the SSC. following fishing year, if the sum of legal basis for the rule are contained at Moreover, the rule would establish commercial and recreational landings the beginning of this section in the the ABCs in the Gulf Council’s area of

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jurisdiction for several species managed royal red shrimp, red drum, or average charterboat is estimated to earn separately by both the Gulf and South octocorals in the Gulf. It should be approximately $88,000 (2008 dollars) in Atlantic Councils, but for which only noted that harvest and possession of red annual revenues, while the average single stock assessments, and single drum in the Gulf EEZ is currently headboat is estimated to earn ABCs covering both Council’s areas of prohibited. The Small Business approximately $461,000 (2008 dollars). jurisdictions, were provided. The Administration has established size Based on the foregoing revenue amendment would set the following criteria for all major industry sectors in estimates, all commercial and for-hire apportionment of those overarching the U.S. including fish harvesters and vessels expected to be directly affected ABC’s: 47 percent of the black grouper for-hire operations. A business involved by this rule are determined for the ABC for the South Atlantic Council and in fish harvesting is classified as a small purpose of this analysis to be small 53 percent for the Gulf Council; 75 business if it is independently owned business entities. Some fleet activity percent of the yellowtail snapper for the and operated, is not dominant in its (i.e., multiple vessels owned by a single South Atlantic Council and 25 percent field of operation (including its entity) may exist in the for-hire sector for the Gulf Council; 82 percent of the affiliates), and has combined annual but its extent is unknown, and all mutton snapper ABC for the South receipts not in excess of $4.0 million vessels are treated as independent Atlantic Council and 18 percent for the (NAICS code 114111, finfish fishing) for entities in this analysis. Gulf Council. The rule would also all its affiliated operations worldwide. Because all entities expected to be further allocate the Gulf Council’s black For for-hire vessels, all the above directly affected by this rule are small grouper ACL into 27 percent for the qualifiers apply except that the annual business entities, no disproportionate recreational sector and 73 percent for receipts threshold is $7.0 million effects on small entities relative to large the commercial sector; set annual ACLs (NAICS code 713990, recreational entities are expected because of this and optional ACTs based on the ACL/ industries). rule. ACT control rule, with ACL being equal In 2009, there were 999 vessels with Removing octocorals from the Coral to ABC, unless otherwise specified by Gulf commercial reef fish permits and and Coral Reefs FMP is mainly the Council. The rule would implement 430 vessels with Gulf royal red shrimp administrative in nature and would in-season AMs for vermilion snapper by permits. There is no entity possessing a have no direct effects on the closing the commercial and recreational Federal permit for harvesting red drum profitability of small business entities. or octocorals in the Gulf EEZ. Based on sectors when the stock ACL is reached Removing Nassau grouper from the Reef home states, as reported in Federal or projected to be reached within a Fish Fishery FMP, with eventual permit applications, vessels with fishing year; implement in-season AMs management of the species being commercial reef fish permits were for other reef fish species without an assumed by the South Atlantic Council, distributed as follows: 37 vessels in existing AM and royal red shrimp if the has no direct effects on the profits of Alabama, 814 vessels in Florida, 48 stock ACL is exceeded in the previous small entities, given the current vessels in Louisiana, 15 vessels in year; set the trigger for post-season AMs prohibition on the harvest of this when landings exceed the ACL without Mississippi, 77 vessels in Texas, and 8 species. Removing species from the Reef applying any overage adjustment to the vessels in other states. The Fish Fishery FMP which have average following year’s ACL. corresponding distribution of vessels The purpose of this rule is to with royal red shrimp permits is as annual landings of 15,000 lb (6,804 kg) implement the National Standard 1 follows: 57 vessels in Alabama, 65 or less (except those misidentified as guidelines to establish the methods for vessels in Florida, 88 vessels in another species or those exhibiting a implementing ACLs, AMs and Louisiana, 25 vessels in Mississippi, 152 trend landings that may indicate a associated parameters for stocks vessels in Texas, and 43 vessels in other change is status), or those mainly managed by the Gulf Council, along states. In 2008 and 2009, the maximum harvested in state waters, such as with initial specifications of an ACL annual commercial fishing revenue by anchor tilefish, blackline tilefish, red that may be changed under the an individual vessel with a commercial hind, rock hind, misty grouper, framework procedures for specifying an Gulf reef fish permit was approximately schoolmaster, dog snapper, mahogany ACL. Additionally, this rule is intended $606,000 (2008 dollars). The maximum snapper, sand perch, and dwarf sand to improve management capability to revenue by an individual vessel in the fish, would not directly change the prevent or end overfishing and to royal red shrimp or coral fisheries was current harvest or use of a resource, and maintain stocks at healthy levels, and to far less than $606,000. therefore would not affect the do so in a consistent and structured The for-hire fleet is comprised of profitability of small entities. Similarly, manner across all FMPs. charterboats, which charge a fee on a rearranging species into species The Magnuson-Stevens Act provides vessel basis, and headboats, which groupings would not directly change the the statutory basis for this rule. charge a fee on an individual angler current harvest or use of a resource, and The rule would not establish any new (head) basis. In 2009, there were 1,419 therefore would not affect the reporting or record-keeping for-hire vessels that were permitted to profitability of small entities. requirements. However, the AMs may operate in the Gulf reef fish fishery. The establishment of an ABC control constitute a new compliance These vessels were distributed as rule is not anticipated to directly affect requirement and are analyzed later in follows: 141 vessels in Alabama, 876 the harvest and other typical uses of the the IRFA. No duplicative, overlapping, vessels in Florida, 100 vessels in resource since this action is or conflicting Federal rules have been Louisiana, 52 vessels in Mississippi, 232 administrative in nature. As such, this identified for this rule. Management of vessels in Texas, and 18 vessels in other management action is not expected to certain species affected by this rule was states. The for-hire permit does not result in any direct effects on the profits developed with explicit consideration of distinguish between headboats and of small entities. applicable rules in the state of Florida charter boats, but in 2009 the headboat The establishment of an ACL/ACT and the South Atlantic Council. survey program included 79 headboats. control rule is an administrative action The rule is expected to directly affect The majority of headboats were located and would not affect the harvest and commercial harvesting and for-hire in Florida (43), followed by Texas (22), other customary uses of the resource. fishing vessels that harvest reef fish, Alabama (10), and Louisiana (4). The Therefore, this action has no direct

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consequence on the profitability of to which ACLs and ACTs under Four alternatives, including the small entities. consideration would affect the harvest preferred alternative, were considered Modifications to the framework or other customary uses of the resource. for the management of yellowtail procedure are also administrative in While this action does not set any reef snapper. The first alternative would nature. Since these modifications would fish species and stock groupings ACLs remove the species from the Gulf Reef not affect the harvest and other or ACTs for the recreational sector, Fish FMP. The second alternative would customary uses of the resource, they aggregate catch limits and targets and remove the species from the FMP, with would have no direct consequence on the ACLs and ACTs specified for the eventual management of the species the profitability of small entities. commercial sector would allow for an being the responsibility of the South Any management actions enacted increased harvest levels for both sectors. Atlantic Council. The third alternative through the modified framework Therefore, positive effects on the profits would add the species to a joint plan procedure would be evaluated as to of small entities would be expected to with the South Atlantic Council. Similar their effects on the profits of small result from this action in the near to the preferred no action alternative, entities at the time of their future. these three other alternatives would implementation. Initial ACL Specifying in-season AMs for have no effects on the profits of small specification for royal red shrimp would vermilion snapper when the ACL is entities. The second alternative would set the ACL for the species at 334,000 reached or projected to be reached mainly entail additional administrative lb tails (151,500 kg) which are within the fishing year would result in cost on the part of the South Atlantic significantly above the historical short-term negative effects on the profits Council. landings (138,116 lb (62,648 kg) in of small entities. The expectation, Four alternatives, including the 2008). This action, therefore, would not however, over the medium and long- preferred alternative, were considered affect harvests and profits of small term is for profits of these small entities for the management of mutton snapper. entities in the foreseeable future. to increase or at least not be further The first alternative would remove the Apportioning black grouper between impaired due to increased protection for species from the Gulf Reef Fish FMP. the Gulf and South Atlantic Council’s the stock. Implementing AMs for royal The second alternative would remove jurisdictional areas would result in an red shrimp and other reef fish species the species from the FMP, with eventual increase of profits (producer surplus) to that do not currently have AMs enacted management of the species being the the commercial sector ranging from the following year after their ACLs are responsibility of the South Atlantic approximately $90,000 to $113,000 exceeded would negatively affect the Council. The third alternative would annually for all vessels combined. The short-term profits of small entities. add the species to a joint plan with the effects on for-hire profits are expected to Again, the expectation is for this action South Atlantic Council. Similar to the be positive but cannot be quantified to improve medium and long-term preferred no action alternative, these with available information. The profitability. three other alternatives would have no apportionment of yellowtail snapper Three alternatives, including the direct effects on the profits of small between the Gulf and South Atlantic preferred alternative, were considered entities. The second alternative would Council’s jurisdictional areas is very for the management of octocorals. The mainly entail additional administrative close to the recent landings ratio of the first alternative, the no action cost on the part of the South Atlantic species between the two jurisdictional alternative, would retain the Council while the third alternative areas. Thus, this management action is management of species under the Gulf would entail additional administrative expected to have minimal effects on the Coral and Coral Reefs FMP. The second costs on both Councils. profits of small entities in both areas. alternative would remove the species Five alternatives, of which two are the The apportionment of mutton snapper from the FMP, with eventual preferred alternatives, were considered between the Gulf and South Atlantic management of the species being the for removing stocks from the Reef Fish Council’s jurisdictional areas would responsibility of the South Atlantic FMP. The first alternative, the no action favor the Gulf fishing fleet and thus Council. Similar to the preferred alternative, would not remove any would be expected to increase the alternative, these two other alternatives species from Gulf Reef Fish FMP. This profits of the Gulf fishing fleet. The would have no direct effects on the alternative would have no direct effects effects on the profits of the South profits of small entities. The second on the short-term profitability of small Atlantic fishing fleet would, in turn, alternative would mainly entail entities, but over time this is more likely decrease. In the absence of sufficient additional administrative cost on the to result in profit reduction than the information to quantify the effects of part of the South Atlantic Council. preferred alternative when certain this action, its net effects on the fishing Three alternatives, including the species with historically low landings fleets of both areas cannot be preferred alternative, were considered become subject to restrictive measures. determined. for the management of Nassau grouper. The second alternative would remove The apportionment of black grouper The first alternative, the no action species with average landings of in the Gulf between the commercial and alternative, would retain the 100,000 lb (45,359 kg) or below from the recreational sectors would tend to favor management of the species under the Reef Fish FMP, except for species that the commercial over the recreational Gulf Reef Fish FMP. The second are long-lived, may be misidentified as sector. In this sense, the commercial alternative would remove the species another species, or have trends in sector is expected to experience profit from the FMP, with eventual landings that may indicate a change in increases ranging from approximately management of the species being the status. This alternative would have no $11,000 to $14,000 annually for all responsibility of the South Atlantic direct short-term effects on profits of vessels combined. The negative effects Council. Similar to the preferred small entities, but with a relatively high on the for-hire fleet cannot be estimated alternative, these two other alternatives historical landings threshold certain with available information. Potential would have no direct effects on the species may not be well protected for effects on small entities anticipated profits of small entities. The second long-term sustainability. This could from the implementation of ACLs and/ alternative would mainly entail then eventually lead to lower harvest or ACTs for reef fish stocks and stock additional administrative cost on the and lower profits to small entities over groupings would depend on the extent part of the South Atlantic Council. time. The third alternative would

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remove species from the Reef Fish FMP the yield at 75 percent of FMSY (fishing Three alternatives, including the if Federal waters are at the edge of the mortality at maximum sustainable preferred alternative, were considered species distribution. This alternative yield). Although this alternative is for specifying ACL for royal red shrimp. would not directly affect the simpler than the preferred alternative, it The first alternative, the no action profitability of small entities, and could lacks the stock specificity contained in alternative, would not set an ACL for possibly have similar long-term effects the preferred alternative. the species. This alternative is the least as the preferred alternative. Five alternatives, including the likely to affect the profits of small Five alternatives, of which two with preferred alternative, were considered entities but it would not meet the legal one sub-alternative are the preferred for the ACL/ACT control rule. The first requirements for establishing an ACL by alternatives, were considered for species alternative, the no action alternative, 2011. The second alternative would set groupings. The first alternative, the no would not establish an ACL/ACT an ACL for the species based on average action alternative, would maintain the control rule. The second alternative landings from 1962–2008 (141,379 lb current species groupings. This would establish an initial estimate of (64,128 kg) of tails), from the last 5 years alternative would have no direct short- ACL/ACT based upon a flow chart (191,860 lb (87,026 kg) of tails), or from term economic effects on small entities. method that reviews data availability, the last 10 years (233,182 lb (105,770 kg) The second alternative would revise the data timeliness, and data quality to of tails). This alternative would likely species groupings by adding groupings develop the ACT buffer percentage, and result in a harvest reduction and profit when life history and landings data may followed by a review by the Council’s reduction as well, except when the ACL be too sparse to set individual catch Socioeconomic Panel. This alternative is set at the highest of the three sub- limits. Although this alternative would would have economic effects similar to options. Other sub-options would set have no direct consequence on the the preferred alternative, but it would the ACL equal to 75 percent of ABC economic status of small entities, it produce a less conservative buffer when (250,500 lb (113,625 kg)) or set the ACL would provide for a greater number of comparing stock complexes or stocks corresponding to the ACL/ACT control groupings. The third alternative would with high dead discard levels. rule. These sub-options would be use species groupings based on NMFS Therefore, this alternative may result in unlikely to result in short-term profit analysis, which uses fishery-dependent less adverse economic impacts in the reductions although they are more data from multiple sectors over multiple short term than the preferred restrictive than the preferred years and life history data when alternative. The third alternative would alternative/sub-alternative. available creating complexes and sub- set the buffer between ACL and ACT at Three alternatives, including the complexes. This alternative would have a fixed percentage of 25 percent for all preferred alternative, were considered no direct effects on the economic status sectors, 0 percent for IFQ (individual for establishing the Gulf portion of the of small entities, but it would provide fishing quota) fisheries and 25 percent jurisdictional apportionment of the for more groupings than the preferred for all other sectors, or 2 percent for IFQ black grouper ABC, as agreed upon by alternative. In addition to these fisheries and 25 percent for all other both councils. The first alternative, the alternatives, two other sub-alternatives sectors, and followed by a review by the no action alternative, would not were considered regarding the selection Council’s Socioeconomic Panel. This apportion the species ABC between the of an indicator species within each alternative may result in lower Gulf and South Atlantic Councils. This grouping, noting that the preferred sub- economic benefits than the preferred alternative would tend to maintain the option is not to use any indicator alternative, because it would establish distribution of landings and potentially species. The first sub-option is to use as control rules that may not take account the economic benefits between the Gulf an indicator species the most vulnerable of stock specificity. The fourth and South Atlantic fishing fleets. The stock in the group based on alternative would set the buffer between second alternative would evenly productivity-susceptibility analysis. ACL and ACT at a fixed percentage of apportion the species ABC between the This sub-option would likely result in 0 percent, 10 percent, 15 percent, or 25 Gulf and South Atlantic Councils. The more restrictive environment that would percent, followed by a review by the resulting effects of this alternative on condition the implementation of ACLs Council’s Socioeconomic Panel. This small entities would be lower profits and other management measures. The alternative has about the same economic than the preferred alternative. second sub-option would use the implications as the third alternative, Four alternatives, including the assessed species as an indicator species. except possibly when dealing with IFQ preferred alternative, were considered This sub-option has similar effects as species, so that it would also tend to for establishing the Gulf portion of the the first sub-option but it would be provide lower economic benefits than jurisdictional apportionment of the relatively less constrictive. the preferred alternative. yellowtail snapper ABC, as agreed upon Three alternatives, including the Four alternatives, including the by both councils. The first alternative, preferred alternative, were considered preferred alternative, were considered the no action alternative, would not for the ABC control rule. The first for the generic framework procedures. apportion the species ABC between the alternative, the no action alternative, The first alternative, the no action Gulf and South Atlantic Councils. This would not specify an ABC control rule. alternative, would retain the current alternative would tend to maintain the This alternative would have no framework procedures for implementing distribution of landings and potentially immediate effects on the economic management measures. The second the economic benefits between the Gulf status of small entities, but it may not alternative would add modifications and South Atlantic fishing fleets. The comply with the Magnuson-Stevens Act that would make the framework second alternative would apportion 73 National Standard 1 guidelines, which procedures broader than the preferred percent of the species ABC to the South require Councils to establish an alternative while the third alternative Atlantic Council and 27 percent to the acceptable ABC control rule. The would make the framework procedures Gulf Council. This alternative would second alternative would adopt an ABC narrower than the preferred alternative. potentially yield higher profits to the control rule fixing the buffer between Similar to the preferred alternative, Gulf fishing fleet than the preferred the overfishing limit and ABC at a level these three other alternatives would alternative, but the difference in the such that ABC is equal to 75 percent of have no direct economic effects on profit outcome of the two alternatives the overfishing limit or ABC is equal to small entities. would be relatively small. The third

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alternative would apportion 77 percent would not set an annual ACL/ACT for that would be implemented to mitigate to the South Atlantic Council and 23 stocks or stock groups, but this would the overages. percent to the Gulf Council. This not meet the legal requirements for List of Subjects in 50 CFR Part 622 alternative would result in lower profits establishing an ACL by 2011. The to the Gulf fishing fleet than the second alternative would set a 10 Fisheries, Fishing, Puerto Rico, preferred alternative, although the percent buffer between the ABC and Reporting and recordkeeping difference in profit outcome between ACL or between the ACL and ACT if requirements, Virgin Islands. the two alternatives would be relatively ACL is equal to ABC. This alternative Dated: October 20, 2011. small. would likely result in lower profits to Samuel D. Rauch, III, Three alternatives, including the small entities than the preferred Deputy Assistant Administrator for preferred alternative, were considered alternative. The second sub-option Regulatory Programs, National Marine for establishing the Gulf portion of the would set the ABC equal to the value Fisheries Service. jurisdictional apportionment of the specified in the ACL/ACT control rule, For the reasons set out in the mutton snapper ABC, as agreed upon by with the ACT not being used unless both councils. The first alternative, the preamble, 50 CFR part 622 is proposed specified otherwise by the Council. This to be amended as follows: no action alternative, would not alternative would likely result in profits apportion the species ABC between the to small entities that would be equal to PART 622—FISHERIES OF THE Gulf and South Atlantic Councils. This or less than those of the preferred CARIBBEAN, GULF, AND SOUTH alternative would tend to maintain the alternative. ATLANTIC distribution of landings and potentially Four alternatives, of which two are economic benefits between the Gulf and 1. The authority citation for part 622 the preferred alternatives, and five sub- South Atlantic fishing fleets. The continues to read as follows: options, of which two are the preferred second alternative would apportion 79 sub-options, were considered for AMs. Authority: 16 U.S.C. 1801 et seq. percent of the species ABC to the South The first alternative, the no action Atlantic Council and 21 percent to the § 622.1 [Amended] alternative, would not create new AMs Gulf Council. This alternative would 2. In § 622.1, paragraph (b), in Table for reef fish and royal red shrimp. This result in lower profits to Gulf fishing 1, remove the row titled, ‘‘FMP for Coral alternative would likely result in higher fleet than the preferred alternative, and Coral Reefs of the Gulf of Mexico’’. profits to small entities than the although the difference in profit 3. In § 622.2, the definitions for outcome between the two alternatives preferred alternative, but it would not ‘‘deep-water grouper (DWG)’’ and would be relatively small. be consistent with the requirement to ‘‘shallow-water grouper (SWG)’’ are Four alternatives, including the establish AMs for stocks managed by the revised to read as follows: preferred alternative, were considered Council. The second alternative would for the sector allocation of black implement only post-season AMs for § 622.2 Definitions and acronyms. grouper. The first alternative, the no stocks and sectors that do not currently * * * * * action alternative, would not establish have AMs should the ACL for a year be Deep-water grouper (DWG) means, in sector allocation of the species. This exceeded. This alternative would likely the Gulf, yellowedge grouper, warsaw alternative would tend to maintain the result in larger profit reductions in the grouper, snowy grouper, and speckled distribution of landings and potentially short-term than the preferred alternative hind. In addition, for the purposes of economic benefits between the due to possibly more restrictive the IFQ program for Gulf groupers and commercial and recreational sectors. corrective actions being implemented to tilefishes in § 622.20, scamp are also The second alternative would allocate address ACL overages. The first sub- included as DWG as specified in 18 percent of the species ACL to the option would set the trigger for post- § 622.20(b)(2)(vi). recreational sector and 82 percent to the season AMs if the average landings for * * * * * commercial sector. This alternative the past 3 years exceed the ACL. This Shallow-water grouper (SWG) means, would result in higher profit increases sub-option would likely result in lower in the Gulf, gag, red grouper, black to the commercial sector than the short-term profit reductions than the grouper, scamp, yellowfin grouper, and preferred alternative. However, it would preferred alternative, although over time yellowmouth grouper. In addition, for also result in higher profit reductions to it would result in larger profit the purposes of the IFQ program for the for-hire fleet. The net effects of this reductions due to more restrictive Gulf groupers and tilefishes in § 622.20, alternative cannot be estimated with actions to remedy the overages. The speckled hind and warsaw grouper are available information. The third second sub-option would set the trigger also included as SWG as specified in alternative would allocate 24 percent of for post-season AMs if average landings § 622.20(b)(2)(v). the species ACL to the recreational for the past 5 years, after excluding the * * * * * sector and 76 percent to the commercial highest and lowest values, exceed the 4. In § 622.3, paragraph (c) is revised sector. This alternative would provide ACL. This alternative would have nearly to read as follows: slightly higher profitability to the similar effects as the second alternative. commercial sector and lower The third sub-option would provide for § 622.3 Relation to other laws and profitability to the for-hire sector than an overage adjustment if the ACL for the regulations. the preferred alternative. The net effects stock or sector is exceeded and the stock * * * * * of this alternative cannot be estimated is under a rebuilding plan. The amount (c) For allowable octocoral, if a state with available information. of adjustment would equal the full has a catch, landing, or gear regulation Three alternatives, including the amount of the overage, unless the best that is more restrictive than a catch, preferred alternative, and two sub- scientific information shows a lesser landing, or gear regulation in this part, options, one of which is the preferred amount is needed to mitigate the effects a person landing in such state allowable sub-option, were considered for of exceeding the ACL. This sub-option octocoral taken from the South Atlantic specifying ACLs/ACTs for reef fish would result in larger profit reductions EEZ must comply with the more stocks and stock groupings. The first in the short-term than the preferred restrictive state regulation. alternative, the no action alternative, alternative due to harvest reductions * * * * *

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5. In § 622.4, the first sentence of prohibited coral or live rock, or in the (a)(1)(iii)(A), paragraph (a)(1)(iv), and paragraph (a)(2)(ix) and paragraph South Atlantic EEZ to take allowable paragraph (b) are revised to read as (a)(3)(ii) are revised to read as follows: octocoral, prohibited coral, or live rock. follows: § 622.4 Permits and fees. * * * * * § 622.42 Quotas. (n) Gulf reef fish may not be used as (a) * * * bait in any fishery, except that, when (a) * * * (2) * * * (1) * * * (ix) Gulf IFQ vessel accounts. For a purchased from a fish processor, the filleted carcasses and offal of Gulf reef (ii) Deep-water groupers (DWG) have person aboard a vessel, for which a a combined quota, as specified in commercial vessel permit for Gulf reef fish may be used as bait in trap fisheries for blue crab, stone crab, deep-water paragraphs (a)(1)(ii)(A) through (E) of fish has been issued, to fish for, possess, this section. These quotas are specified or land Gulf red snapper or Gulf crab, and spiny lobster. 8. In § 622.32, the first sentence of in gutted weight, that is eviscerated, but groupers (including DWG and SWG, as otherwise whole. specified in § 622.20(a)) or tilefishes paragraph (b)(2)(iii) is revised to read as (A) For fishing year 2012—1.127 (including goldface tilefish, blueline follows: million lb (0.511 million kg). tilefish, and tilefish), regardless of § 622.32 Prohibited and limited-harvest (B) For fishing year 2013—1.118 where harvested or possessed, a Gulf species. million lb (0.507 million kg). IFQ vessel account for the applicable * * * * * (C) For fishing year 2014—1.110 species or species groups must have (b) * * * been established. * * * million lb (0.503 million kg). (2) * * * (D) For fishing year 2015—1.101 * * * * * (iii) Red drum may not be harvested million lb (0.499 million kg). (3) * * * or possessed in or from the Gulf EEZ. (E) For fishing year 2016 and (ii) Allowable octocoral. For an * * * individual to take or possess allowable subsequent fishing years—1.024 million * * * * * octocoral in the South Atlantic EEZ, lb (0.464 million kg). 9. In § 622.34, the third sentence of other than allowable octocoral that is (iii) Shallow-water groupers (SWG) paragraph (g)(1) is revised to read as landed in Florida, a Federal allowable have separate quotas for gag and red follows: octocoral permit must have been issued grouper and a combined quota for other to the individual. Such permit must be § 622.34 Gulf EEZ seasonal and/or area shallow-water grouper (SWG) species available for inspection when the closures. (including black grouper, scamp, yellowfin grouper, and yellowmouth permitted activity is being conducted * * * * * grouper), as specified in paragraphs and when allowable octocoral is (g) * * * (a)(1)(iii)(A) through (C) of this section. possessed, through landing ashore. (1) * * * The provisions of this These quotas are specified in gutted * * * * * paragraph do not apply to hogfish. 6. In § 622.20, the first three sentences weight, that is eviscerated but otherwise * * * * * whole. in paragraph (a) are revised to read as 10. In § 622.37, paragraph (d)(1)(iii) is follows: (A) Other SWG combined. (1) For revised to read as follows: fishing year 2012—509,000 lb (230,879 § 622.20 Individual fishing quota (IFQ) § 622.37 Size limits. kg). program for Gulf groupers and tilefishes. * * * * * (2) For fishing year 2013—518,000 lb (a) General. This section establishes (d) * * * (234,961 kg). an IFQ program for the commercial (1) * * * (3) For fishing year 2014—523,000 lb components of the Gulf reef fish fishery (iii) Cubera, gray, and yellowtail (237,229 kg). for groupers (including DWG, red snappers—12 inches (30.5 cm), TL. (4) For fishing year 2015 and grouper, gag, and other SWG) and subsequent fishing years—525,000 lb tilefishes (including goldface tilefish, * * * * * 11. In § 622.39, the first sentence in (238,136 kg). blueline tilefish, and tilefish). For the * * * * * purposes of this IFQ program, DWG paragraph (b)(1)(ii) and paragraph (iv) Tilefishes (including goldface includes yellowedge grouper, warsaw (b)(1)(v) are revised to read as follows: tilefish, blueline tilefish, and tilefish)— grouper, snowy grouper, and speckled § 622.39 Bag and possession limits. 582,000 lb (263,991 kg), gutted weight, hind, and scamp, but only as specified * * * * * that is, eviscerated but otherwise whole. in paragraph (b)(2)(vi) of this section. (b) * * * For the purposes of this IFQ program, * * * * * (1) * * * other SWG includes black grouper, (b) South Atlantic allowable (ii) Groupers, combined, excluding scamp, yellowfin grouper, and octocoral. The quota for all persons who goliath grouper—4 per person per day, yellowmouth grouper, and warsaw harvest allowable octocoral in the EEZ but not to exceed 1 speckled hind or 1 grouper and speckled hind, but only as of the South Atlantic is 50,000 colonies. warsaw grouper per vessel per day, or specified in paragraph (b)(2)(v) of this A colony is a continuous group of coral 2 gag per person per day. * * * section. * * * polyps forming a single unit. * * * * * * * * * * * * * * * (v) Gulf reef fish, combined, 7. In § 622.31, paragraphs (f) and (n) 13. In § 622.43, paragraph (a)(2) is excluding those specified in paragraphs are revised to read as follows: revised to read as follows: (b)(1)(i) through (b)(1)(iv) and § 622.31 Prohibited gear and methods. paragraphs (b)(1)(vi) through (b)(1)(vii) § 622.43 Closures. * * * * * of this section—20. (a) * * * (f) Power-assisted tools. A power- * * * * * (2) South Atlantic allowable assisted tool may not be used in the 12. In § 622.42, paragraph (a)(1)(ii), octocoral. Allowable octocoral may not Caribbean EEZ to take a Caribbean coral the introductory paragraph for be harvested or possessed in the South reef resource, in the Gulf EEZ to take paragraph (a)(1)(iii), paragraph Atlantic EEZ and the sale or purchase of

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allowable octocoral in or from the South identification, vessel markings and grouper, scamp, yellowfin grouper, and Atlantic EEZ is prohibited. identification, allowable biological yellowmouth grouper). (i) Commercial * * * * * catch (ABC) and ABC control rules, sector. The IFQ program for groupers 14. In § 622.48, paragraphs (d), (e), (i), rebuilding plans, sale and purchase and tilefishes in the Gulf of Mexico and (j) are revised and paragraph (p) is restrictions, transfer at sea provisions, serves as the accountability measure for added to read as follows: restrictions relative to conditions of other commercial SWG. The commercial harvested shrimp (maintaining shrimp ACL for other SWG is equal to the § 622.48 Adjustment of management in whole condition, use as bait), target applicable quota specified in measures. effort and fishing mortality reduction § 622.42(a)(1)(iii)(A). * * * * * levels, bycatch reduction criteria, BRD (ii) Recreational sector. If the sum of (d) Gulf reef fish. For a species or certification and decertification criteria, the commercial and recreational species group: Reporting and BRD testing protocol, certified BRDs, landings, as estimated by the SRD, monitoring requirements, permitting and BRD specification. exceeds the stock complex ACL requirements, bag and possession limits (j) Gulf red drum. Reporting and specified in paragraph (a)(3)(iii), then (including a bag limit of zero), size monitoring requirements, permitting during the following fishing year, if the limits, vessel trip limits, closed seasons requirements, bag and possession limits sum of the commercial and recreational or areas and reopenings, annual catch (including a bag limit of zero), size landings reaches or is projected to reach limits (ACLs), annual catch targets limits, vessel trip limits, closed seasons the applicable ACL specified in (ACTs), quotas (including a quota of or areas and reopenings, annual catch (a)(3)(iii), the AA will file a notification zero), accountability measures (AMs), limits (ACLs), annual catch targets with the Office of the Federal Register MSY (or proxy), OY, TAC, management (ACTs), quotas (including a quota of to close the recreational sector for the parameters such as overfished and zero), accountability measures (AMs), remainder of that fishing year. overfishing definitions, gear restrictions MSY (or proxy), OY, TAC, management (iii) The stock complex ACLs for other (ranging from regulation to complete parameters such as overfished and SWG, in gutted weight, are 688,000 lb prohibition), gear markings and overfishing definitions, gear restrictions (312,072 kg) for 2012, 700,000 lb identification, vessel markings and (ranging from regulation to complete (317,515 kg) for 2013, 707,000 lb identification, allowable biological prohibition), gear markings and (320,690 kg) for 2014, and 710,000 lb catch (ABC) and ABC control rules, identification, vessel markings and (322,051 kg) for 2015 and subsequent rebuilding plans, sale and purchase identification, allowable biological years. restrictions, transfer at sea provisions, catch (ABC) and ABC control rules, * * * * * and restrictions relative to conditions of rebuilding plans, sale and purchase (6) Deep-water grouper (DWG) harvested fish (maintaining fish in restrictions, transfer at sea provisions, combined (including yellowedge whole condition, use as bait). and restrictions relative to conditions of grouper, warsaw grouper, snowy (e) Gulf royal red shrimp. Reporting harvested fish (maintaining fish in grouper, and speckled hind)— and monitoring requirements, whole condition, use as bait). permitting requirements, size limits, (i) Commercial sector. The IFQ * * * * * program for groupers and tilefishes in vessel trip limits, closed seasons or (p) Gulf coral resources. For a species areas and reopenings, annual catch the Gulf of Mexico serves as the or species group: Reporting and limits (ACLs), annual catch targets accountability measure for commercial monitoring requirements, permitting (ACTs), quotas (including a quota of DWG. The commercial ACL for DWG is requirements, bag and possession limits zero), accountability measures (AMs), equal to the applicable quota specified (including a bag limit of zero), size MSY (or proxy), OY, TAC, management in § 622.42(a)(1)(ii). limits, vessel trip limits, closed seasons parameters such as overfished and (ii) Recreational sector. If the sum of or areas and reopenings, annual catch overfishing definitions, gear restrictions the commercial and recreational limits (ACLs), annual catch targets (ranging from regulation to complete landings, as estimated by the SRD, (ACTs), quotas (including a quota of prohibition), gear markings and exceeds the stock complex ACL zero), accountability measures (AMs), identification, vessel markings and specified in paragraph (a)(6)(iii) of this identification, allowable biological MSY (or proxy), OY, TAC, management section, then during the following catch (ABC) and ABC control rules, parameters such as overfished and fishing year, if the sum of commercial rebuilding plans, sale and purchase overfishing definitions, gear restrictions and recreational landings reaches or is restrictions, transfer at sea provisions, (ranging from regulation to complete projected to reach the applicable ACL and restrictions relative to conditions of prohibition), gear markings and specified in (a)(6)(iii) of this section, the harvested shrimp (maintaining shrimp identification, vessel markings and AA will file a notification with the in whole condition, use as bait). identification, allowable biological Office of the Federal Register to close catch (ABC) and ABC control rules, the recreational sector for the remainder * * * * * rebuilding plans, sale and purchase (i) Gulf shrimp. For a species or of that fishing year. restrictions, transfer at sea provisions, species group: Reporting and (iii) The stock complex ACLs for and restrictions relative to conditions of monitoring requirements, permitting DWG, in gutted weight, are 1.216 harvested corals. requirements, size limits, vessel trip million lb (0.552 million kg) for 2012, 15. In § 622.49, the heading for limits, closed seasons or areas and 1.207 million lb (0.547 million kg) for § 622.49 and paragraph (a)(3) are revised reopenings, annual catch limits (ACLs), 2013, 1.198 million lb (0.543 million kg) and paragraphs (a)(6) through (a)(16) annual catch targets (ACTs), quotas for 2014, 1.189 million lb (0.539 million and paragraph (d) are added to read as (including a quota of zero), kg) for 2015, and 1.105 million lb (0.501 follows: accountability measures (AMs), MSY (or million kg) for 2016 and subsequent proxy), OY, TAC, management § 622.49 Annual catch limits (ACLs) and years. parameters such as overfished and accountability measures (AMs). (7) Tilefishes combined (including overfishing definitions, gear restrictions (a) * * * goldface tilefish, blueline tilefish, and (ranging from regulation to complete (3) Other shallow-water grouper tilefish)—(i) Commercial sector. The IFQ prohibition), gear markings and (SWG) combined (including black program for groupers and tilefishes in

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the Gulf of Mexico serves as the stock ACL, then during the following and recreational landings reaches or is accountability measure for commercial fishing year, if the sum of commercial projected to reach the stock ACL, the tilefishes. The commercial ACL for and recreational landings reaches or is AA will file a notification with the tilefishes is equal to the applicable projected to reach the stock ACL, the Office of the Federal Register to close quota specified in § 622.42(a)(1)(iv). AA will file a notification with the the commercial and recreational sectors (ii) Recreational sector. If the sum of Office of the Federal Register to close for the remainder of that fishing year. the commercial and recreational the commercial and recreational sectors The stock ACL for hogfish is 208,000 lb landings, as estimated by the SRD, for the remainder of that fishing year. (94,347 kg), round weight. exceeds the stock complex ACL The stock ACL for lane snapper is * * * * * specified in paragraph (a)(7)(iii) of this 301,000 lb (136,531 kg), round weight. (d) Royal red shrimp in the Gulf. (1) section, then during the following (12) Gray snapper. If the sum of the Commercial sector. If commercial fishing year, if the sum of commercial commercial and recreational landings, and recreational landings reaches or is as estimated by the SRD, exceeds the landings, as estimated by the SRD, projected to reach the applicable ACL stock ACL, then during the following exceed the commercial ACL, then specified in (a)(7)(iii) of this section, the fishing year, if the sum of commercial during the following fishing year, if AA will file a notification with the and recreational landings reaches or is commercial landings reach or are Office of the Federal Register to close projected to reach the stock ACL, the projected to reach the commercial ACL, the recreational sector for the remainder AA will file a notification with the the AA will file a notification with the of that fishing year. Office of the Federal Register to close Office of the Federal Register to close (iii) The stock complex ACL for the commercial and recreational sectors the commercial sector for the remainder tilefishes is 608,000 lb (275,784 kg), for the remainder of that fishing year. of that fishing year. The commercial gutted weight. The stock ACL for gray snapper is 2.42 ACL for royal red shrimp is 334,000 lb (8) Lesser amberjack, almaco jack, million lb (1.10 million kg), round (151,500 kg), tail weight. and banded rudderfish, combined. If the weight. (2) [Reserved] sum of the commercial and recreational (13) Cubera snapper. If the sum of the 16. In Appendix A to part 622, Table landings, as estimated by the SRD, commercial and recreational landings, 3 is revised to read as follows: exceeds the stock complex ACL, then as estimated by the SRD, exceeds the during the following fishing year, if the stock ACL, then during the following Appendix A to Part 622—Species sum of commercial and recreational fishing year, if the sum of commercial Tables landings reaches or is projected to reach and recreational landings reaches or is * * * * * the stock complex ACL, the AA will file projected to reach the stock ACL, the Table 3 of Appendix A to Part 622—Gulf a notification with the Office of the AA will file a notification with the Reef Fish Federal Register to close the commercial Office of the Federal Register to close and recreational sectors for the the commercial and recreational sectors Balistidae—Triggerfishes remainder of that fishing year. The stock Gray triggerfish, Balistes capriscus for the remainder of that fishing year. Carangidae—Jacks complex ACL for lesser amberjack, The stock ACL for cubera snapper is Greater amberjack, Seriola dumerili almaco jack, and banded rudderfish, is 5,065 lb (2,297 kg), round weight. Lesser amberjack, Seriola fasciata 312,000 lb (141,521 kg), round weight. (14) Yellowtail snapper. If the sum of Almaco jack, Seriola rivoliana (9) Silk snapper, queen snapper, the commercial and recreational Banded rudderfish, Seriola zonata blackfin snapper, and wenchman, landings, as estimated by the SRD, Labridae—Wrasses combined. If the sum of the commercial exceeds the stock ACL, then during the Hogfish, Lachnolaimus maximus and recreational landings, as estimated following fishing year, if the sum of Lutjanidae—Snappers by the SRD, exceeds the stock complex commercial and recreational landings Queen snapper, Etelis oculatus ACL, then during the following fishing reaches or is projected to reach the stock Mutton snapper, Lutjanus analis year, if the sum of commercial and ACL, the AA will file a notification with Blackfin snapper, Lutjanus buccanella Red snapper, Lutjanus campechanus recreational landings reaches or is the Office of the Federal Register to Cubera snapper, Lutjanus cyanopterus projected to reach the stock complex close the commercial and recreational Gray (mangrove) snapper, Lutjanus griseus ACL, the AA will file a notification with sectors for the remainder of that fishing Lane snapper, Lutjanus synagris the Office of the Federal Register to year. The stock ACL for yellowtail Silk snapper, Lutjanus vivanus close the commercial and recreational snapper is 725,000 lb (328,855 kg), Yellowtail snapper, Ocyurus chrysurus sectors for the remainder of that fishing round weight. Wenchman, Pristipomoides aquilonaris year. The stock complex ACL for silk (15) Mutton snapper. If the sum of the Vermilion snapper, Rhomboplites snapper, queen snapper, blackfin commercial and recreational landings, aurorubens snapper, and wenchman, is 166,000 lb as estimated by the SRD, exceeds the Malacanthidae—Tilefishes stock ACL, then during the following Goldface tilefish, Caulolatilus chrysops (75,296 kg), round weight. Blueline tilefish, Caulolatilus microps (10) Vermilion snapper. If the sum of fishing year, if the sum of commercial Tilefish, Lopholatilus chamaeleonticeps the commercial and recreational and recreational landings reaches or is Serranidae—Groupers landings, as estimated by the SRD, projected to reach the stock ACL, the Speckled hind, Epinephelus reaches or is projected to reach the stock AA will file a notification with the drummondhayi ACL, the AA will file a notification with Office of the Federal Register to close Yellowedge grouper, Epinephelus the Office of the Federal Register to the commercial and recreational sectors flavolimbatus close the commercial and recreational for the remainder of that fishing year. Goliath grouper, Epinephelus itajara sectors for the remainder of the fishing The stock ACL for mutton snapper is Red grouper, Epinephelus morio 203,000 lb (92,079 kg), round weight. Warsaw grouper, Epinephelus nigritus year. The stock ACL for vermilion Snowy grouper, Epinephelus niveatus snapper is 3.42 million lb (1.55 million (16) Hogfish. If the sum of the Black grouper, Mycteroperca bonaci kg), round weight. commercial and recreational landings, Yellowmouth grouper, Mycteroperca (11) Lane snapper. If the sum of the as estimated by the SRD, exceeds the interstitialis commercial and recreational landings, stock ACL, then during the following Gag, Mycteroperca microlepis as estimated by the SRD, exceeds the fishing year, if the sum of commercial Scamp, Mycteroperca phenax

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Yellowfin grouper, Mycteroperca venenosa * * * * * [FR Doc. 2011–27589 Filed 10–24–11; 8:45 am] BILLING CODE 3510–22–P

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Notices Federal Register Vol. 76, No. 206

Tuesday, October 25, 2011

This section of the FEDERAL REGISTER DATES: We will consider all comments authorization to ship the product for contains documents other than rules or that we receive on or before November field testing. proposed rules that are applicable to the 25, 2011. To determine whether to authorize public. Notices of hearings and investigations, ADDRESSES: You may submit comments shipment and grant approval for the committee meetings, agency decisions and by either of the following methods: field testing of the unlicensed product rulings, delegations of authority, filing of • petitions and applications and agency Federal eRulemaking Portal: Go to referenced in this notice, a risk analysis statements of organization and functions are http://www.regulations.gov/ has been prepared to assess the examples of documents appearing in this #!documentDetail;D=APHIS–2011– potential effects of this product on the section. 0094–0001. safety of animals, public health, and the • Postal Mail/Commercial Delivery: environment. Based on the risk analysis, Send your comment to Docket No. APHIS has prepared an environmental DEPARTMENT OF AGRICULTURE APHIS–2011–0094, Regulatory Analysis assessment (EA) concerning the field and Development, PPD, APHIS, Station testing of the following unlicensed Animal and Plant Health Inspection 3A–03.8, 4700 River Road Unit 118, veterinary biological product: Service Riverdale, MD 20737–1238. Requester: Biomune Company. [Docket No. APHIS–2011–0094] Supporting documents and any Product: Avian Influenza-Marek’s comments we receive on this docket Disease Vaccine, H5 Subtype, Serotype Availability of an Environmental may be viewed at http:// 3, Live Marek’s Disease Vector. Assessment for Field Testing Avian www.regulations.gov/ Field Test Locations: Delaware and Influenza-Marek’s Disease Vaccine, H5 #!docketDetail;D=APHIS–2011–0094 or Kansas. Subtype, Serotype 3, Live Marek’s in our reading room, which is located in The above-mentioned product Disease Vector room 1141 of the USDA South Building, consists of a live recombinant Marek’s 14th Street and Independence Avenue, disease virus vector expressing an avian AGENCY: Animal and Plant Health SW., Washington, DC. Normal reading influenza virus protein. The vaccine is Inspection Service, USDA. room hours are 8 a.m. to 4:30 p.m., for in ovo vaccination of 18-day-old ACTION: Notice. Monday through Friday, except chick embryos or for the subcutaneous SUMMARY: We are advising the public holidays. To be sure someone is there to vaccination of healthy day-of-age chicks that the Animal and Plant Health help you, please call (202) 690–2817 as an aid in the prevention of Marek’s Inspection Service has prepared an before coming. Disease and avian influenza. environmental assessment concerning FOR FURTHER INFORMATION CONTACT: Dr. The EA has been prepared in authorization to ship for the purpose of Donna Malloy, Operational Support accordance with: (1) The National field testing, and then to field test, an Section, Center for Veterinary Biologics, Environmental Policy Act of 1969 unlicensed Avian Influenza-Marek’s Policy, Evaluation, and Licensing, VS, (NEPA), as amended (42 U.S.C. 4321 et Disease Vaccine, H5 Subtype, Serotype APHIS, 4700 River Road Unit 148, seq.), (2) regulations of the Council on 3, Live Marek’s Disease Vector. The Riverdale, MD 20737–1231; phone (301) Environmental Quality for environmental assessment, which is 734–8245, fax (301) 734–4314. implementing the procedural provision based on a risk analysis prepared to For information regarding the of NEPA (40 CFR parts 1500–1508), (3) assess the risks associated with the field environmental assessment or the risk USDA regulations implementing NEPA testing of this vaccine, examines the analysis, or to request a copy of the (7 CFR part 1b), and (4) APHIS’ NEPA potential effects that field testing this environmental assessment (as well as Implementing Procedures (7 CFR part veterinary vaccine could have on the the risk analysis with confidential 372). quality of the human environment. business information removed), contact Unless substantial issues with adverse Based on the risk analysis, we have Dr. Patricia L. Foley, Risk Manager, environmental impacts are raised in reached a preliminary determination Center for Veterinary Biologics, Policy, response to this notice, APHIS intends that field testing this veterinary vaccine Evaluation, and Licensing VS, APHIS, to issue a finding of no significant will not have a significant impact on the 1920 Dayton Avenue, P.O. Box 844, impact (FONSI) based on the EA and quality of the human environment, and Ames, IA 50010; phone (515) 337–6100, authorize shipment of the above product that an environmental impact statement fax (515) 337–6120. for the initiation of field tests following need not be prepared. We intend to SUPPLEMENTARY INFORMATION: Under the the close of the comment period for this authorize shipment of this vaccine for Virus-Serum-Toxin Act (21 U.S.C. 151 notice. field testing following the close of the et seq.), a veterinary biological product Because the issues raised by field comment period for this notice unless must be shown to be pure, safe, potent, testing and by issuance of a license are new substantial issues bearing on the and efficacious before a veterinary identical, APHIS has concluded that the effects of this action are brought to our biological product license may be EA that is generated for field testing attention. We also intend to issue a U.S. issued. A field test is generally would also be applicable to the Veterinary Biological Product license for necessary to satisfy prelicensing proposed licensing action. Provided that this vaccine, provided the field test data requirements for veterinary biological the field test data support the support the conclusions of the products. Prior to conducting a field test conclusions of the original EA and the environmental assessment and the on an unlicensed product, an applicant issuance of a FONSI, APHIS does not issuance of a finding of no significant must obtain approval from the Animal intend to issue a separate EA and FONSI impact and the product meets all other and Plant Health Inspection Service to support the issuance of the product requirements for licensing. (APHIS), as well as obtain APHIS’ license, and would determine that an

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environmental impact statement need and Development, PPD, APHIS, Station DEPARTMENT OF AGRICULTURE not be prepared. APHIS intends to issue 3A–03.8, 4700 River Road Unit 118, a veterinary biological product license Riverdale, MD 20737–1238. Forest Service for this vaccine following completion of Supporting documents and any Madera County Resource Advisory the field test provided no adverse comments we receive on this docket impacts on the human environment are Committee may be viewed at http:// identified and provided the product www.regulations.gov/ AGENCY: Forest Service, USDA. meets all other requirements for ACTION: Notice of meeting. licensing. #!docketDetail;D=APHIS-2011-0072 or in our reading room, which is located in Authority: 21 U.S.C. 151–159. SUMMARY: The Madera County Resource room 1141 of the USDA South Building, Advisory Committee will be meeting in Done in Washington, DC, this 19th day of 14th Street and Independence Avenue, October 2011. North Fork, California on November 15, SW., Washington, DC. Normal reading 2011. The purpose of the meeting will Kevin Shea, room hours are 8 a.m. to 4:30 p.m., be to to update the committee on the Acting Administrator, Animal and Plant Monday through Friday, except status and monitoring of projects that Health Inspection Service. holidays. To be sure someone is there to were recommended for funding at the [FR Doc. 2011–27555 Filed 10–24–11; 8:45 am] help you, please call (202) 690–2817 March 30, 2011 meeting, as authorized BILLING CODE 3410–34–P before coming. under the Secure Rural Schools and FOR FURTHER INFORMATION CONTACT: Dr. Community Self-Determination Act of 2000 (Pub. L.110–343) for expenditure DEPARTMENT OF AGRICULTURE Arnold Tschanz, Senior Plant Pathologist/Senior Risk Manager, Plants of Payments to States Madera County Title II funds. Animal and Plant Health Inspection for Planting Policy, RPM, PPQ, APHIS, Service 4700 River Road Unit 133, Riverdale, DATES: The meeting will be held on November 15, 2011. [Docket No. APHIS–2011–0072] MD 20737–1236; (301) 734–0627. ADDRESSES: The meeting will be held at SUPPLEMENTARY INFORMATION: Plants for Planting Whose Importation the Bass Lake Ranger District, 57003 Is Not Authorized Pending Pest Risk On July 26, 2011, we published in the Road 225, North Fork, California, 93643. Analysis; Notice of Availability of Data Federal Register (76 FR 44572–44573, Send written comments to Julie Roberts, Sheets for Taxa of Plants for Planting Docket No. APHIS–2011–0072) a notice Madera County Resource Advisory That Are Quarantine Pests or Hosts of advising the public that we have Committee Coordinator, c/o Sierra Quarantine Pests determined that 41 taxa of plants for National Forest, Bass Lake Ranger planting are quarantine pests and 107 District, at the above address, or AGENCY: Animal and Plant Health taxa of plants for planting are hosts of electronically to [email protected]. Inspection Service, USDA. 13 quarantine pests and therefore FOR FURTHER INFORMATION CONTACT: Julie ACTION: Notice; reopening of comment should be added to our lists of taxa of Roberts, Madera County Resource period. plants for planting whose importation is Advisory Committee Coordinator, (559) 877–2218 ext. 3159. SUMMARY: We are reopening the not authorized pending pest risk comment period for a notice that analysis. The notice also made available SUPPLEMENTARY INFORMATION: The advised the public that we have to the public for review and comment meeting is open to the public. determined that 41 taxa of plants for data sheets that detail the scientific Committee discussion is limited to planting are quarantine pests and 107 evidence we evaluated in making the Forest Service staff and Committee taxa of plants for planting are hosts of determination that the taxa are members. However, persons who wish 13 quarantine pests and therefore quarantine pests or hosts of quarantine to bring Payments to States Madera County Title II project matters to the should be added to our lists of taxa of pests. plants for planting whose importation is attention of the Committee may file Comments on the notice were not authorized pending pest risk written statements with the Committee required to be received on or before analysis. The notice also made available staff before or after the meetings. September 26, 2011. We are reopening to the public for review and comment Dated: October 18, 2011. the comment period on Docket No. data sheets that detail the scientific Dave Martin, APHIS–2011–0072 for an additional 30 evidence we evaluated in making the District Ranger. determination that the taxa are days. This action will allow interested persons additional time to prepare and [FR Doc. 2011–27608 Filed 10–24–11; 8:45 am] quarantine pests or hosts of quarantine BILLING CODE 3410–11–P pests. This action will allow interested submit comments. We will also consider persons additional time to prepare and all comments received between submit comments. September 27, 2011, and the date of this DEPARTMENT OF AGRICULTURE DATES: We will consider all comments notice. that we receive on or before November Authority: 7 U.S.C. 450, 7701–7772, and Forest Service 25, 2011. 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR Sabine Resource Advisory Committee ADDRESSES: You may submit comments 2.22, 2.80, and 371.3. by either of the following methods: AGENCY: Forest Service, USDA. • Done in Washington, DC, this 19th day of Federal eRulemaking Portal: Go to October 2011. ACTION: Notice of meeting cancellation. http://www.regulations.gov/ Kevin Shea, #!documentDetail;D=APHIS-2011-0072- SUMMARY: The Sabine-Angelina 0001. Acting Administrator, Animal and Plant Resource Advisory Committee was • Postal Mail/Commercial Delivery: Health Inspection Service. scheduled to meet October 20, 2011 in Send your comment to Docket No. [FR Doc. 2011–27559 Filed 10–24–11; 8:45 am] Hemphill, Texas. The committee is APHIS–2011–0072, Regulatory Analysis BILLING CODE 3410–34–P authorized under the Secure Rural

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Schools and Community Self- OMB Control Number: 0648–0371. these species. Supplementary Determination Act (Pub. L. 110–343) Form Number(s): 88–191. information on fishing costs and (the Act) and operates in compliance Type of Request: Regular submission earnings has been collected via this with the Federal Advisory Committee (extension of a current information vessel logbook program. This economic Act. The committee’s charter expires in collection). information enables NMFS to assess the October 2011 and its renewal is under Number of Respondents: 10,216. economic impacts of regulatory review by the Secretary of Agriculture. Average Hours per Response: Trip programs on small businesses and In compliance with the Federal reports, 12 minutes; trip reports without fishing communities, consistent with Advisory Committee Act the committee fishing, 2 minutes; cost-earnings and the National Environmental Policy Act will not be meeting until the charter is annual summary reports, 30 minutes. (NEPA), Executive Order 12866, the Burden Hours: 36,189. renewed. Regulatory Flexibility Act, and other Needs and Uses: This request is for domestic laws. DATES: The cancelled meeting was extension of a current information Affected Public: Business or other for- scheduled to be held via teleconference collection. call on Thursday, October 20, 2011, 3:30 Under the provisions of the profit organizations. p.m. Magnuson-Stevens Fishery Frequency: Annually and on occasion. ADDRESSES: The canceled meeting Conservation and Management Act (16 Respondent’s Obligation: Mandatory. would have been held at the Sabine OMB Desk Officer: U.S.C. 1801 et seq.), the National _ National Forest Office, 5050 State Hwy Oceanic and Atmospheric OIRA [email protected]. 21 East, Hemphill, TX 75948. Written Administration’s National Marine Copies of the above information comments concerning this cancellation Fisheries Service (NMFS) is responsible collection proposal can be obtained by may be submitted to the Designated for management of the Nation’s marine calling or writing Diana Hynek, Federal Officer. fisheries. In addition, NMFS must Departmental Paperwork Clearance All comments, including names and comply with the United States’ Officer, (202) 482–0266, Department of addresses when provided, are placed in obligations under the Atlantic Tunas Commerce, Room 6616, 14th and the record and are available for public Convention Act of 1975 (16 U.S.C. 971 Constitution Avenue, NW., Washington, inspection and copying. The public may et seq.), which implements the DC 20230 (or via the Internet at inspect comments received at 5050 State International Commission for the [email protected]). Hwy 21 East, Hemphill, TX 75948. Conservation of Atlantic Tunas (ICCAT) Written comments and Please call ahead to (409) 625–1940 to recommendations. NMFS collects recommendations for the proposed facilitate entry into the building to view information via vessel logbooks to information collection should be sent comments. monitor the U.S. catch of Atlantic within 30 days of publication of this FOR FURTHER INFORMATION CONTACT: swordfish, sharks, billfish, and tunas in notice to _ William E. Taylor, Jr., Designated relation to the quotas, thereby ensuring OIRA [email protected]. Federal Officer, Sabine National Forest, that the United States complies with its Dated: October 20, 2011. 5050 State Hwy. 21 E., Hemphill, TX domestic and international obligations. Gwellnar Banks, 75948: Telephone: 936–639–8501 or HMS logbooks are verified using Management Analyst, Office of the Chief e-mail at: [email protected]. observer data that is collected under Information Officer. Individuals who use OMB Control No. 0648–0593 (Observer [FR Doc. 2011–27548 Filed 10–24–11; 8:45 am] Programs’ Information That Can Be telecommunication devices for the deaf BILLING CODE 3510–22–P (TDD) may call the Federal Information Gathered Only Through Questions). In Relay Service (FIRS) at 1–800–877–8339 addition to HMS fisheries, the HMS between 8 a.m. and 8 p.m., Eastern logbook is also used to report catches of DEPARTMENT OF COMMERCE Standard Time, Monday through Friday. dolphin and wahoo by commercial and Dated: October 17, 2011. charter/headboat fisheries. The HMS Foreign-Trade Zones Board logbooks collect data on incidental William E. Taylor, Jr., species, including sea turtles, which is [Docket 65–2011] Designated Federal Officer, Sabine National necessary to evaluate the fisheries in Forest RAC. Proposed Foreign-Trade Zone—Ada terms of bycatch and encounters with and Canyon Counties, ID, Under [FR Doc. 2011–27610 Filed 10–24–11; 8:45 am] protected species. For both directed and BILLING CODE 3410–11–P Alternative Site Framework, incidentally caught species, the Application Filed information supplied through vessel logbooks also provides the catch and An application has been submitted to DEPARTMENT OF COMMERCE effort data on a per set or per trip level the Foreign-Trade Zones Board (the of resolution. These data are necessary Board) by the Caldwell Economic Submission for OMB Review; to assess the status of highly migratory Development Council, Inc. to establish a Comment Request species, dolphin, and wahoo in each general-purpose foreign-trade zone at The Department of Commerce will fishery. International stock assessments sites in Ada and Canyon Counties, submit to the Office of Management and for tunas, swordfish, billfish, and some Idaho, adjacent to the Boise U.S. Budget (OMB) for clearance the species of sharks are conducted and Customs and Border Protection (CBP) following proposal for collection of presented to the International port of entry, under the alternative site information under the provisions of the Commission for the Conservation of framework (ASF) adopted by the Board Paperwork Reduction Act (44 U.S.C. Atlantic Tunas (ICCAT) periodically (74 FR 1170–1173, 1/12/09 (correction Chapter 35). and provide, in part, the basis for ICCAT 74 FR 3987, 1/22/09); 75 FR 71069– Agency: National Oceanic and management recommendations which 71070, 11/22/10). The ASF is an option Atmospheric Administration (NOAA). become binding on member nations. for grantees for the establishment or Title: Highly Migratory Species Vessel Domestic stock assessments for most reorganization of general-purpose zones Logbooks and Cost-Earnings Data species of sharks and for dolphin and and can permit significantly greater Reports. wahoo are used as the basis of managing flexibility in the designation of new

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‘‘usage-driven’’ FTZ sites for operators/ material submitted during the foregoing 36, and Public Law 108–429, requires users located within a grantee’s ‘‘service period may be submitted during the the Departments of Commerce and the area’’ in the context of the Board’s subsequent 15-day period to January 9, Interior (Departments) to administer the standard 2,000-acre activation limit for 2012. distribution of watch duty-exemptions a general-purpose zone project. The A copy of the application will be and watch and jewelry duty-refunds to application was submitted pursuant to available for public inspection at the program producers in the U.S. insular the Foreign-Trade Zones Act, as Office of the Executive Secretary, possessions and the Northern Mariana amended (19 U.S.C. 81a-81u), and the Foreign-Trade Zones Board, Room 2111, Islands. The primary consideration in regulations of the Board (15 CFR part U.S. Department of Commerce, 1401 collecting information is the 400). It was formally filed on October Constitution Avenue, NW., Washington, enforcement of the law and the 19, 2011. The applicant is authorized to DC 20230–0002, and in the ‘‘Reading information gathered is limited to that make the proposal under Idaho Statute Room’’ section of the Board’s website, necessary to prevent abuse of the 67–4703A. which is accessible via http:// program and to permit a fair and The proposed zone would be the www.trade.gov/ftz. For further equitable distribution of its benefits. second general-purpose zone approved information, contact Christopher Kemp The ITA–334P is the principal program to serve the Boise CBP port of entry. at [email protected]. form used for recording operational data FTZ 192 in Meridian, Idaho was Dated: October 19, 2011. on the basis of which program established on February 17, 1993 (Board Andrew McGilvray, entitlements are distributed among the Order 629, 58 FR 11834, 03/01/1993) producers. This form also serves as the Executive Secretary. but has since lapsed. producer’s application to the The applicant’s proposed service area [FR Doc. 2011–27578 Filed 10–24–11; 8:45 am] Departments for these entitlements and under the ASF would be Ada and BILLING CODE P is completed biannually by watch and Canyon Counties, Idaho. If approved, jewelry assemblers and manufacturers. the applicant would be able to serve The form consists of four versions: mid- DEPARTMENT OF COMMERCE sites throughout the service area based year and annual application for watch on companies’ needs for FTZ International Trade Administration producers; and mid-year and annual designation. The proposed service area application for jewelry producers. is both within and adjacent to the Boise Proposed Information Collection; CBP port of entry. II. Method of Collection Comment Request; Application for The proposed zone would initially The form is sent to each watch and include two ‘‘magnet’’ sites in Canyon Insular Watch and Jewelry Program Benefits jewelry producer biannually. It is also County: Proposed Site 1 (524.04 acres)— available at http://ita-web.ita.doc.gov/ Caldwell Airport/Industrial Park, 4814 AGENCY: International Trade doc/eFormsPub.nsf and may be East Linden Street, Caldwell; and, Administration. completed online and printed, and Proposed Site 2 (241.04 acres)—within ACTION: Notice. submitted via mail. the 350-acre Sky Ranch Business Center, 4190 Highway 20/26, Caldwell. The SUMMARY: The Department of III. Data parcels within the sites are both Commerce, as part of its continuing OMB Control Number: 0625–0040. publicly and privately owned, as effort to reduce paperwork and Form Number(s): ITA–334P. described in the application. The ASF respondent burden, invites the general Type of Review: Regular submission allows for the possible exemption of one public and other Federal agencies to (extension of a currently approved magnet site from the ‘‘sunset’’ time take this opportunity to comment on information collection). limits that generally apply to sites under proposed and/or continuing information Affected Public: Business or other for- the ASF, and the applicant proposes collections, as required by the profit organizations. that Site 1 be so exempted. Paperwork Reduction Act of 1995. Estimated Number of Respondents: 2. The application indicates a need for DATES: Written comments must be Estimated Time per Response: 1 hour. zone services in Ada and Canyon submitted on or before December 27, Estimated Total Annual Burden Counties, Idaho. Several firms have 2011. Hours: 4. indicated an interest in using zone Estimated Total Annual Cost to procedures for warehousing/distribution ADDRESSES: Direct all written comments Public: $100. activities for a variety of products. to Diana Hynek, Departmental IV. Request for Comments Specific manufacturing approvals are Paperwork Clearance Officer, not being sought at this time. Such Department of Commerce, Room 6616, Comments are invited on: (a) Whether requests would be made to the Board on 14th and Constitution Avenue, NW., the proposed collection of information a case-by-case basis. Washington, DC 20230 (or via the is necessary for the proper performance In accordance with the Board’s Internet at [email protected]). of the functions of the agency, including regulations, Christopher Kemp of the FOR FURTHER INFORMATION CONTACT: whether the information shall have FTZ Staff is designated examiner to Requests for additional information or practical utility; (b) the accuracy of the evaluate and analyze the facts and copies of the information collection agency’s estimate of the burden information presented in the application instrument and instructions should be (including hours and cost) of the and case record and to report findings directed to Supriya Kumar, Statutory proposed collection of information; (c) and recommendations to the Board. Import Programs Staff, (202)482–3530, ways to enhance the quality, utility, and Public comment is invited from [email protected] and fax clarity of the information to be interested parties. Submissions (original number (202) 501–7952. collected; and (d) ways to minimize the and 3 copies) shall be addressed to the SUPPLEMENTARY INFORMATION: burden of the collection of information Board’s Executive Secretary at the on respondents, including through the address below. The closing period for I. Abstract use of automated collection techniques their receipt is December 27, 2011. Public Law 97–446, as amended by or other forms of information Rebuttal comments in response to Public Law 103–465, Public Law 106– technology.

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Comments submitted in response to July 11, 2011,2 Meco Corporation made most commonly, but not this notice will be summarized and/or (‘‘Meco’’), a domestic producer of the exclusively, with a hardboard top included in the request for OMB like product and the petitioner in the covered with vinyl or fabric. Folding approval of this information collection; underlying investigation, and Xinjiamei metal tables have legs that mechanically they also will become a matter of public Furniture (Zhangzhou) Co., Ltd. fold independently of one another, and record. (‘‘Xinjiamei Furniture’’), the new not as a set. The subject merchandise is Dated: October 19, 2011. shipper in the NSR, provided new commonly, but not exclusively, packed Gwellnar Banks, surrogate value information for the singly, in multiple packs of the same administrative review and NSR, item, or in five piece sets consisting of Management Analyst, Office of the Chief Information Officer. respectively. On June 28, 2011, the four chairs and one table. Specifically Department announced its new wage excluded from the scope of the order [FR Doc. 2011–27507 Filed 10–24–11; 8:45 am] rate methodology and invited comments regarding folding metal tables are the BILLING CODE 3510–DS–P from parties in both reviews. On July 5, following: 2011, the Department announced a Lawn furniture; DEPARTMENT OF COMMERCE minor revision to the exchange rate Trays commonly referred to as ‘‘TV calculation methodology used to trays;’’ International Trade Administration convert the surrogate wage rate. Side tables; On July 20, 2011,3 Meco, New-Tec Child-sized tables; [A–570–868] Integration (Xiamen) Co., Ltd. (‘‘New- Portable counter sets consisting of ″ Folding Metal Tables and Chairs From Tec’’), a mandatory respondent in the rectangular tables 36 high and the People’s Republic of China: Final administrative review, and Lifetime matching stools; and, Banquet tables. Results of Antidumping Duty Hong Kong, Ltd. (‘‘Lifetime’’), a A banquet table is a rectangular table Administrative Review and New separate-rate respondent in the with a plastic or laminated wood table administrative review, submitted case top approximately 28″ to 36″ wide by Shipper Review, and Revocation of the ″ ″ Order in Part briefs for the administrative review, and 48 to 96 long and with a set of Xinjiamei Furniture submitted a case folding legs at each end of the table. AGENCY: Import Administration, brief in the NSR. One set of legs is composed of two International Trade Administration, On July 25, 2011,4 the Department individual legs that are affixed Department of Commerce. received rebuttal briefs in the together by one or more cross-braces SUMMARY: The Department of Commerce administrative review from Meco, New- using welds or fastening hardware. In (‘‘Department’’) published its Tec, Feili Group (Fujian) Co., Ltd. and contrast, folding metal tables have Preliminary Results of administrative Feili Furniture Development Limited legs that mechanically fold review (‘‘AR’’) of the antidumping duty Quanzhou City (collectively, ‘‘Feili’’), a independently of one another, and not order, new shipper review (‘‘NSR’’), and mandatory respondent in the as a set. intent to revoke order in part, on folding administrative review, Lifetime, and (2) Assembled and unassembled metal tables and chairs from the Cosco Home and Office Products, an folding chairs made primarily or People’s Republic of China (‘‘PRC’’) on importer interested party, and from exclusively from steel or other metal June 20, 2011.1 The period of review Meco for the NSR. On August 11, 2011, (folding metal chairs). Folding metal (‘‘POR’’) for both reviews is June 1, the Department held a public hearing on chairs include chairs with one or more 2009, through May 31, 2010. We invited the administrative review. cross-braces, regardless of shape or size, interested parties to comment on our We have conducted these reviews in affixed to the front and/or rear legs with Preliminary Results. Based on our accordance with section 751 of the rivets, welds or any other type of analysis of the comments received, we Tariff Act of 1930, as amended (‘‘the fastener. Folding metal chairs include: have made changes to our margin Act’’), 19 CFR 351.241, and 19 CFR those that are made solely of steel or calculations. Therefore, the final results 351.213. other metal; those that have a back pad, differ from the preliminary results. The Scope of Order a seat pad, or both a back pad and a seat final dumping margins for these reviews pad; and those that have seats or backs are listed in the ‘‘Final Results of The products covered by the order made of plastic or other materials. The Review’’ section below. consist of assembled and unassembled subject merchandise is commonly, but folding tables and folding chairs made DATES: Effective Date: October 25, 2011. not exclusively, packed singly, in primarily or exclusively from steel or FOR FURTHER INFORMATION CONTACT: Lilit multiple packs of the same item, or in other metal, as described below: Astvatsatrian or Trisha Tran, AD/CVD five piece sets consisting of four chairs (1) Assembled and unassembled and one table. Specifically excluded Operations, Office 4, Import folding tables made primarily or Administration, International Trade from the scope of the order regarding exclusively from steel or other metal folding metal chairs are the following: Administration, U.S. Department of (folding metal tables). Folding metal Commerce, 14th Street and Constitution tables include square, round, Folding metal chairs with a wooden Avenue, NW., Washington, DC 20230; rectangular, and any other shapes with back or seat, or both; Lawn furniture; telephone: (202) 482–6412 or (202) 482– legs affixed with rivets, welds, or any 4852, respectively. Stools; other type of fastener, and which are Chairs with arms; and Background Child-sized chairs. 2 The Department rejected Meco’s July 11, 2011, On June 20, 2011, the Department surrogate value submission and Meco re-submitted The subject merchandise is currently published its Preliminary Results. On it on August 9, 2011. classifiable under subheadings 3 The Department rejected Meco’s July 20, 2011, 9401.71.0010, 9401.71.011, 1 See Folding Metal Tables and Chairs from the case brief and Meco re-submitted it on August 9, 9401.71.0030, 9401.71.0031, People’s Republic of China: Preliminary Results of 2011. Antidumping Duty Administrative Review and New 4 The Department rejected Meco’s original 9401.79.0045, 9401.79.0046, Shipper Review, and Intent to Revoke in Part, 76 rebuttal brief submitted on July 25, 2011 for the 9401.79.0050, 9403.20.0018, FR 35832 (June 20, 2011) (‘‘Preliminary Results’’). NSR and Meco re-submitted it on August 2, 2011. 9403.20.0015, 9403.20.0030,

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9403.60.8040, 9403.70.8015, ACCESS’’). Access to IA ACCESS is and (3) Labor Cost Conversion Memo 9403.70.8020, and 9403.70.8031 of the available in the Central Records Unit and NSR Memorandum: Labor Cost Harmonized Tariff Schedule of the (‘‘CRU’’), room 7046 of the main Conversion.10 As a result of the United States (‘‘HTSUS’’). Although the Department of Commerce building. In Department’s newly-adopted, single- HTSUS subheadings are provided for addition, a complete version of the country and industry-specific, labor cost convenience and customs purposes, the Issues and Decision Memoranda can be calculation methodology and Department’s written description of the accessed directly on the Internet at application of the daily exchange rate in merchandise is dispositive. http://www.trade.gov/ia/. The signed the SAS program, we have changed the Analysis of Comments Received Issues and Decision Memoranda and the surrogate labor rate for New-Tec, Feili, electronic versions of the Issues and and Xinjiamei Furniture to 50.36 Rs/ All issues raised in the post- Decision Memoranda are identical in Hrs. preliminary comments by parties in content. • For the final results of the AR and these reviews are addressed in the NSR, the Department relied on the ILO memorandum from Gary Taverman, Changes Since the Preliminary Results Yearbook Chapter 6A as its primary data Acting Deputy Assistant Secretary for Based on our analysis of comments source and revised the overhead Antidumping and Countervailing Duty received, we have made changes in the financial ratio as set forth in Labor Operations, to Ronald K. Lorentzen, margin calculations for Feili and New- Methodologies, Wage Rate Memo, the Deputy Assistant Secretary for Import Tec in the administrative review and Administration, ‘‘Issues and Decision NSR Memorandum: Industry-Specific Xinjiamei Furniture in the NSR. Surrogate Wage Rate, Labor Cost Memorandum for the 2009–2010 • With respect to New-Tec, we Conversion Memo, and the NSR Administrative Review of Folding Metal applied the Sigma freight cap to the Memorandum: Labor Cost Conversion. Tables and Chairs from the People’s factors of production (‘‘FOP’’) inputs As a result, the following individual Republic of China’’ (October 18, 2011) where the reported distances from the identifiable labor costs in the surrogate (‘‘Issues and Decision Memorandum of domestic supplier to the factory were financial statements were re-categorized the Administrative Review’’) and the greater than the reported distance from in order to ensure that Chapter 6A labor memorandum from Gary Taverman, the factory to the nearest port.5 costs, included in the ILO defined Acting Deputy Assistant Secretary for • With respect to New-Tec, we have ‘‘Labor cost’’ and ‘‘Compensation of Antidumping and Countervailing Duty deducted PHONEYCOMB1, (i.e., paper employees,’’ are not over-stated, as Operations, to Ronald K. Lorentzen, honeycomb reported as a direct listed below: (1) Contribution to Deputy Assistant Secretary for Import material) in the total packing calculation Provident Fund, EDLI Gratuity Etc. and Administration, ‘‘Issues and Decision and PHONEYCOMB2 (i.e., paper (2) Staff & Labour Welfare. Based on the Memorandum for the 2009–2010 New honeycomb reported as a packing foregoing methodology, the revised Shipper Review of the Antidumping material) in the total direct material surrogate overhead ratio to be applied Duty Order on Folding Metal Tables and calculation.6 Chairs from the People’s Republic of • With respect to Xinjiamei for the final results is 4.92 percent for China’’ (October 18, 2011) (‘‘Issues and Furniture, the Department corrected the New-Tec Feili, and Xinjiamei Furniture. Decision Memorandum of the NSR’’), program so that the calculated labor • For the final results for Lifetime, we which are hereby adopted by this costs properly reflect the result of the have applied the 2.78 percent rate that notice. Lists of the issues that parties reported direct labor, indirect labor, and was calculated for Xinjiamei Furniture, raised and to which we responded in packing labor FOPs multiplied by the the respondent in the companion new the Issues and Decision Memoranda are labor surrogate value.7 shipper review, instead of the rate attached to this notice as an appendix. • We have recalculated New-Tec’s, applied in the preliminary results, The Issues and Decision Memoranda are Feili’s, and Xinjiamei Furniture’s which was calculated for New Tec in a public documents and are on file surrogate values for the labor cost based previous administrative review.11 electronically via Import on the methodology proposed in (1) Final Results of Reviews Administration’s Antidumping and Labor Methodologies,8 (2) Wage Rate Countervailing Duty Centralized Memo and NSR Memorandum: We determine that the dumping Electronic Service System (‘‘IA Industry-Specific Surrogate Wage Rate; 9 margins for the POR are as follows:

Weighted-average Exporter margin

Feili Group (Fujian) Co., Ltd., Feili Furniture Development Limited Quanzhou City ...... 0.03 (de minimis) New-Tec Integration (Xiamen) Co., Ltd ...... 0.00% Lifetime Hong Kong Ltd ...... 2.78%

5 See Issues and Decision Memorandum of the from the People’s Republic of China: Industry- Duty Order on Folding Metal Tables and Chairs Administrative Review, at Comment 3. Specific Surrogate Wage Rate and Surrogate from the People’s Republic of China: Labor Cost 6 See id., at Comment 4. Financial Ratio Adjustments,’’ dated June 28, 2011 Conversion,’’ dated July 15, 2011 (‘‘NSR (‘‘NSR Memorandum: Industry-Specific Surrogate 7 See Issues and Decision Memorandum of the Memorandum: Labor Cost Conversion’’) and Wage Rate’’) and Memorandum to the File, entitled NSR, at Comment 2. Memorandum to the File, entitled ‘‘2009–2010 ‘‘2009–2010 Administrative Review of the 8 Administrative Review of the Antidumping Duty Antidumping Methodologies in Proceedings Antidumping Duty Order on Folding Metal Tables Involving Non-Market Economies: Valuing the and Chairs from the People’s Republic of China: Order on Folding Metal Tables and Chairs from the Factor of Production: Labor, 76 FR 36092 (June 21, Industry-Specific Surrogate Wage Rate and People’s Republic of China: Labor Cost 2011) (‘‘Labor Methodologies’’). Surrogate Financial Ratio Adjustments,’’ dated June Conversion,’’ dated July 15, 2011 (‘‘Labor Cost 9 See Memorandum to the File, entitled ‘‘2009– 28, 2011 (‘‘Wage Rate Memo’’). Conversion Memo’’). 2010 New Shipper Review of the Antidumping 10 See Memorandum to the File, entitled ‘‘2009– 11 See Issues and Decision Memorandum of the Duty Order on Folding Metal Tables and Chairs 2010 New Shipper Review of the Antidumping Administrative Review, at Comment 5.

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Weighted-average Exporter margin

Xinjiamei Furniture (Zhangzhou) Co., Ltd., Xinjiamei (Zhangzhou) Commodity Co., Ltd ...... 2.78%

Determination To Revoke Order, in period. In addition, New-Tec sold exporter/importer- (or customer) Part folding metal tables and chairs at not specific assessment rates for The Department may revoke, in whole less than NV in the two previous merchandise subject to these reviews. or in part, an antidumping duty order administrative reviews (i.e., New-Tec’s Where appropriate, we calculated an ad dumping margins were zero or de valorem rate for each importer (or upon completion of a review under 14 section 751 of the Act. While Congress minimis). Also, we find that customer) by dividing the total dumping has not specified the procedures that the application of the antidumping duty margins for reviewed sales to that party Department must follow in revoking an order to New-Tec is no longer by the total entered values associated with those transactions. For duty- order, the Department has developed a warranted. We base this partial revocation of the order with respect to assessment rates calculated on this procedure for revocation that is New-Tec on three consecutive years of basis, we will direct CBP to assess the described in 19 CFR 351.222. This sales made in commercial quantities at resulting ad valorem rate against the regulation requires, inter alia, that a not less than NV and on New-Tec’s entered customs values for the subject company requesting revocation must agreement to immediate reinstatement merchandise. Where appropriate, we submit the following: (1) A certification in the relevant antidumping order, if the calculated a per-unit rate for each that the company has sold the subject Department concludes that it sold the importer (or customer) by dividing the merchandise at not less than normal subject merchandise at less than NV total dumping margins for reviewed value (‘‘NV’’) in the current subsequent to revocation.15 Moreover, sales to that party by the total sales review period and that the company no party has contested the revocation quantity associated with those will not sell subject merchandise at less analysis for New-Tec. Therefore, we transactions. For duty-assessment rates than NV in the future; (2) a certification continue to find that New-Tec qualifies calculated on this basis, we will direct that the company sold commercial for revocation, in part, of the CBP to assess the resulting per-unit rate quantities of the subject merchandise to antidumping duty order on folding against the entered quantity of the the United States in each of the three metal tables and chairs from the PRC subject merchandise. Where an years forming the basis of the request; under 19 CFR 351.222(b)(2). importer- (or customer) specific and (3) an agreement to immediate Accordingly, we are revoking the assessment rate is de minimis under 19 reinstatement of the order if the order with respect to subject CFR 351.106(c) (i.e., less than 0.50 Department concludes that the merchandise exported by New-Tec. percent), the Department will instruct company, subsequent to the revocation, Effective Date of Revocation CBP to assess that importer (or sold subject merchandise at less than customer’s) entries of subject 12 NV. Upon receipt of such a request to This revocation applies to all entries merchandise without regard to revoke an order in part, the Department of subject merchandise that are exported antidumping duties. Because we have will consider: (1) Whether the company by New-Tec, and are entered, or revoked the order with respect to in question has sold subject withdrawn from warehouse, for subject merchandise exported by New- merchandise at not less than NV for a consumption on or after June 1, 2010. Tec, we will instruct CBP to terminate period of at least three consecutive The Department will order the the suspension of liquidation for years; (2) whether the company has suspension of liquidation lifted for all imports of such merchandise entered, or agreed in writing to its immediate such entries and will instruct U.S. withdrawn from warehouse, for reinstatement in the order, as long as Customer and Border Protection consumption on or after June 1, 2010, any exporter or producer is subject to (‘‘CBP’’) to release any cash deposits or and to refund all cash deposits the order, if the Department concludes bonds. The Department will further collected. The Department intends to that the company, subsequent to the instruct CBP to refund with interest any issue appropriate assessment revocation, sold the subject cash deposits on entries made on or instructions directly to CBP 15 days merchandise at less than NV; and (3) after June 1, 2010. after publication of the final results of whether the continued application of Assessment these reviews. the antidumping duty order is otherwise necessary to offset dumping.13 The Department will determine, and Cash Deposit Requirements We have determined that the request CBP shall assess, antidumping duties on The following cash deposit from New-Tec meets all of the criteria all appropriate entries of subject requirements will be effective upon for revocation under 19 CFR 351.222. merchandise in accordance with the publication of the final results of this With regard to the criteria of 19 CFR final results of these reviews. For administrative review for all shipments 351.222(b)(2), our final margin assessment purposes, we calculated of the subject merchandise from the PRC calculations show that New-Tec sold entered, or withdrawn from warehouse, folding metal tables and chairs at not 14 See Folding Metal Tables and Chairs from the for consumption on or after the People’s Republic of China: Final Results of less than NV during the current review Antidumping Duty Administrative Review, 74 FR publication date, as provided for by 3560 (January 21, 2009); and Folding Metal Tables section 751(a)(2)(C) of the Act: (1) For 12 See 19 CFR 351.222(e)(1). and Chairs from the People’s Republic of China: previously investigated or reviewed PRC 13 See 19 CFR 351.222(b)(2)(i) and Sebacic Acid Final Results of Antidumping Duty Administrative and non-PRC exporters not listed above From the People’s Republic of China: Final Results Review, 74 FR 68568 (December 28, 2009). of Antidumping Duty Administrative Review and 15 See Memorandum to the File entitled, that have separate rates, the cash Determination To Revoke Order in Part, 67 FR ‘‘Analysis of Commercial Quantities for New-Tec’s deposit rate will continue to be the 69719, 69720 (November 19, 2002). Request for Revocation,’’ dated May 31, 2011. exporter-specific rate published for the

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most recent period; (2) for all PRC Comment 3: Application of Sigma Cap in sulfanilic acid from the PRC and India exporters of subject merchandise which New-Tec’s Supplier Distance and the CVD order on sulfanilic acid have not been found to be entitled to a Calculation. from India, pursuant to section 751(c) of separate rate, the cash deposit rate will Comment 4: Application of Paper Honey the Tariff Act of 1930, as amended Comb in New-Tec’s Direct and Packing (‘‘Act’’). See Initiation of Five-Year be the PRC-wide rate established in the Material Calculation. final results of this review (i.e., 70.71 Comment 5: Application of the Appropriate (‘‘Sunset’’) Review, 76 FR 18163 (April ercent); and (3) for all non-PRC Margin to Lifetime. 1, 2011). exporters of subject merchandise which As a result of its review, the have not received their own rate, the List of Comments and Issues in the Issues Department determined that revocation and Decision Memorandum for the New of the AD orders on sulfanilic acid from cash deposit rate will be the rate Shipper Review applicable to the PRC exporters that the PRC and India would likely lead to supplied that non-PRC exporter. These Comment 1: Surrogate Value for Cold a continuation or recurrence of dumping Rolled Steel Coil. deposit requirements, when imposed, and that revocation of the CVD order on Comment 2: Calculation of Labor Costs. sulfanilic acid from India would likely shall remain in effect until further Comment 3: Treatment of Overhead notice. Surrogate Financial Ratio. lead to continuation or recurrence of subsidization and, therefore, notified Notification to Interested Parties [FR Doc. 2011–27576 Filed 10–24–11; 8:45 am] the ITC of the magnitude of the margins This notice serves as a final reminder BILLING CODE 3510–DS–P likely to prevail should the orders be to importers of their responsibility revoked. See Sulfanilic Acid From under 19 CFR 351.402(f)(2) to file a India: Final Results of Expedited Sunset DEPARTMENT OF COMMERCE certificate regarding the reimbursement Review of Countervailing Duty Order, 76 of antidumping duties prior to International Trade Administration FR 33243 (June 8, 2011) and Sulfanilic liquidation of the relevant entries Acid From India and the People’s during the review period. Pursuant to 19 [A–570–815, A–533–806, C–533–807] Republic of China; Final Results of CFR 351.402(f)(3), failure to comply Third Expedited Sunset Reviews of with this requirement could result in Sulfanilic Acid From the People’s Antidumping Duty Orders, 76 FR 45510 the Department’s presumption that Republic of China and India: (July 29, 2011). reimbursement of antidumping duties Continuation of Antidumping and On October 4, 2011, the ITC occurred and the subsequent assessment Countervailing Duty Orders determined, pursuant to section 751(c) of the Act, that revocation of the AD of doubled antidumping duties. AGENCY: Import Administration, orders on sulfanilic acid from the PRC This notice also serves as a reminder International Trade Administration, and India and the CVD order on to parties subject to administrative Department of Commerce. protective order (‘‘APO’’) of their sulfanilic acid from India would likely responsibility concerning the SUMMARY: As a result of determinations lead to a continuation or recurrence of disposition of proprietary information by the Department of Commerce (the material injury to an industry in the disclosed under APO as explained in ‘‘Department’’) and the International United States within a reasonably the administrative protective order Trade Commission (the ‘‘ITC’’) that foreseeable time. See USITC Publication itself. Timely written notification of the revocation of the antidumping duty 4270 (October 2011), Sulfanilic Acid return/destruction of APO materials or (‘‘AD’’) orders on sulfanilic acid from From China And India: Investigation conversion to judicial protective order is the People’s Republic of China (‘‘PRC’’) Nos. 701–TA–318 and 731–TA–538 and hereby requested. Failure to comply and India would likely lead to 561 (Third Review) and Sulfanilic Acid with the regulations and the terms of an continuation or recurrence of dumping, From China and India, 76 FR 62843 APO is a sanctionable violation. that revocation of the countervailing (October 11, 2011). duty (‘‘CVD’’) order on sulfanilic acid This notice of the final results of these Scope of the Orders reviews is issued and published in from India would likely lead to accordance with sections 751(a)(1) and continuation or recurrence of a The merchandise covered by the AD 777(i) of the Act. countervailable subsidy, and that and CVD orders is all grades of revocation of these AD and CVD orders sulfanilic acid, which include technical Dated: October 18, 2011. would likely lead to a continuation or (or crude) sulfanilic acid, refined (or Ronald K. Lorentzen, recurrence of material injury to an purified) sulfanilic acid and sodium salt Deputy Assistant Secretary for Import industry in the United States, the of sulfanilic acid (sodium sulfanilate). Administration. Department is publishing this notice of Sulfanilic acid is a synthetic organic Appendix continuation of these AD and CVD chemical produced from the direct orders. sulfonation of aniline with sulfuric acid. Sulfanilic acid is used a raw material in DATES: Effective Date: October 25, 2011. List of Comments and Issues in the Issues the production of optical brighteners, and Decision Memorandum for the FOR FURTHER INFORMATION CONTACT: food colors, specialty dyes, and concrete Administrative Review Laurel Lacivita or Eugene Degnan (PRC additive. The principal differences Comment 1: Selection of the Primary Order), Eric Greynolds (Indian AD/CVD between the grades are the undesirable Surrogate Country. Orders), AD/CVD Operations, Import quantities of residual aniline and alkali A. Economic Comparability. Administration, International Trade insoluble materials present in the B. Significant Production of Comparable Administration, U.S. Department of sulfanilic acid. All grades are available Merchandise. Commerce, 14th Street and Constitution as dry free flowing powders. C. Best Available Surrogate Value Avenue, NW., Washington, DC 20230; Technical sulfanilic acid contains 96 Information. telephone: (202) 482–4243, (202) 482– percent minimum sulfanilic acid, 1.0 1. Best Available Data. 0414, or (202) 482–6071, respectively. 2. Labor Rate. percent maximum aniline, and 1.0 Comment 2: Surrogate Financial Statements. SUPPLEMENTARY INFORMATION: On April percent maximum alkali insoluble A. Use of Maximaa’s Financial Statements. 1, 2011, the Department initiated the materials. Refined sulfanilic acid B. Use of Lion’s Financial Statements. third sunset review of the AD orders on contains 98 percent minimum sulfanilic

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acid, 0.5 percent maximum aniline, and DEPARTMENT OF COMMERCE Grid, specified 15 high-priority gaps and 0.25 percent maximum alkali insoluble harmonization issues for which new or materials. Sodium salt of sulfanilic acid National Institute of Standards and revised standards and requirements are (sodium sulfanilate) is a granular or Technology needed, documented action plans with crystalline material containing 75 [Docket No. 110908574–1561–01] aggressive timelines by which percent minimum sulfanilic acid, 0.5 designated standards-setting percent maximum aniline, and 0.25 NIST Framework and Roadmap for organizations (SSOs) will address these percent maximum alkali insoluble Smart Grid Interoperability Standards, gaps, and described the strategy to materials based on the equivalent Release 2.0 (Draft); Request for establish requirements and standards to sulfanilic acid content.1 Comments help ensure Smart Grid cybersecurity. NIST announces the publication of The merchandise is currently AGENCY: National Institute of Standards the NIST Framework and Roadmap for classifiable under Harmonized Tariff and Technology, Department of Smart Grid Interoperability Standards, Schedule of the United States Commerce. Release 2.0 (Release 2.0) (Draft) for (‘‘HTSUS’’) subheadings 2921.42.22 and ACTION: Notice; request for comments. public review and comment. The entire 2921.42.24.90. Although the HTSUS draft version of Release 2.0 (Draft) is SUMMARY: subheadings are provided for The National Institute of available online at: http:// convenience and customs purposes, our Standards and Technology (NIST) seeks collaborate.nist.gov/twiki-sggrid/bin/ comments on the draft NIST Framework written description of the scope of the view/SmartGrid/IKBFramework. Release and Roadmap for Smart Grid orders is dispositive. 2.0 builds upon the work in Release 1.0 Interoperability Standards, Release 2.0. with an update on the progress in Continuation of the Orders Comments must be received on or closing the previously identified high- before 5 p.m. Eastern time on November priority gaps and additional standards As a result of these determinations by 25, 2011. The entire draft version of the the Department and the ITC that issues that are now being addressed, a NIST Framework and Roadmap for description of the recently-formed revocation of the AD and CVD orders on Smart Grid Interoperability Standards, Smart Grid Interoperability Panel sulfanilic acid would likely lead to a Release 2.0 (Draft), is available online at: (SGIP), an expanded cybersecurity continuation or recurrence of dumping http://collaborate.nist.gov/twiki-sggrid/ chapter, and a new testing and or a countervailable subsidy, and bin/view/SmartGrid/IKBFramework. certification chapter. material injury to an industry in the DATES: Comments must be received on Request for Comments: NIST seeks United States, pursuant to section or before 5 p.m. Eastern Time on comments on the draft framework and 751(d)(2) of the Act, the Department November 25, 2011. roadmap report. In particular, the hereby orders the continuation of the ADDRESSES: Written comments may be agency requests that: Comments be AD orders on sulfanilic acid from the sent to Office of the National categorized as (1) Technical; (2) PRC and India and the CVD order on Coordinator for Smart Grid editorial; or (3) general. If a comment is sulfanilic acid from India. U.S. Customs Interoperability, National Institute of not a general comment, please identify and Border Protection will continue to Standards and Technology, 100 Bureau the relevant page, line number, and collect cash deposits at the rates in Drive, Mail Stop 8100, Gaithersburg, section the comment addresses. Also effect at the time of entry for all imports MD 20899–8100 or by e-mail at include a proposal on how to address of subject merchandise. The effective [email protected]. the comment. Comments should be date of the continuation of the orders FOR FURTHER INFORMATION CONTACT: submitted in accordance with will be the date of publication in the Dr. George W. Arnold, National instructions in the ADDRESSES section of Federal Register of this notice of Coordinator for Smart Grid this notice. continuation. Pursuant to section Interoperability, National Institute of Dated: October 13, 2011. 751(c)(2) of the Act, the Department Standards and Technology, 100 Bureau Willie E. May, intends to initiate the next five-year Drive, Mail Stop 8100, Gaithersburg, Associate Director for Laboratory Programs. review of the orders not later than 30 MD 20899–8100; telephone 301–975– [FR Doc. 2011–27556 Filed 10–24–11; 8:45 am] days prior to the fifth anniversary of the 2232, fax 301–975–4091; or via e-mail at BILLING CODE 3510–13–P effective date of continuation. [email protected]. These five-year (sunset) reviews and SUPPLEMENTARY INFORMATION: Section this notice are in accordance with 1305 of the Energy Independence and DEPARTMENT OF COMMERCE Security Act (EISA) of 2007 (Pub. L. section 751(c) of the Act and published 110–140, 121 Stat. 1492) requires the National Institute of Standards and pursuant to section 777(i)(1) of the Act. Director of NIST ‘‘to coordinate the Technology Dated: October 20, 2011. development of a framework that Announcement of Meeting To Explore Ronald K. Lorentzen, includes protocols and model standards Feasibility of Establishing a NIST/ Deputy Assistant Secretary for Import for information management to achieve interoperability of smart grid devices Industry Consortium on ‘‘Concrete Administration. Rheology: Enabling Metrology [FR Doc. 2011–27716 Filed 10–21–11; 4:15 pm] and systems.’’ In January, 2010, NIST published the (CREME)’’ BILLING CODE 3510–DS–P NIST Framework and Roadmap for AGENCY: National Institute of Standards Smart Grid Interoperability Standards, and Technology, Commerce. Release 1.0 (Release 1.0). Release 1.0 1 ACTION: Notice of public meeting. In response to a request from 3V Corporation, on described a high-level conceptual May 5, 1999, the Department clarified that sodium SUMMARY sulfanilate processed in Italy from sulfanilic acid reference model for the Smart Grid, : The National Institute of produced in India is within the scope of the AD and identified 75 existing standards that are Standards and Technology (NIST) CVD orders on sulfanilic acid from India. See applicable (or likely to be applicable) to invites interested parties to attend a pre- Notice of Scope Rulings, 65 FR 41957 (July 7, 2000). the ongoing development of the Smart consortium meeting on November 8,

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2011 to be held at the NIST campus, 1, 2011, in order to attend. Please Dated: October 20, 2011. with the option of participating via web- submit your name, time of arrival, e- Tracey L. Thompson, based meeting. The purpose of the mail address, and phone number to: Acting Director, Office of Sustainable meeting is to evaluate industry interest [email protected]. Non-U.S. Fisheries, National Marine Fisheries Service. in creating a NIST/industry/Academia citizens must also submit their country [FR Doc. 2011–27537 Filed 10–24–11; 8:45 am] consortium focused on ‘‘Concrete of citizenship, title, employer/sponsor, BILLING CODE 3510–22–P Rheology: Enabling Metrology and address. Chiara Ferraris’s e-mail (CREME)’’. The goal of such a address is [email protected] and consortium could include determining her telephone number is (301) 975– DEPARTMENT OF COMMERCE key rheological parameters that best 6711. National Oceanic and Atmospheric characterize the placement, finishability Dated: October 13, 2011. Administration and consolidation of concrete. This goal Willie E. May, would be achieved by developing test Associate Director for Laboratory Programs. RIN 0648–XA762 methods and models to measure and predict the performance parameters of [FR Doc. 2011–27554 Filed 10–24–11; 8:45 am] Caribbean Fishery Management fresh concrete in the lab and at the BILLING CODE 3510–13–P Council; Public Meeting construction site. To move these ideas into practice and to engage industry, test AGENCY: National Marine Fisheries DEPARTMENT OF COMMERCE bed facilities and quality control test Service (NMFS), National Oceanic and methods for the field would be Atmospheric Administration (NOAA), National Oceanic and Atmospheric Commerce. developed at NIST consortium Administration members’ participation. The consortium ACTION: Notice of a public meeting. would be administered by NIST with RIN 0648–XA786 SUMMARY: The Caribbean Fishery consortium members’ participation. Management Council’s Scientific and Consortium planning, research and Mid-Atlantic Fishery Management Statistical Committee (SSC) will hold a development would be conducted by Council (MAFMC); Public Meeting meeting. NIST staff along with at least one AGENCY: technical representative from each National Marine Fisheries DATES: The SSC meeting will be held on participating member entities. Each Service (NMFS), National Oceanic and November 15–16, 2011, from 9 a.m. to member of the consortium will be Atmospheric Administration (NOAA), 5 p.m. The meeting is open to the required to sign a Cooperative Research Commerce. public, and will be conducted in and Development Agreement ACTION: Notice of a public meeting. English. (‘‘CRADA’’) with NIST. Membership ADDRESSES: SUMMARY: The Mid-Atlantic Fishery The meeting will be held at fees for participation in the consortium Management Council’s (Council) the Embassy Suites Hotel, 8000 Tartak will be Twenty-five Thousand ($25,000) Ecosystem and Ocean Planning Street, Carolina, Puerto Rico 00979. per year. The initial term of the Committee will hold a public meeting. FOR FURTHER INFORMATION CONTACT: consortium is intended to be three Caribbean Fishery Management Council, DATES: The meeting will be held on years. ˜ Monday, November 14, 2011, from 9 268 Munoz Rivera Avenue, Suite 1108, DATES: The meeting will take place on a.m. until 5 p.m. San Juan, Puerto Rico 00918–1920; November 8, 2011 from 11 a.m. to 1 telephone: (787) 766–5926. ADDRESSES: The meeting will be held at p.m., in Bldg. 226/Rm. B205. For those SUPPLEMENTARY INFORMATION: the Four Points Sheraton BWI Airport, The SSC planning to attend the meeting at the 7032 Elm Road, Baltimore, MD 21240 will meet to discuss the items contained NIST Gaithersburg campus, please note and telephone: (410) 859–3300. in the following agenda: admittance instructions under the Council address: Mid-Atlantic Fishery November 15, 2011—9 a.m. SUPPLEMENTARY INFORMATION section of Management Council, 800 N. State this notice. Web-based meeting —Call to order Street, Suite 201, Dover, DE 19901; participation: Connection details can be —Discuss the legal responsibility of the telephone: (302) 674–2331. obtained by contacting Chiara Ferraris SSC for providing OFL and ABC or Nicos Martys one week prior to the FOR FURTHER INFORMATION CONTACT: recommendations to the CFMC for meeting. Christopher M. Moore Ph.D., Executive species not undergoing overfishing Director, Mid-Atlantic Fishery ADDRESSES: The meeting will be held on and are not overfished (NOAA Legal Management Council, 800 N. State the NIST Gaithersburg campus, 100 Counsel) Street, Suite 201, Dover, DE 19901; Bureau Drive, Gaithersburg, MD 20899. —Revisit spiny lobster (Panulirus argus) telephone: (302) 526–5255. recommendations for OFL ABC based FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: The on information provided by SERO/ Chiara Ferraris, Nicos Martys, National purpose of the meeting is to review SEFSC/USVI DPNR/PRDNER for both Institute of Standards and Technology, previous Committee efforts and chart Puerto Rico and the USVI 100 Bureau Drive, Stop 8615, the future direction under the new —Discuss whether a pilot ERAEF study Gaithersburg, MD 20899–8615, USA; leadership. in St. Thomas, USVI should be Telephone: (301) 975–6711; Fax (301) funded by the CFMC and discuss the 990–6891; E-mail: Special Accommodations scope of work, if it is recommended [email protected]; The meeting is physically accessible that such a project be funded [email protected]. to people with disabilities. Requests for SUPPLEMENTARY INFORMATION: All sign language interpretation or other November 16, 2011—9 a.m. visitors to the NIST site are required to auxiliary aids should be directed to M. —Continue discussion and make a pre-register to be admitted. Anyone Jan Saunders at the Mid-Atlantic recommendation to the CFMC wishing to attend this meeting must Council Office, (302) 526–5251, at least regarding funding a pilot ERAEF register by close of business November 5 days prior to the meeting date. study in St. Thomas, USVI

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—Review fishery monitoring programs July 24, 2008 (73 FR 44225) had been at 51 U.S.C. 60101 et seq. The and provide recommendations requested by the above-named Committee is comprised of leaders in —Old business organization. The requested the commercial space-based remote —New business modification has been granted under the sensing industry, space-based remote —Next meeting authority of the Endangered Species Act sensing data users, government (state —Adjourn of 1973, as amended (ESA; 16 U.S.C. and local), and academia. The Special Accommodations 1531 et seq.) and the regulations Department of Commerce is seeking governing the taking, importing, and highly qualified individuals who are This meeting is physically accessible exporting of endangered and threatened knowledgeable about the commercial to people with disabilities. For more species (50 CFR 222–226). space-based remote sensing industry information or request for sign language The modification increases the and uses of space-based remote sensing interpretation and/other auxiliary aids, number of leatherback (Dermochelys data to serve on the Committee. please contact Mr. Miguel A. Rolo´n, coriacea), loggerhead (Caretta caretta), DATES: Nominations must be Executive Director, Caribbean Fishery green (Chelonia mydas), Kemp’s ridley postmarked no later than 30 days from ˜ Management Council, 268 Munoz (Lepidochelys kempii) and unidentified the publication date of this notice. Rivera Avenue, Suite 1108, San Juan, hardshell sea turtles that may be Puerto Rico 00918–1920, telephone: SUPPLEMENTARY INFORMATION: ACCRES harassed during aerial surveys. This was established by the Secretary of (787) 766–5926, at least 5 days prior to work will assess potential injury from the meeting date. Commerce on May 21, 2002, to advise Mississippi Canyon 252 oil on sea turtle the Secretary, through the Under Dated: October 20, 2011. populations in the northern Gulf of Secretary of Commerce for Oceans and Tracey L. Thompson, Mexico as part of the post-spill Natural Atmosphere, on matters relating to the Acting Director, Office of Sustainable Resources Damage Assessment of the BP U.S. commercial remote sensing Fisheries, National Marine Fisheries Service. Deepwater Horizon event. The industry and NOAA’s activities to carry [FR Doc. 2011–27582 Filed 10–24–11; 8:45 am] modification is valid through July 1, out responsibilities of the Department of 2013. BILLING CODE 3510–22–P Commerce as set forth in the National Issuance of this modification, as and Commercial Space Programs Act of required by the ESA was based on a 2010. DEPARTMENT OF COMMERCE finding that such permit (1) Was applied Committee members serve in a for in good faith, (2) will not operate to representative capacity for a term of two National Oceanic and Atmospheric the disadvantage of such endangered or years and may serve additional terms, if Administration threatened species, and (3) is consistent reappointed. No more than 15 with the purposes and policies set forth RIN 0648–XA785 individuals at a time may serve on the in section 2 of the ESA. Committee. ACCRES will have a fairly Endangered Species; File No. 1551 Dated: October 20, 2011. balanced membership consisting of P. Michael Payne, approximately 9 to 15 members. AGENCY: National Marine Fisheries Nominations are encouraged from all Service (NMFS), National Oceanic and Chief, Permits and Conservation Division, Office of Protected Resources, National interested U.S. persons and Atmospheric Administration (NOAA), Marine Fisheries Service. organizations representing interests Commerce. [FR Doc. 2011–27591 Filed 10–24–11; 8:45 am] affected by the National and ACTION: Notice; issuance of permit BILLING CODE 3510–22–P Commercial Space Programs Act of 2010 modification. and the U.S. commercial space based SUMMARY: Notice is hereby given that remote sensing policy. Nominees must the NMFS Southeast Fisheries Science DEPARTMENT OF COMMERCE possess demonstrable expertise in a Center (Responsible Party: Bonnie field related to the spaced based National Oceanic and Atmospheric commercial remote sensing industry or Ponwith) has been issued a modification Administration to scientific research Permit No. 1551– exploitation of space based commercial remotely sensed data and be able to 02. Advisory Committee on Commercial attend committee meetings that are held ADDRESSES: The modification and Remote Sensing (ACCRES); Request usually two times per year. In addition, related documents are available for for Nominations selected candidates must apply for and review upon written request or by obtain a security clearance. Membership appointment in the following offices: ACTION: Notice requesting nominations is voluntary, and service is without pay. Permits and Conservation Division, for the Advisory Committee on Each nomination that is submitted Office of Protected Resources, NMFS, Commercial Remote Sensing (ACCRES). should include the proposed committee 1315 East-West Highway, Room 13705, SUMMARY: The Advisory Committee on member’s name and organizational Silver Spring, MD 20910; phone (301) Commercial Remote Sensing (ACCRES) affiliation, a cover letter describing the 427–8401; fax (301) 713–0376; and was established to advise the Secretary nominee’s qualifications and interest in Southeast Region, NMFS, 263 13th of Commerce, through the Under serving on the Committee, a curriculum Ave South, St. Petersburg, FL 33701; Secretary of Commerce for Oceans and vitae or resume of the nominee, and no phone (727) 824–5312; fax (727) 824– Atmosphere, on matters relating to the more than three supporting letters 5309. U.S. commercial remote sensing describing the nominee’s qualifications FOR FURTHER INFORMATION CONTACT: industry and NOAA’s activities to carry and interest in serving on the Amy Hapeman or Carrie Hubard, (301) out responsibilities of the Department of Committee. Self-nominations are 713–2289. Commerce as originally set forth in the acceptable. The following contact SUPPLEMENTARY INFORMATION: On August Land Remote Sensing Policy Act of information should accompany each 8, 2011, notice was published in the 1992, 15 U.S.C. 5621 et seq., but now submission: the nominee’s name, Federal Register (76 FR 48146) that a recodified by the National and address, phone number, fax number, modification of Permit No. 1551, issued Commercial Space Programs Act of 2010 and e-mail address, if available.

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Nominations should be sent to Performance Review Board begins on Dated: October 19, 2011. Director, Commercial Remote Sensing October 25, 2011. Susan Boggs, Regulatory Affairs Office, 1335 East FOR FURTHER INFORMATION CONTACT: Director, Office of Staffing, Recruitment and West Highway, Room 8260, Silver Ruthie B. Stewart, Department of Classification, Department of Commerce Spring, Maryland 20910. Nominations Commerce Human Resources Human Resources Operations Center. must be postmarked no later than 30 Operations Center (DOCHROC), Office [FR Doc. 2011–27486 Filed 10–24–11; 8:45 am] days from the publication date of this of Staffing, Recruitment, and BILLING CODE 3510–25–P notice. The full text of the Committee Classification/Executive Resources Charter and its current membership can Operations, 14th and Constitution be viewed at the Agency’s web page at: Avenue, NW., Room 7419, Washington, CORPORATION FOR NATIONAL AND http://www.nesdis.noaa.gov/CRSRA/ DC 20230, at (202) 482–3130. COMMUNITY SERVICE accresHome.html. SUPPLEMENTARY INFORMATION: In Proposed Information Collection; FOR FURTHER INFORMATION CONTACT: accordance with 5 U.S.C. 4314(c)(4), the Comment Request ACCRES Administration, NOAA National Telecommunications and Commercial Remote Sensing Regulatory Information Administration (NTIA), AGENCY: Corporation for National and Affairs Office, 1335 East West Highway, Department of Commerce (DOC), Community Service. Room 8260, Silver Spring, Maryland announce the appointment of those ACTION: Notice. 20910; telephone (301) 713–1644, e-mail individuals who have been selected to [email protected]. serve as members of NTIA’s SUMMARY: The Corporation for National Performance Review Board. The and Community Service (the Charles S. Baker, Performance Review Board is Corporation), as part of its continuing Deputy Assistant Administrator for Satellite responsible for (1) reviewing effort to reduce paperwork and and Information Services . performance appraisals and rating of respondent burden, conducts a pre- [FR Doc. 2011–27498 Filed 10–24–11; 8:45 am] Senior Executive Service (SES) members clearance consultation program to BILLING CODE 3510–HR–P and (2) making recommendations to the provide the general public and federal appointing authority on other agencies with an opportunity to performance management issues, such comment on proposed and/or DEPARTMENT OF COMMERCE as pay adjustments, bonuses and continuing collections of information in accordance with the Paperwork National Telecommunications and Presidential Rank Awards for SES Reduction Act of 1995 (PRA95) (44 Information Administration members. The appointment of these members to the Performance Review U.S.C. 3506(c)(2)(A)). This program Membership of the National Board will be for a period of twenty-four helps to ensure that requested data can Telecommunications and Information (24) months. be provided in the desired format, Administration’s Performance Review DATES: The period of appointment for reporting burden (time and financial Board those individuals selected for NTIA’s resources) is minimized, collection Performance Review Board begins on instruments are clearly understood, and AGENCY: National Telecommunications October 25, 2011. The name, position the impact of collection requirement on and Information Administration, title, and type of appointment of each respondents can be properly assessed. Department of Commerce. member of NTIA’s Performance Review Currently, the Corporation is ACTION: REVISED—Notice of Board are set forth below by soliciting comments concerning its Membership on the National organization: proposed renewal of Day of Service Telecommunications and Information Project Promotion Tool. Anyone Administration’s Performance Review Department of Commerce, International organizing a volunteer event will be able Board Membership. Trade Administration (ITA) to register their projects, including: Renee A. Macklin, Chief Information national service projects, corporations, SUMMARY: In accordance with 5 U.S.C. Officer, ITA, Career SES. volunteer organizations and individuals. 4314(c)(4), the National The Corporation wants to help promote Telecommunications and Information Department of Commerce, National activities across the country and also to Administration (NTIA), Department of Telecommunications and Information be able to assess impact of the Commerce (DOC), announce the Administration Corporation’s initiatives. Information appointment of those individuals who Fiona M. Alexander, Associate provided is purely voluntary and will have been selected to serve as members Administrator, Office of International not be used for any grant or funding of NTIA’s Performance Review Board. Affairs, Career SES, (New Member). support. The Performance Review Board is Leonard M. Bechtel, Chief Financial Copies of the information collection responsible for (1) reviewing Officer and Director of Administration, request can be obtained by contacting performance appraisals and rating of Career SES, Chairperson, (New the office listed in the addresses section Senior Executive Service (SES) members Member). of this notice. and (2) making recommendations to the Bernadette A. McGuire-Rivera, DATES: Written comments must be appointing authority on other Associate Administrator for submitted to the individual and office performance management issues, such Telecommunications and Information listed in the ADDRESSES section by as pay adjustments, bonuses and Applications, Career SES. December 27, 2011. Presidential Rank Awards for SES Karl B. Nebbia, Associate ADDRESSES: You may submit comments, members. The appointment of these Administrator for Spectrum identified by the title of the information members to the Performance Review Management, Career SES. collection activity, by any of the Board will be for a period of twenty-four Alan W. Vincent, Associate following methods: (24) months. Administrator for Telecom Sciences and (1) By mail sent to: Corporation for DATES: The period of appointment for Director Institute for Telecom Sciences, National and Community Service, Office those individuals selected for NTIA’s Career SES. of External Affairs; Attention: David

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Premo, Program Support Specialist, Background Total Burden Cost (capital/startup): Room 10302–C; 1201 New York The Corporation seeks to support None. Avenue, NW., Washington, DC, 20525. volunteer projects through service Total Burden Cost (operating/ (2) By hand delivery or by courier to initiatives including Martin Luther King maintenance): None. the Corporation’s mailroom at Room Jr. Day of Service, September 11th Day Comments submitted in response to 8100 at the mail address given in of Service and Remembrance, United this notice will be summarized and/or paragraph (1) above, between 9 a.m. and We Serve, Let’s Read-Let’s Move, included in the request for Office of 4 p.m. Eastern Time, Monday through AmeriCorps Week, Senior Corps Week Management and Budget approval of the Friday, except Federal holidays. and other initiatives. To help promote information collection request; they will (3) By fax to: (202) 606–3460 activities and to ascertain impact of our also become a matter of public record. Attention: David Premo, Program initiatives, it is important to be aware of Dated: October 19, 2011. Support Specialist. activities and projects taking place. Marco A. Davis, Anyone participating in, or organizing a Director of Public Engagement. (4) Electronically through project will be encouraged to register [FR Doc. 2011–27594 Filed 10–24–11; 8:45 am] www.regulations.gov. Individuals who their project on our website. The use a telecommunications device for the information will be collected BILLING CODE 6050–$$–P deaf (TTY–TDD) may call 1–800–833– electronically and stored securely on 3722 between 8 a.m. and 8 p.m. Eastern our computer network. Time, Monday through Friday. Current Action DEPARTMENT OF DEFENSE FOR FURTHER INFORMATION CONTACT: The Corporation seeks to renew the David Premo, (202) 606–6717, or by Office of the Secretary email at [email protected]. current information collection request. In order to provide more useful SUPPLEMENTARY INFORMATION: information we have added some [Transmittal Nos. 11–24] The Corporation is particularly questions and removed others. 36(b)(1) Arms Sales Notification interested in comments that: The information collection will • Evaluate whether the proposed otherwise be used in the same manner AGENCY: Department of Defense, Defense collection of information is necessary as the existing application. The Security Cooperation Agency. Corporation also seeks to continue using for the proper performance of the ACTION: Notice. functions of the Corporation, including the current application until the revised whether the information will have application is approved by OMB. The SUMMARY: The Department of Defense is practical utility; current application is due to expire on publishing the unclassified text of a • December 30, 2012. section 36(b)(1) arms sales notification. Evaluate the accuracy of the Type of Review: Revision and This is published to fulfill the agency’s estimate of the burden of the renewal. proposed collection of information, Agency: Corporation for National and requirements of section 155 of Public including the validity of the Community Service. Law 104–164 dated July 21, 1996. methodology and assumptions used; Title: Day of Service Project FOR FURTHER INFORMATION CONTACT: Ms. • Enhance the quality, utility, and Promotion Tool. B. English, DSCA/DBO/CFM, (703) 601– clarity of the information to be OMB Number: 3045–0122. 3740. collected; and Agency Number: None. The following is a copy of a letter to Affected Public: Any person or group the Speaker of the House of • Minimize the burden of the organizing a service project in Representatives, Transmittals 11–24 collection of information on those who conjunction with a Corporation with attached transmittal and policy are expected to respond, including the initiative. justification. use of appropriate automated, Total Respondents: 100,000. electronic, mechanical, or other Frequency: 6 times annually. Dated: October 20, 2011. technological collection techniques or Average Time per Response: Averages Aaron Siegel, other forms of information technology 10 minutes. Alternate OSD Federal Register Liaison (e.g., permitting electronic submissions Estimated Total Burden Hours: Officer, Department of Defense. of responses). 66,667. BILLING CODE 5001–06–P

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Transmittal No. 11–24 Policy Justification The prime contractor will be Northrop Grumman Corporation in Bethpage, Notice of Proposed Issuance of Letter France—Upgrade of E–2C HAWKEYE New York. There are no known offset of Offer Pursuant to Section 36(b)(1) of Aircraft agreements proposed in connection the Arms Export Control Act, as The Government of France has with this potential sale. Amended requested a possible sale of the upgrade Implementation of this proposed sale (i) Prospective Purchaser: France. of four E–2C HAWKEYE Aircraft with (ii) Total Estimated Value: will not require the assignment of any weapon system sensor upgrades with additional U.S. Government or Mode 5/S Identification Friend or Foe contractor representatives to France. Major Defense Equip- $150 million. (IFF). Included are 5 APX–122 IFF There will be no adverse impact on ment *. Mode 5/S Interrogator Systems, 5 APX– Other ...... $30 million. 123 IFF Mode 5/S Transponder the U.S. defense readiness as a result of this proposed sale. Total ...... $180 million. Systems, and 5 ALQ–217 Electronic Support Measure Systems. In addition, [FR Doc. 2011–27551 Filed 10–24–11; 8:45 am] * As defined in Section 47(6) of the Arms this proposed sale will include related BILLING CODE 5001–C Export Control Act. spare and repair parts, support and test (iii) Description and Quantity or equipment, weapon system support, DEPARTMENT OF DEFENSE Quantities of Articles or Services under development, publications and technical documentation, integration Consideration for Purchase: upgrade of Office of the Secretary four E–2C HAWKEYE Aircraft with and testing, personnel training and weapon system sensor upgrades with equipment, U.S. Government and Mode 5/S Identification Friend or Foe contractor engineering and logistics [Transmittal Nos. 11–09] personnel support services, and other (IFF). Included are 5 APX–122 IFF 36(b)(1) Arms Sales Notification Mode 5/S Interrogator Systems, 5 APX– related elements of logistics support. 123 IFF Mode 5/S Transponder The estimated cost is $180 million. AGENCY: Department of Defense, Defense France is one of the major political Systems, and 5 ALQ–217 Electronic Security Cooperation Agency. Support Measure Systems. In addition, and economic powers in Europe and ACTION: Notice. this proposed sale will include related NATO and an ally of the United States in the pursuit of peace and stability. It spare and repair parts, support and test SUMMARY: The Department of Defense is equipment, weapon system support, is vital to the U.S. national interest to assist France to develop and maintain a publishing the unclassified text of a development, publications and section 36(b)(1) arms sales notification. technical documentation, integration strong and ready self-defense capability. France’s current IFF Interrogator, This is published to fulfill the and testing, personnel training and transponder, and electronic support requirements of section 155 of Public equipment, U.S. Government and measures is old technology and requires Law 104–164 dated July 21, 1996. contractor engineering and logistics upgrading to the most current personnel support services, and other FOR FURTHER INFORMATION CONTACT: Ms. technology. The proposed sale will give related elements of logistics support. B. English, DSCA/DBO/CFM, (703) 601– France Mode 5/S capabilities. France (iv) Military Department: Navy (LHG). 3740. intends to incorporate these systems The following is a copy of a letter to (v) Prior Related Cases: Multiple cases into its E–2C HAWKEYE Navigation dating back to 1995 . the Speaker of the House of upgrade aircraft. France has significant Representatives, Transmittals 11–09 (vi) Sales Commission, Fee, etc., Paid, experience in operating and maintaining offered, or Agreed to be Paid: None. with attached transmittal and policy modern weapon systems and justification. (vii) Sensitivity of Technology infrastructure required and will have no Contained in the Defense Article or difficulty absorbing these systems into Dated: October 20, 2011. Defense Services Proposed to be Sold: its armed forces. Aaron Siegel, None. The proposed sale of this equipment Alternate OSD Federal Register Liaison (viii) Date Report Delivered to and support will not alter the basic Officer, Department of Defense. Congress: 18 October 2011. military balance in the region. BILLING CODE 5001–06–P

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Transmittal No. 11–09 Policy Justification of approximately two (2) U.S. Government and 48 contractor Notice of Proposed Issuance of Letter of Argentina—C–130H Avionics Upgrade representatives to Argentina during the Offer Pursuant to Section 36(b)(1) of the The Government of Argentina has duration of the program. Arms Export Control Act, as Amended requested a possible purchase of There will be no adverse impact on (i) Prospective Purchaser: Argentina commercial-off-the-shelf avionics U.S. defense readiness as a result of this (ii) Total Estimated Value: upgrade of five (5) C–130H aircraft that proposed sale. includes minor Class IV modifications, [FR Doc. 2011–27550 Filed 10–24–11; 8:45 am] ground handling equipment, repair and Major Defense Equip- $ 0 million. BILLING CODE 5001–06–P ment *. return, spare and repair parts, support Other ...... $166 million. equipment, publications and technical documentation, tools and test DEPARTMENT OF DEFENSE Total ...... $166 million. equipment, personnel training and * as defined in Section 47(6) of the Arms training equipment, programmed depot Office of the Secretary Export Control Act. maintenance, U.S. Government and [Transmittal Nos. 11–38] (iii) Description and Quantity or contractor engineering, technical, and logistics support services, and other Quantities of Articles or Services under 36(b)(1) Arms Sales Notification Consideration for Purchase: related elements of program support. Commercial-off-the-shelf avionics The estimated cost is $166 million. AGENCY: Department of Defense, Defense The proposed sale will contribute to upgrade of five (5) C–130H aircraft that Security Cooperation Agency. the foreign policy and national security includes minor Class IV modifications, ACTION: Notice. of the United States by improving the ground handling equipment, repair and security of a major non- NATO ally. return, spare and repair parts, support SUMMARY: The Department of Defense is The proposed sale will improve equipment, publications and technical publishing the unclassified text of a Argentina’s capability to meet current documentation, tools and test section 36(b)(1) arms sales notification. and future needs for its existing C–130 equipment, personnel training and This is published to fulfill the fleet. Argentina uses its C–130 in training equipment, programmed depot requirements of section 155 of Public humanitarian and Antarctic missions. maintenance, U.S. Government and Law 104–164 dated July 21, 1996. Argentina, which already has C–130s in contractor engineering, technical, and FOR FURTHER INFORMATION CONTACT: Ms. its inventory, will have no difficulty logistics support services, and other B. English, DSCA/DBO/CFM, (703) 601– absorbing the upgraded systems into its related elements of program support. 3740. armed forces. The proposed sale will (iv) Military Department: Air Force The following is a copy of a letter to enhance U.S and Argentine Air Force the Speaker of the House of (QAT) relations. (v) Prior Related Cases, if any: None Representatives, The proposed sale of this equipment Transmittals 11–38 with attached (vi) Sales Commission, Fee, etc., Paid, will not alter the basic military balance Offered, or Agreed to be Paid: None transmittal, policy justification, and in the region. Sensitivity of Technology. (vii) Sensitivity of Technology The prime contractors for this sale are Contained in the Defense Article or not known at this time. There are no Dated: October 20, 2011. Defense Services Proposed to be Sold: known offset agreements proposed in Aaron Siegel, None connection with this potential sale. Alternate OSD Federal Register Liaison (viii) Date Report Delivered to Implementation of this proposed sale Officer, Department of Defense. Congress: 18 October 2011 will require the temporary assignment BILLING CODE 5001–06–P

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BILLING CODE 5001–06–C

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Transmittal No. 11–38 Verification Flight Test missiles, 24 contractor representatives over a period Captive Flight Trainers, 18 AN/VRC– of up to or over 15 years for program Notice of Proposed Issuance of Letter of 92E exportable Single Channel Ground and technical support, equipment Offer Pursuant to Section 36(b)(1) of the and Airborne Radio Systems checkout, and training. Arms Export Control Act, as amended (SINCGARS), 20 S250 Shelters, 20 High There will be no adverse impact on (i) Prospective Purchaser: Oman Mobility Multi-Purpose Wheeled U.S. defense readiness as a result of this (ii) Total Estimated Value: Vehicles (HMMWVs), 1 lot AN/MPQ– proposed sale. 64F1 SENTINEL Radar software, 290 Major Defense Equip- $1.068 billion AIM–120C–7 Surface-Launched Transmittal No. 11–38 ment *. Advanced Medium Range Air-to-Air Notice of Proposed Issuance of Letter of Other ...... $.180 billion Missiles, 6 Guidance Sections, Surface- Offer Pursuant to Section 36(b)(1) of the Total ...... $1.248 billion Launched Advanced Medium Range Arms Export Control Act, as amended Air-to-Air Missile (SL–AMRAAM) * As defined in Section 47(6) of the Arms software to support Oman’s Ground Annex Export Control Act. Based Air defense System, training Item No. vii (iii) Description and Quantity or missiles, missile components, (vii) Sensitivity of Technology: Quantities of Articles or Services under warranties, containers, weapon support 1. The AVENGER system is a Consideration for Purchase: 18 equipment, repair and return, spare and lightweight, highly mobile, and AVENGER Fire Units, 266 STINGER– repair parts, publications and technical transportable surface-to-air missile/gun Reprogrammable Micro-Processor (RMP) documentation, personnel training and weapon system mounted on a high Block 1 Anti-Aircraft missiles, 6 training equipment, U.S. Government mobility multi-purpose wheeled vehicle STINGER Block 1 Production and contractor technical support (HMMWV). It has a two-man crew and services, and other related elements of Verification Flight Test missiles, 24 can operate in day or night, in clear or logistics support. The estimated cost is Captive Flight Trainers, 18 AN/VRC– adverse weather conditions. The system $1.248 billion. 92E exportable Single Channel Ground incorporates an operator’s position with and Airborne Radio Systems This proposed sale will contribute to the foreign policy and national security displays, fire control electronics, and (SINCGARS), 20 S250 Shelters, 20 High Standard Vehicle Mounted Launcher Mobility Multi-Purpose Wheeled of the United States by helping to improve the security of a friendly (SVML). The SVML supports and Vehicles (HMMWVs), 1 lot AN/MPQ– launches multiple STINGER missiles. 64F1 SENTINEL Radar software, 290 country which has been, and continues to be, an important force for political The highest classification of the AIM–120C–7 Surface-Launched AVENGER hardware is Confidential and Advanced Medium Range Air-to-Air stability in the Middle East. The proposed purchase of the the data and information is Secret. Missiles, 6 Guidance Sections, Surface- 2. The Captive Flight Trainer (CFT) is Launched Advanced Medium Range AVENGER fire units and SL–AMRAAM will improve Oman’s capability to meet a simulated weapon with general Air-to-Air Missile (SL–AMRAAM) current and future regional threats. appearance, weight, and center of software to support Oman’s Ground Oman is developing a layered air gravity as the tactical missile, used at Based Air defense System, training defense capability that incorporates a the operational level to provide training missiles, missile components, larger Foreign Military Sale-Direct to the gunner in the techniques of warranties, containers, weapon support Commercial Sale hybrid effort. This acquiring, tracking, and engaging equipment, repair and return, spare and modern multi-layered air defense targets. CFT simulates STINGER missile repair parts, publications and technical system will be integrated into the target acquisition functions but does not documentation, personnel training and national command and control to contain a warhead or motor. CFT training equipment, U.S. Government protect strategic locations in Oman and contains operational seeker hardware and contractor technical support its nearest vicinity. The system will and firmware and must be protected in services, and other related elements of serve as a deterrent to potential threats accordance with classified hardware logistics support. from regional unmanned aerial vehicles, guidance. Secret data could be obtained (iv) Military Department: Army (UJR) from the system by reverse engineering Air Force (YEK) cruise missiles, and fighter aircraft. The proposed sale will provide a significant through extensive engineering analysis (v) Prior Related Cases, if any: FMS and testing. Access to AVENGER case YEI–$68M–5Jun02 increase in Oman’s defensive capability while enhancing interoperability with firmware and hardware could allow the (vi) Sales Commission, Fee, etc., Paid, development of counter-measures. Offered, or Agreed to be Paid: None the U.S. and other coalition forces. Oman will have no difficulty absorbing 3. The STINGER–RMP Block I Anti- (vii) Sensitivity of Technology Aircraft missile is a fire-and-forget Contained in the Defense Article or this additional capability into its armed forces. infrared missile system that can be fired Defense Services Proposed to be Sold: from a number of ground-to-air and See Annex attached. The proposed sale of this equipment and support will not alter the basic rotary wing platforms. The missile (viii) Date Report Delivered to homes in on the heat emitted by either Congress: 18 October 2011 military balance in the region. The prime contractors will be jet or propeller-driven, fixed wing Policy Justification Raytheon Missile Systems of Tucson, aircraft or helicopters. The STINGER Arizona, and Boeing of Huntsville, system employs a proportional Oman—AVENGER Fire Units/STINGER navigation system that allows it to fly an Missiles/Surface-Launched AMRAAM Alabama. The purchaser typically requests intercept course to the target. The The Government of the Oman has offsets. Any offset agreements will be STINGER Block I International Missile requested a possible sale of 18 defined in negotiations between the System, hardware, software and AVENGER Fire Units, 266 STINGER— purchaser and the contractor. documentation contain sensitive Reprogrammable Micro-Processor (RMP) Implementation of this proposed sale technology and are classified Block 1 Anti-Aircraft missiles, 6 will require multiple trips to Oman Confidential. The guidance section of STINGER Block 1 Production involving many U.S. Government or the missile and tracking head trainer

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contain highly sensitive technology and guidance, flight control, target detection pursuant to contracts for services. The are classified Confidential. No man- and warhead burst point determination. inventory will be published to the portable grip stocks will be sold under Anti-tampering security measures have USSOCOM public portal Web site at the these LOAs. been incorporated into the AIM–120C– following location: http:// 4. Missile System hardware and fire 7 to prevent exploitation of the www.socom.mil/sordac/Documents/ unit components contain sensitive AMRAAM software. USSOCOMFY10Services critical technologies. The potential for 7. The AN/MPQ–64 SENTINEL Radar InventoryList.pdf. reverse engineering is not significant for System is a fielded air defense radar DATES: Inventory to be made publically most technologies although the release system that provides the capability for available within 30 days after of some end items could lead to SENTINEL to detect and classify small publication of this notice. development of countermeasures. radar cross-section (RCS) targets, such ADDRESSES: STINGER critical technology is as cruise missiles and unmanned aerial Send written comments and primarily in the area of design and vehicles at extended ranges. The system suggestions concerning this inventory to production know-how and not end- provides SHORAD system information Marian Duchesne, Procurement Analyst, items. This sensitive/critical technology dominance via a digital air picture for SORDAC–KM, 7701 Tampa Point Blvd., is inherent in the hybrid microcircuit support of maneuver forces and critical MacDill AFB, FL 33621–5323. assemblies; microprocessors; magnetic assets. The ETRAC improvements to the FOR FURTHER INFORMATION CONTACT: and amorphous metals; purification; SENTINEL radar also provide the Marian Duchesne at (813) 826–6499 or firmware; printed circuit boards; laser capability to determine aircraft type and e-mail [email protected]. range finder; dual detector assembly; to support manned versus unmanned Dated: October 19, 2011. detector filters; missile software; optical determinations to fully support Aaron Siegel, coatings; ultraviolet sensors; semi- precision engagements beyond visual Alternate OSD Federal Register Liaison conductor detectors infrared band range. The improved Secret-U.S. only Officer, Department of Defense. sensors; compounding and handling of SENTINEL radar includes hardware electronic, electro-optic, and optical [FR Doc. 2011–27457 Filed 10–24–11; 8:45 am] updates to the basic SENTINEL radar BILLING CODE 5001–06–P materials; equipment operating and Secret-U.S. only software that instructions; energetic materials includes Electronic Counter- formulation technology; energetic countermeasures (ECCM), High-Range DEPARTMENT OF EDUCATION materials fabrication and loading Resolution (HRR), and Hostile Aircraft technology; and warhead components Identification Equipment (HAIDE) Notice of Submission for OMB Review seeker assembly. The hardware for all capabilities. versions of STINGER International 8. If a technologically advanced AGENCY: Department of Education. Platform Launched Missile is classified adversary were to obtain knowledge of ACTION: Comment Request. Confidential. Information on the specific hardware and software vulnerability to electronic elements, the information could be used SUMMARY: The Acting Director, countermeasures and countermeasures, to develop countermeasures which Information Collection Clearance system performance capabilities and might reduce weapon system Division, Privacy, Information and effectiveness, and test data are classified effectiveness or be used in the Records Management Services, Office of up to Secret. development of a system with similar or Management, invites comments on the 5. The SL–AMRAAM is a lightweight advanced capabilities. submission for OMB review as required day or night, and adverse weather non- by the Paperwork Reduction Act of 1995 line of sight system for countering [FR Doc. 2011–27552 Filed 10–24–11; 8:45 am] (Pub. L. 104–13). BILLING CODE 5001–06–P cruise missiles and unmanned air DATES: Interested persons are invited to vehicle threats with engagement submit comments on or before capabilities in excess of 18 kilometers. November 25, 2011. The system is comprised of a Fire DEPARTMENT OF DEFENSE Control System, for command and ADDRESSES: Written comments should Office of the Secretary control, and missile launcher fire unit be addressed to the Office of platforms, which hold AIM–120 Information and Regulatory Affairs, Availability of the Fiscal Year 2010 Attention: Education Desk Officer, AMRAAM missiles. The SENTINEL United States Special Operations radar (export variant), which will be Office of Management and Budget, 725 Command (USSOCOM) Inventory List 17th Street, NW., Room 10222, New sold separately via direct commercial of Contracts for Services sale (DCS), provides surveillance and Executive Office Building, Washington, fire control data for the system. AGENCY: United States Special DC 20503, be faxed to (202) 395–5806 or 6. The AIM–120C–7 Advanced Operations Command (USSOCOM), e-mailed to _ Medium Range Air-to-Air Missile Department of Defense (DoD). oira [email protected] with a cc: to [email protected]. Please note (AMRAAM) is a new generation air-to- ACTION: Notice of availability. air missile. The AIM–120C–7 AMRAAM that written comments received in hardware, including the missile SUMMARY: In accordance with section response to this notice will be guidance section, is classified 2330a of Title 10 United States Code as considered public records. Confidential. State-of-the-art technology amended by the National Defense SUPPLEMENTARY INFORMATION: Section is used in the missile to provide it with Authorization Act for Fiscal Year 2008 3506 of the Paperwork Reduction Act of unique beyond-visual-range capability. (NDAA 08) Section 807, the Director of 1995 (44 U.S.C. chapter 35) requires that Significant AIM–120C–7 features Procurement USSOCOM and the Office the Office of Management and Budget include a target detection device with of the Director, Defense Procurement (OMB) provide interested Federal embedded electronic countermeasures, and Acquisition Policy, Office of agencies and the public an early an electronics unit within the guidance Strategic Sourcing (DPAP/SS) will make opportunity to comment on information section that performs all radar signal available to the public the first collection requests. The OMB is processing, mid-course and terminal inventory of activities performed particularly interested in comments

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which: (1) Evaluate whether the sample will include approximately 500 g. Filed Pursuant to: Federal Power proposed collection of information is school districts and 15,000 students. Act, 16 U.S.C. 791(a)–825(r). necessary for the proper performance of Phase I data collection will occur in h. Applicant Contact: William P. the functions of the agency, including spring 2012 and spring 2014, when Zawacki, Director of Hydro Plants, Xcel whether the information will have sample members will be ages 13–21 and Energy, 1414 W. Hamilton Ave., P.O. practical utility; (2) Evaluate the 15–23, respectively. The study will Box 8, Eau Claire, WI 54702–0008; and accuracy of the agency’s estimate of the collect data from parents, youth, Matthew J. Miller, Hydro Licensing burden of the proposed collection of principals, teachers, and student school Specialist, Xcel Energy, 1414 W. information, including the validity of records. Hamilton Ave., P.O. Box 8, Eau Claire, the methodology and assumptions used; Copies of the information collection WI 54702–0008. (3) Enhance the quality, utility, and submission for OMB review may be i. FERC Contact: Christopher Chaney; clarity of the information to be accessed from the RegInfo.gov Web site (202) 502–6778; collected; and (4) Minimize the burden at http://www.reginfo.gov/public/do/ [email protected]. of the collection of information on those PRAMain or from the Department’s Web j. Deadline for filing comments, who are to respond, including through site at http://edicsweb.ed.gov, by motions to intervene, and protests, is 30 the use of appropriate automated, selecting the ‘‘Browse Pending days from the issuance date of this electronic, mechanical, or other Collections’’ link and by clicking on notice. All documents may be filed technological collection techniques or link number 4673. When you access the electronically via the Internet. See 18 other forms of information technology. information collection, click on CFR 385.2001(a)(1)(iii) and the ‘‘Download Attachments ’’to view. instructions on the Commission’s Web Dated: October 20, 2011. site at http://www.ferc.gov/docs-filing/ Kate Mullan, Written requests for information should be addressed to U.S. Department of efiling.asp. If unable to be filed Acting Director, Information Collection Education, 400 Maryland Avenue, SW., electronically, documents may be paper- Clearance Division, Privacy, Information and filed. To paper-file, an original and Records Management Services, Office of LBJ, Washington, DC 20202–4537. Requests may also be electronically seven copies should be mailed to: Management. Secretary, Federal Energy Regulatory mailed to the Internet address Commission, 888 First Street, NE., Institute of Education Sciences [email protected] or faxed to 202– Washington, DC 20426. Commenters Type of Review: Revision. 401–0920. Please specify the complete can submit brief comments up to 6,000 Title of Collection: National title of the information collection and characters, without prior registration, Longitudinal Transition Study 2012. OMB Control Number when making using the eComment system at http:// OMB Control Number: 1850–0882. your request. www.ferc.gov/docs-filing/ Agency Form Number(s): N/A. Individuals who use a ecomment.asp. You must include your Frequency of Responses: Once. telecommunications device for the deaf name and contact information at the end Affected Public: Individuals or (TDD) may call the Federal Information Households; State, Local and Tribal of your comments. Relay Service (FIRS) at 1–800–877– Please include the project number Government. 8339. Total Estimated Number of Annual (P–2390–079) on any comments, Responses: 52,100. [FR Doc. 2011–27629 Filed 10–24–11; 8:45 am] motions, or recommendations filed. Total Estimated Annual Burden BILLING CODE 4000–01–P k. Description of Request: The Hours: 30,800. licensee is seeking to amend the license Abstract: To gauge progress in for the Big Falls Hydroelectric Project to addressing the needs of youth with DEPARTMENT OF ENERGY authorize the proposed rehabilitation of disabilities, the U.S. Department of two of the project’s three units. The Education is sponsoring a five-year Federal Energy Regulatory project’s total authorized installed longitudinal study focused on the Commission capacity would increase by 1,572 kW [from 7,780 kW to 9,352 kW] and the educational and transitional experiences [Project No. 2390–079] of youth between the ages of 13 and 21 maximum hydraulic capacity would in December 2011. The study focuses on Northern States Power Company; increase by 245 cubic feet per second three sets of research questions: What Notice of Application To Amend (cfs) [from 2,482 cfs to 2,727 cfs]. are the characteristics of youth with License and Accepted for Filing, l. Locations of the Application: A disabilities? What services and Soliciting Comments, Motions To copy of the application is available for accommodations do they receive and Intervene, and Protests inspection and reproduction at the what are their courses of study? What Commission’s Public Reference Room, are their transitional experiences as they Take notice that the following located at 888 First Street, NE., Room leave high school and their educational, hydroelectric application has been filed 2A, Washington, DC 20426, or by calling social, and economic outcomes? with the Commission and is available (202) 502–8371. This filing may also be The study will compare this group for public inspection: viewed on the Commission’s Web site at with three other groups: (1) Youth who a. Type of Application: Amendment http://www.ferc.gov/docs-filing/ have no identified disability, (2) youth to License. elibrary.asp. Enter the docket number who do not have an IEP but who have b. Project No: 2390–079. excluding the last three digits in the a condition that qualifies them for c. Date Filed: September 21, 2011. docket number field to access the accommodation under Section 504 of d. Applicant: Northern States Power document. You may also register online the Vocational Rehabilitation Act of Company. at http://www.ferc.gov/docs-filing/ 1973, and (3) similar cohorts of youth e. Name of Project: Big Falls esubscription.asp to be notified via with an IEP who were studied in the Hydroelectric Project. e-mail of new filings and issuances past. f. Location: The project is located on related to this or other pending projects. Districts and youth will be randomly the Flambeau River, near the towns of For assistance, call 1–866–208- 3676 or selected to ensure that they are Ladysmith and Tony, in Rusk County, e-mail [email protected], nationally representative. The study Wisconsin. for TTY, call (202) 502–8659. A copy is

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also available for inspection and Dated: October 19, 2011. or EA for this proposal. The filing of the reproduction at the address in item (h) Kimberly D. Bose, EA in the Commission’s public record above. Secretary. for this proceeding or the issuance of a m. Individuals desiring to be included [FR Doc. 2011–27522 Filed 10–24–11; 8:45 am] Notice of Schedule for Environmental Review will serve to notify federal and on the Commission’s mailing list should BILLING CODE 6717–01–P state agencies of the timing for the so indicate by writing to the Secretary completion of all necessary reviews, and of the Commission. DEPARTMENT OF ENERGY the subsequent need to complete all n. Comments, Protests, or Motions To Federal authorizations within 90 days of Intervene: Anyone may submit Federal Energy Regulatory the date of issuance of the Commission comments, a protest, or a motion to Commission staff’s FEIS or EA. intervene in accordance with the [Docket No. CP12–9–000] There are two ways to become requirements of Rules of Practice and involved in the Commission’s review of Procedure, 18 CFR 385.210, .211, .214. High Point Gas Transmission, LLC; this project. First, any person wishing to In determining the appropriate action to Notice of Application obtain legal status by becoming a party take, the Commission will consider all to the proceedings for this project Take notice that on October 13, 2011, should, on or before the comment date protests or other comments filed, but High Point Gas Transmission, LLC (High only those who file a motion to stated below, file with the Federal Point), 6800 West Loop South, Suite Energy Regulatory Commission, 888 intervene in accordance with the 120, Houston, Texas 77401, filed an First Street, NE., Washington, DC 20426, Commission’s Rules may become a application in Docket No. CP12–9–000 a motion to intervene in accordance party to the proceeding. Any comments, pursuant to section 7(c) of the Natural with the requirements of the protests, or motions to intervene must Gas Act and parts 157 and 284 of the Commission’s Rules of Practice and be received on or before the specified Commission’s Regulations, for Procedure (18 CFR 385.214 or 385.211) comment date for the particular authorization to acquire, own and and the Regulations under the NGA (18 application. operate certain onshore facilities located CFR 157.10). A person obtaining party o. Filing and Service of Responsive in Louisiana and certain offshore status will be placed on the service list Documents: Any filing must (1) Bear in facilities located offshore Louisiana in maintained by the Secretary of the the Gulf of Mexico. In a related all capital letters the title ‘‘Comments,’’ Commission and will receive copies of application filed on October 7, 2011 in ‘‘Protest,’’ or ‘‘Motion To Intervene’’ as all documents filed by the applicant and Docket No. CP12–4–000, Southern applicable; (2) set forth in the heading by all other parties. A party must submit Natural Gas Company, L.L.C. (Southern) 7 copies of filings made with the the name of the applicant and the seeks authorization to abandon the project number of the application to Commission and must mail a copy to facilities subject to High Point’s the applicant and to every other party in which the filing responds; (3) furnish application. Specifically, High Point the proceeding. Only parties to the the name, address, and telephone seeks: (1) A certificate of public proceeding can ask for court review of number of the person protesting or convenience and necessity to acquire, Commission orders in the proceeding. intervening; and (4) otherwise comply own and operate the facilities Southern However, a person does not have to with the requirements of 18 CFR seeks to abandon; (2) blanket intervene in order to have comments 385.2001 through 385.2005. All construction and open access considered. The second way to comments, motions to intervene, or transportation certificates pursuant to participate is by filing with the protests must set forth their evidentiary subpart F of part 157 and subpart G of Secretary of the Commission, as soon as basis and otherwise comply with the part 284, respectively, of the possible, an original and two copies of requirements of 18 CFR 4.34(b). All Commission’s regulations; (3) approval comments in support of or in opposition comments, motions to intervene, or of its pro forma tariff; and (4) waiver of to this project. The Commission will protests should relate to project works the segmentation requirement, all as consider these comments in which are the subject of the license more fully set forth in the application determining the appropriate action to be surrender. Agencies may obtain copies which are on file with the Commission taken, but the filing of a comment alone of the application directly from the and open for public inspection. will not serve to make the filer a party applicant. A copy of any protest or Any questions regarding this to the proceeding. The Commission’s application should be directed to motion to intervene must be served rules require that persons filing Matthew Rowland, High Point Gas upon each representative of the comments in opposition to the project Transmission, LLC, 6800 West Loop provide copies of their protests only to applicant specified in the particular South, Suite 120, Houston, Texas 77401, the party or parties directly involved in application. If an intervener files or call at (713) 660–7171. the protest. comments or documents with the Pursuant to section 157.9 of the Persons who wish to comment only Commission relating to the merits of an Commission’s rules, 18 CFR 157.9, on the environmental review of this issue that may affect the responsibilities within 90 days of this Notice the project should submit an original and of a particular resource agency, they Commission staff will either: complete two copies of their comments to the must also serve a copy of the document its environmental assessment (EA) and Secretary of the Commission. on that resource agency. A copy of all place it into the Commission’s public Environmental commentors will be other filings in reference to this record (eLibrary) for this proceeding; or placed on the Commission’s application must be accompanied by issue a Notice of Schedule for environmental mailing list, will receive proof of service on all persons listed in Environmental Review. If a Notice of copies of the environmental documents, the service list prepared by the Schedule for Environmental Review is and will be notified of meetings Commission in this proceeding, in issued, it will indicate, among other associated with the Commission’s accordance with 18 CFR 4.34(b) and milestones, the anticipated date for the environmental review process. 385.2010. Commission staff’s issuance of the final Environmental commentors will not be environmental impact statement (FEIS) required to serve copies of filed

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documents on all other parties. order approving the transaction, DEPARTMENT OF ENERGY However, the non-party commentors conditioned on the Merger Applicants’ will not receive copies of all documents compliance with the terms of the Federal Energy Regulatory filed by other parties or issued by the agreement with the Market Monitor Commission Commission (except for the mailing of (along with the other commitments [Docket No. CP12–4–000] environmental documents issued by the described in their application, which Commission) and will not have the right are not superseded by the agreement Southern Natural Gas Company, to seek court review of the with the Market Monitor). Merger L.L.C.; Notice of Application Commission’s final order. Applicants’ filing is hereby noticed as Take notice that on October 7, 2011, The Commission strongly encourages an amendment to their application for electronic filings of comments, protests Southern Natural Gas Company, L.L.C. purposes of section 33.11(a) of the (Southern), 569 Brookwood Village, and interventions in lieu of paper using Commission’s regulations (18 CFR the ‘‘eFiling’’ link at http:// Suite 501, Birmingham, AL 35209, filed 33.11(a)). www.ferc.gov. Persons unable to file an application in Docket No. CP12–4– electronically should submit an original Any person desiring to intervene or to 000 pursuant to section 7(b) of the Natural Gas Act and Part 157 of the and 7 copies of the protest or protest this filing must file in Commission’s Regulations, for intervention to the Federal Energy accordance with Rules 211 and 214 of authorization to abandon, by sale to Regulatory Commission, 888 First the Commission’s Rules of Practice and High Point Gas Transmission, LLC (High Street, NE., Washington, DC 20426. Procedure (18 CFR 385.211, 385.214). Point), certain onshore facilities located This filing is accessible on-line at Protests will be considered by the in Louisiana and certain offshore supply http://www.ferc.gov, using the Commission in determining the facilities located offshore Louisiana in ‘‘eLibrary’’ link and is available for appropriate action to be taken, but will the Gulf of Mexico. In its related review in the Commission’s Public not serve to make protestants parties to application filed in Docket No. CP12–9– Reference Room in Washington, DC. the proceeding. Any person wishing to 000, High Point seeks authorization to There is an ‘‘eSubscription’’ link on the become a party must file a notice of acquire, own and operate the facilities Web site that enables subscribers to intervention or motion to intervene, as to be abandoned, as well as certain receive e-mail notification when a appropriate. Such notices, motions, or blanket certificates, all as more fully set document is added to a subscribed protests must be filed on or before the forth in the applications which are on docket(s). For assistance with any FERC comment date. Anyone filing a motion file with the Commission and open for Online service, please e-mail to intervene or protest must serve a copy public inspection. [email protected], or call of that document on the Applicant and Any questions regarding this (866) 208–3676 (toll free). For TTY, call all the parties in this proceeding. application should be directed to Glenn (202) 502–8659. A. Sheffield, Director—Rates and The Commission encourages Comment Date: November 9, 2011. Regulatory, Southern Natural Gas electronic submission of protests and Dated: October 19, 2011. Company, P.O. Box 2563, Birmingham, interventions in lieu of paper using the Kimberly D. Bose, Alabama 35202–2563, or call at (205) ‘‘eFiling’’ link at http://www.ferc.gov. Secretary. 325–3813; or Patricia S. Francis, Persons unable to file electronically Associate General Counsel, Southern [FR Doc. 2011–27524 Filed 10–24–11; 8:45 am] should submit an original and 14 copies BILLING CODE 6717–01–P Natural Gas Company, P.O. Box 2563, of the protest or intervention to the Birmingham, Alabama 35202–2563, or Federal Energy Regulatory Commission, call at (205) 325–7696. DEPARTMENT OF ENERGY 888 First Street, NE., Washington, DC Pursuant to section 157.9 of the 20426. Commission’s rules, 18 CFR 157.9, Federal Energy Regulatory This filing is accessible on-line at within 90 days of this Notice the Commission http://www.ferc.gov, using the Commission staff will either: complete its environmental assessment (EA) and [Docket No. EC11–83–001] ‘‘eLibrary’’ link and is available for review in the Commission’s Public place it into the Commission’s public Exelon Corporation Constellation Reference Room in Washington, DC. record (eLibrary) for this proceeding; or Energy Group, Inc.; Notice of Filing There is an ‘‘eSubscription’’ link on the issue a Notice of Schedule for Environmental Review. If a Notice of Web site that enables subscribers to Take notice that, on October 11, 2011, Schedule for Environmental Review is receive e-mail notification when a Exelon Corporation and Constellation issued, it will indicate, among other document is added to a subscribed Energy Group, Inc. (Merger Applicants) milestones, the anticipated date for the submitted a filing styled as an answer in docket(s). For assistance with any FERC Commission staff’s issuance of the final the above-referenced proceeding Online service, please e-mail environmental impact statement (FEIS) attaching an agreement that Merger [email protected], or call or EA for this proposal. The filing of the Applicants have reached with the (866) 208–3676 (toll free). For TTY, call EA in the Commission’s public record Independent Market Monitor for PJM (202) 502–8659. for this proceeding or the issuance of a (Market Monitor) involving certain Comment Date: November 1, 2011. Notice of Schedule for Environmental mitigation commitments Merger Dated: October 19, 2011. Review will serve to notify Federal and Applicants have agreed to implement State agencies of the timing for the upon the closing of the proposed Kimberly D. Bose, completion of all necessary reviews, and transaction that is the subject of Merger Secretary. the subsequent need to complete all Applicants’ application that was filed in [FR Doc. 2011–27525 Filed 10–24–11; 8:45 am] Federal authorizations within 90 days of the above-referenced proceeding on May BILLING CODE 6717–01–P the date of issuance of the Commission 20, 2011 under section 203 of the staff’s FEIS or EA. Federal Power Act. Merger Applicants There are two ways to become request that the Commission issue an involved in the Commission’s review of

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this project. First, any person wishing to www.ferc.gov. Persons unable to file DEPARTMENT OF ENERGY obtain legal status by becoming a party electronically should submit an original to the proceedings for this project and 7 copies of the protest or Federal Energy Regulatory should, on or before the comment date intervention to the Federal Energy Commission stated below, file with the Federal Regulatory Commission, 888 First Energy Regulatory Commission, 888 Street, NE., Washington, DC 20426. [Docket No. RD11–9–000] First Street, NE., Washington, DC 20426, This filing is accessible on-line at North American Electric Reliability a motion to intervene in accordance http://www.ferc.gov, using the Corporation; Order Approving with the requirements of the ‘‘eLibrary’’ link and is available for Interpretation of Reliability Standard; Commission’s Rules of Practice and review in the Commission’s Public Before Commissioners: Jon Procedure (18 CFR 385.214 or 385.211) Reference Room in Washington, DC. Wellinghoff, Chairman; Philip D. and the Regulations under the NGA (18 There is an ‘‘eSubscription’’ link on the Moeller, John R. Norris, and Cheryl A. CFR 157.10). A person obtaining party Web site that enables subscribers to LaFleur status will be placed on the service list receive e-mail notification when a maintained by the Secretary of the document is added to a subscribed Issued October 20, 2011. Commission and will receive copies of docket(s). For assistance with any FERC 1. On April 15, 2011, the North all documents filed by the applicant and Online service, please e-mail American Electric Reliability by all other parties. A party must submit [email protected], or call Corporation (NERC), the Commission- 7 copies of filings made with the (866) 208–3676 (toll free). For TTY, call certified Electric Reliability Commission and must mail a copy to (202) 502–8659. Organization (ERO), submitted a the applicant and to every other party in Comment Date: November 9, 2011. petition for Commission approval of an the proceeding. Only parties to the Dated: October 19, 2011. interpretation of Requirement R10 of proceeding can ask for court review of Kimberly D. Bose, Transmission Operations (TOP) Commission orders in the proceeding. Reliability Standard TOP–002–2a However, a person does not have to Secretary. (Normal Operations Planning). This intervene in order to have comments [FR Doc. 2011–27528 Filed 10–24–11; 8:45 am] Reliability Standard requires, in considered. The second way to BILLING CODE 6717–01–P pertinent part, each balancing authority participate is by filing with the and transmission operator to maintain Secretary of the Commission, as soon as possible, an original and two copies of DEPARTMENT OF ENERGY plans to evaluate options and establish comments in support of or in opposition procedures for the reliable operation of to this project. The Commission will Federal Energy Regulatory the Bulk-Power System for current day consider these comments in Commission and future operations, as well as determining the appropriate action to be coordinate current day and future [Project No. 199–205] taken, but the filing of a comment alone operations with neighboring balancing will not serve to make the filer a party authorities and transmission operators. South Carolina Public Service Requirement R10, the subject of NERC’s to the proceeding. The Commission’s Authority; Notice of Meeting rules require that persons filing Petition, addresses the planning comments in opposition to the project The National Marine Fisheries Service required to meet all System Operating provide copies of their protests only to (NMFS) has contacted Commission staff Limits and Interconnection Reliability the party or parties directly involved in regarding a meeting with South Carolina Operating Limits. NERC also requests the protest. Public Service Authority (SCPSA), that the Standard including the Persons who wish to comment only licensee for the Santee-Cooper interpretation, which would be referred on the environmental review of this Hydroelectric Project No. 199, and staff to as Reliability Standard TOP–002–2b, project should submit an original and to continue discussions of what is be made effective immediately upon the two copies of their comments to the needed to complete formal consultation issuance of an order in this proceeding. Secretary of the Commission. for shortnose sturgeon (Acipenser 2. In this order, the Commission finds Environmental commentors will be brevirostrum) under section 7 of the that NERC’s proposed interpretation of placed on the Commission’s Endangered Species Act. Accordingly, Requirement R10 of Reliability Standard environmental mailing list, will receive Commission staff will meet with TOP–002–2a is just, reasonable, not copies of the environmental documents, representatives of NMFS and SCPSA, unduly discriminatory or preferential, and will be notified of meetings the Commission’s non-federal and in the public interest. Therefore, the associated with the Commission’s representative for the Santee-Cooper Commission approves the environmental review process. Project, on Tuesday, November 8, 2011. interpretation, referred to as Reliability Environmental commentors will not be The meeting will start at 9 a.m. at Standard TOP–002–2b, effective as of required to serve copies of filed NMFS’ office at 263 13th Avenue South, the date of this order. documents on all other parties. St. Petersburg, Florida. All local, state, I. Background However, the non-party commentors and federal agencies, and interested will not receive copies of all documents parties, are hereby invited to attend and 3. Section 215 of the Federal Power filed by other parties or issued by the observe this meeting. Questions Act (FPA) requires a Commission- Commission (except for the mailing of concerning the meeting should be certified ERO to develop mandatory and environmental documents issued by the directed to Dr. Stephania Bolder of enforceable Reliability Standards, which Commission) and will not have the right NMFS at (727) 824–5312. are subject to Commission review and to seek court review of the approval. Once approved, the Reliability Dated: October 19, 2011. Commission’s final order. Standards may be enforced by the ERO, The Commission strongly encourages Kimberly D. Bose, subject to Commission oversight, or by electronic filings of comments, protests Secretary. the Commission independently.1 and interventions in lieu of paper using [FR Doc. 2011–27523 Filed 10–24–11; 8:45 am] the ‘‘eFiling’’ link at http:// BILLING CODE 6717–01–P 1 See 16 U.S.C. 824o(e) (2006).

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4. Pursuant to section 215 of the FPA, the subject of the proposed protests due on or before September 14, the Commission established a process to interpretation, requires: 2011.9 A motion to intervene was timely select and certify an ERO 2 and, Each Balancing Authority and filed by American Municipal Power, subsequently, certified NERC as the Transmission Operator shall plan to Inc. (AMP). Pursuant to Rule 214 of the ERO.3 On March 16, 2007, the meet all System Operating Limits Commission’s Rules of Practice and Commission issued Order No. 693, (SOLs) and Interconnection Reliability Procedure,10 the timely, unopposed approving 83 of the 107 Reliability Operating Limits (IROLs). motion to intervene serves to make AMP Standards filed by NERC, including 7. The Petition explains that NERC a party to this proceeding. 4 received a request from Florida Reliability Standard TOP–002–2. On IV. Commission Determination December 2, 2009, the Commission Municipal Power Pool (FMPP) seeking approved TOP–002–2a, an an interpretation of Requirement R10 of 11. The Commission finds that the interpretation submitted by NERC on Reliability Standard TOP–002–2a. ERO’s interpretation of Requirement Requirement R11.5 Specifically, FMPP asked: R10 of Reliability Standard TOP–002–2a In Requirement 10 is the requirement is just, reasonable, not unduly 5. NERC’s Rules of Procedure provide of the BA to plan to maintain load- discriminatory or preferential, and in that a person that is ‘‘directly and interchange-generation balance under the public interest.11 materially affected’’ by Bulk-Power the direction of the TOPs meeting all 12. The interpretation supports the System reliability may request an SOLs and IROLs? stated purpose of the Reliability interpretation of a Reliability Standard.6 8. In response to FMPP’s Standard, i.e., current operational plans The ERO’s ‘‘standards process manager’’ interpretation request, NERC provided and procedures are essential for an will assemble a team with relevant the following interpretation: entity to be prepared for reliable expertise to address the requested Yes. As stated in the NERC Glossary operations, including responses to interpretation and also form a ballot of Terms Used in Reliability Standards, unplanned events. The interpretation pool. NERC’s Rules provide that, within the Balancing Authority is responsible also clarifies the responsibilities of the 45 days, the team will draft an for integrating resource plans ahead of balancing authority with regard to interpretation of the Reliability time, maintaining load-interchange- normal operations planning. Further, Standard, with subsequent balloting. If generation balance within a Balancing the language of the interpretation is approved by ballot, the interpretation is Authority Area, and supporting consistent with the language of the appended to the Reliability Standard Interconnection frequency in real time. requirement. Accordingly, the and submitted to the Board of Trustees. The Balancing Authority does not Commission approves the ERO’s Once approved by the Board of possess the Bulk Electric System interpretation of Requirement R10 of Trustees, the Reliability Standard with information necessary to manage Reliability Standard TOP–002–2a. the interpretation is filed with the transmission flows (MW, MVAR or 13. We agree with NERC that the applicable regulatory authority for Ampere) or voltage. Therefore, the balancing authority is responsible for regulatory approval. Balancing Authority must follow the integrating resource plans ahead of time, directions of the Transmission Operator maintaining load-interchange- II. NERC Petition to meet all SOLs and IROLs. generation balance within a balancing 9. In the Petition, NERC explains that 6. In its April 15, 2011 Petition,7 authority area, and supporting the interpretation is consistent with the NERC requests Commission approval of interconnection frequency in real time stated purpose of the Reliability a proposed interpretation of under the definition of Balancing Standard, which is to ensure that Requirement R10 of Reliability Standard Authority found in the NERC current operations plans and procedures 12 TOP–002–2a (Normal Operations Glossary. Additionally, the are prepared for reliable operation, Planning). The stated purpose of Commission notes that communication including response to unplanned Reliability Standard TOP–002–2a is to and coordination between the balancing events. The NERC Glossary of Terms authority and transmission operator can ensure that current operations plans and Used in Reliability Standards (NERC procedures are prepared for reliable be essential in normal operations Glossary) definitions for balancing planning under TOP–002–2a, operations, including responses to authority and transmission operator are unplanned events. Requirement R10, Requirement R10 to ‘‘plan to meet all referenced along with an explanation System Operating Limits (SOLs) and that the balancing authority does not Interconnection Reliability Operating 2 Rules Concerning Certification of the Electric possess information needed to manage 13 Reliability Organization; and Procedures for the Limits (IROLs).’’ Establishment, Approval and Enforcement of flows or voltage, thus requiring the 14. Accordingly, the Commission Electric Reliability Standards, Order No. 672, FERC balancing authority to follow direction approves Reliability Standard TOP– Stats. & Regs. ¶ 31,204, order on reh’g, Order No. of the transmission operator or 002–2b, effective as of the date of this 672–A, FERC Stats. & Regs. ¶ 31,212 (2006). reliability coordinator. Further, the 3 order. North American Electric Reliability Corp., 116 Petition states that when balancing FERC ¶ 61,062, order on reh’g & compliance, 117 V. Information Collection Statement FERC ¶ 61,126 (2006), aff’d sub nom. Alcoa, Inc. authority actions do not resolve targeted v. FERC, 564 F.3d 1342 (D.C. Cir. 2009). transmission issues, the transmission 15. The Office of Management and 4 Mandatory Reliability Standards for the Bulk- operator or reliability coordinator is Budget (OMB) regulations require that Power System, Order No. 693, FERC Stats. & Regs. responsible for directing alternative OMB approve certain reporting and ¶ 31,242, order on reh’g, Order No. 693–A, 120 8 FERC ¶ 61,053 (2007). actions. 5 9 76 FR 52,325 (2011). North American Electric Reliability Corp., 129 III. Notice of Filing, Interventions and FERC ¶ 61,191 (2009). 10 18 CFR 385.214 (2011). 6 NERC Rules of Procedure, Appendix 3A, Comments 11 16 U.S.C. 824(d)(2). Reliability Standards Development Procedure, 10. On August 22, 2011, notice of 12 Petition at 6. Version 6.1, at 27–29 (2010). NERC’s filing was published in the 13 See Reliability Standard TOP–002–2a, 7 North American Electric Reliability Corp., April Requirement R10; see generally Electric Reliability 15, 2011, Petition for Approval of an Interpretation Federal Register with interventions and Organization Interpretation of Transmission of Requirement R10 of Reliability Standard TOP– Operations Reliability Standard, Order No. 753, 136 002–2a (Petition). 8 Id. 6–7. FERC ¶ 61,176, at P 15–17 (2011).

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recordkeeping requirements (collections Bulk-Power System to system Standards, but recognized a potential of information) imposed by an agency.14 disturbances, including scheduled and need for regional The information contained here is also unscheduled outages; requires each differences.6Accordingly, the subject to review under section 3507(d) reliability coordinator to establish Commission stated that: of the Paperwork Reduction Act of requirements for its area’s dynamic 1995.15 disturbance recording needs; and As a general matter, we will accept the 16. The Commission approved establishes disturbance data reporting following two types of regional differences, Reliability Standard TOP–002–2, the requirements. provided they are otherwise just, reasonable, subject of this order, in Order No. 693.16 not unduly discriminatory or preferential and 2. In this order, we approve regional in the public interest, as required under the This order proposes to approve the Reliability Standard PRC–002–NPCC– interpretation of the previously statute: (1) A regional difference that is more 01, finding that it is just, reasonable, not stringent than the continent-wide Reliability approved Reliability Standard, which unduly discriminatory or preferential, was developed by NERC as the ERO. Standard, including a regional difference that and in the public interest. Also, we addresses matters that the continent-wide The interpretation relates to an existing approve NERC’s requested Reliability Standard, and the Reliability Standard does not; and (2) a implementation plan which provides regional Reliability Standard that is Commission does not expect it to affect staggered effective dates, i.e., the date necessitated by a physical difference in the entities’ current reporting burden.17 on which applicable entities are subject Bulk-Power System.7 Accordingly, we will submit this Final to mandatory compliance, with full Rule to OMB for informational purposes compliance required within four years 6. On March 16, 2007, the only. of regulatory approval. Commission issued Order No. 693, The Commission Orders: approving 83 of the 107 Reliability (A) NERC’s interpretation is hereby I. Background Standards filed by the ERO.8 In that approved, as discussed in the body of 3. Section 215 of the Federal Power order, the Commission determined that this order. Act (FPA) requires the ERO to develop it would not take action on certain mandatory and enforceable Reliability By the Commission. Commissioner Spitzer proposed Reliability Standards that is not participating. Standards, which provide for the reliable operation of the Bulk-Power required supplemental information from Kimberly D. Bose, regional reliability organizations. Such Secretary. System, subject to Commission review 1 Reliability Standards refer to regional [FR Doc. 2011–27566 Filed 10–24–11; 8:45 am] and approval. Section 215(d)(2) of the FPA states that the Commission may criteria or procedures that had not been BILLING CODE 6717–01–P approve, by rule or order, a proposed submitted to the Commission for Reliability Standard or modification to a approval and, as such, are referred to as DEPARTMENT OF ENERGY Reliability Standard if it determines that ‘‘fill-in-the-blank’’ standards. Pending the Reliability Standard is just, Reliability Standard PRC–002–1 (Define Federal Energy Regulatory reasonable, not unduly discriminatory Regional Disturbance Monitoring and Commission or preferential, and in the public Reporting) is one such fill-in-the-blank interest. Once approved, the Reliability standard and, therefore, is not [Docket No. RD11–8–000; 137 FERC ¶ 61,043] Standard may be enforced by the ERO, enforceable. NERC’s continent-wide, subject to Commission oversight, or by fill-in-the-blank standard PRC–002–1 North American Electric Reliability the Commission independently.2 would require regional reliability Corporation; Order Approving 4. Reliability Standards that the ERO organizations to establish: (i) Regional Reliability Standard proposes to the Commission may Installation requirements for sequence include Reliability Standards that are of event recording, fault recording, and Issued October 20, 2011. developed by a Regional Entity.3 On dynamic disturbance recording, and (ii) April 19, 2007, the Commission Before Commissioners: Jon Wellinghoff, reporting requirements for recorded approved delegation agreements Chairman; Philip D. Moeller, John R. Norris, disturbance data. Because PRC–002–1 is and Cheryl A. LaFleur. between NERC and eight Regional Entities, including NPCC.4 In the an unenforceable and unapproved fill- 1. On May 31, 2011, the North Delegation Agreement Order, the in-the-blank standard, NPCC’s proposed American Electric Reliability Commission accepted NPCC as a regional Reliability Standard PRC–002– Corporation (NERC), the Commission- Regional Entity and accepted NPCC’s NPCC–01 is intended to fill the certified Electric Reliability Standards Development Manual, which reliability gap related to disturbance Organization (ERO), submitted a sets forth the process for NPCC’s monitoring and reporting by petition for Commission approval of the development of regional Reliability establishing enforceable disturbance Northeast Power Coordinating Council’s Standards.5 The NPCC region is a less monitoring and reporting requirements (NPCC) Protection and Control (PRC) than interconnection-wide region, and for the NPCC region. regional Reliability Standard PRC–002– its standards apply only to that part of NPCC–01 (Disturbance Monitoring) and the Eastern Interconnection within the 6 two associated new definitions. The Rules Concerning Certification of the Electric NPCC geographical footprint. Reliability Organization; Procedures for the regional Reliability Standard requires 5. In Order No. 672, the Commission Establishment, Approval, and Enforcement of transmission owners and generator urged uniformity of Reliability Electric Reliability Standards, Order No. 672, FERC owners to provide recording capability Stats. & Regs. ¶ 31,204, at P 290, order on reh’g, necessary to monitor the response of the 1 16 U.S.C. 824o(d) (2006). Order No. 672–A, FERC Stats. & Regs. ¶ 31,212 2 See 16 U.S.C. 824o(e). (2006). 7 14 5 CFR 1320.11 (2011). 3 Id. § 824o(e)(4). Order No. 672, FERC Stats. & Regs. ¶ 31,204 at 15 44 U.S.C. 3507(d). 4 See North American Electric Reliability Corp., P 291. 16 Order No. 693, FERC Stats. & Regs. ¶ 31,242, 119 FERC ¶ 61,060, at P 316–350 (Delegation 8 Mandatory Reliability Standards for the Bulk- order on reh’g, Order No. 693–A, 120 FERC ¶ Agreement Order), order on reh’g, 120 FERC Power System, Order No. 693, FERC Stats. & Regs. 61,053 (2007). ¶ 61,260 (2007). ¶ 31,242, order on reh’g, Order No. 693–A, 120 17 5 CFR 1320.3(b)(2). 5 Id. P 302. FERC ¶ 61,053 (2007).

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II. NERC Petition and Notice of Filing Plants’’ is a new term defined as ‘‘one trigger settings, to transmission owners 7. In its May 31, 2011 petition,9 NERC or more generators at a single physical and generator owners. requests Commission approval of location whereby a single contingency 15. Each transmission owner and proposed regional Reliability Standard can affect all the generators at that generator owner that receives a request PRC–002–NPCC–01 (Disturbance location.’’ The term appears in this from its reliability coordinator to install Monitoring) and two associated new Requirement and in Requirement R1’s a dynamic disturbance recorder is definitions. NERC states that PRC–002– description of where sequence of event required, under Requirement R13, to NPCC–01 is intended to ensure that recording capability is to be located. It acquire and install the recorder in adequate disturbance data is available to is used to clarify that, for the sake of accordance with an implementation facilitate bulk electric system event efficiency, one sequence of event schedule agreed to with the reliability analyses and thereby improve system recorder or a single fault recorder may coordinator. They also are required by reliability by promoting improved be used where it will capture all the Requirement R14 to establish a system design and operations. information from a single contingency maintenance and testing program for 8. The standard is applicable to affecting all the generators at a single their stand alone disturbance transmission owners, generator owners, location, and multiple recorders would monitoring equipment (i.e., equipment and reliability coordinators and be redundant. whose only purpose is disturbance contains 17 requirements that identify 12. Because certain data are necessary monitoring). The Requirement lists the proper locations for sequence of for post-event analysis, Requirement R5 elements of such a program. events recorders, fault recorders, and requires each transmission owner and 16. Requirement R15 requires that dynamic disturbance recorders within generator owner to record for faults each reliability coordinator, the NPCC region and specify the data to sufficient electrical quantities for each transmission owner, and generator owner share data within 30 days upon be captured and reported by this monitored bulk electric system element request, and each generator owner must equipment. to determine: (i) Three phase-to-neutral 9. Sequence of events recorders voltages; (ii) three phase currents and provide recorded disturbance data from disturbance monitoring equipment capture the sequences of events for neutral currents; (iii) polarizing currents within 30 days of receipt of a request for monitored changes of state in and voltages, if used; (iv) frequency; and information from NERC, the Regional equipment and protection systems (v) real and reactive power. Entity, the reliability coordinator, or occurring in substations, switchyards, or Requirement R6 sets out the recording transmission or generator owners within power plants. Requirement R1 requires specifications required of the fault NPCC. Requirement R16 specifies the that each transmission owner and recording equipment in order to ensure format requirements for data files. generator owner provide sequence of the monitored data is captured in Requirement R17 requires each events recording capability at specified sufficient detail for it to be meaningfully reliability coordinator, transmission locations either through installation of used in analyses. owner and generator owner to maintain, sequence of events recorders or as part 13. Dynamic disturbance recorders record and provide to the Regional of another device such as a remote monitor power system conditions when Entity, upon request, specified data terminal unit or a generator plant digital the system experiences dynamic events regarding the disturbance monitoring (or distributed) control system. such as low frequency oscillations, or 10. Fault recorders capture and store equipment installed to meet regional frequency or voltage excursions. Reliability Standard PRC–002–NPCC– power system waveforms that can be Requirement R7 requires each reliability 01. used to analyze transients and coordinator to establish dynamic 17. Notice of NERC’s filing was abnormalities in system frequency. disturbance recording needs for its area published in the Federal Register, 76 FR Requirement R2 requires each in accordance with specified recording 40,350 (2011), with interventions and transmission owner to provide fault requirements, and Requirement R8 protests due on or before August 1, recording capability for specified requires that dynamic disturbance 2011. No motion to intervene or protest elements of the Bulk-Power System, and recorders function continuously. To was received. Requirement R3 requires that each capture system disturbance data with transmission owner have fault recording sufficient detail for use in post-event III. Discussion capability that determines the ‘‘Current analyses, Requirement R9 specifies the 18. The Commission approves Zero Time’’ for loss of bulk electric minimal recording duration, sample rate regional Reliability Standard PRC–002– system transmission elements. ‘‘Current and trigger events for dynamic NPCC–01 as just, reasonable, not unduly Zero Time’’ is a new defined term used disturbance recorders. Requirement R10 discriminatory or preferential, and in in PRC–002–NPCC–01 to mean the requires each reliability coordinator to the public interest. To that end, the precise time of circuit interruption. It is establish requirements to ensure that Commission finds that PRC–002–NPCC– defined as ‘‘the time of the final current certain specified data are monitored or 01 satisfies the Order No. 672 factors on zero on the last phase to interrupt.’’ derived where dynamic disturbance how the Commission determines 11. Requirement R4 requires each recorders are installed. whether a regional Reliability Standard generator owner to provide fault 14. Requirement R11 requires each is just and reasonable in that PRC–002– recording capability for ‘‘Generating reliability coordinator to document NPCC–01: (1) Is clear and unambiguous Plants’’ at and above 200 MVA and additional settings and deviations from regarding what is required and who is connected through a generator step-up the required trigger settings described in required to comply (transmission transformer to a bulk electric system Requirement R9 and the required list of owners, generator owners, and element, unless such recording monitored quantities described in reliability coordinators within the NPCC capability is provided by the Requirement R10 and to report these region); (2) has clear and objective transmission owner. ‘‘Generating settings and deviations to the Regional measures for compliance and achieves a Entity upon request. Requirement R12 reliability goal (namely, ensuring that 9 North American Electric Reliability Corp., May requires each reliability coordinator to adequate disturbance data is available to 31, 2011 Petition for Approval of Proposed NPCC Regional Reliability Standard PRC–002–NPCC–01 specify its dynamic disturbance facilitate bulk electric system event — Disturbance Monitoring (NERC Petition). recording requirements, including analyses); and (3) is ‘‘more stringent’’

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than NERC’s existing unapproved and provided burden estimates, ways to specifies that the program must require unenforceable continent-wide enhance the quality, utility, and clarity active analog quantities to be verified disturbance monitoring and reporting of the information to be collected, and monthly, and Sub-requirement 14.7 standard, PRC–002–1. any suggested methods for minimizing requires that if failed units cannot be 19. Regional Reliability Standard the respondent’s burden, including the returned to service within 90 days, the PRC–002–NPCC–01 includes two new use of automated information owner must record its efforts to restore defined terms that apply only to the techniques. Comments should be the equipment to service. These NPCC region: ‘‘Current Zero Time’’ and submitted following the Commission’s components of the program have not ‘‘Generating Plant.’’ The two proposed submission guidelines at http:// been included in NPCC’s current regional terms do not conflict with any www.ferc.gov/help/submission- Disturbance Monitoring Criteria or existing terms in the NERC Glossary of guide.asp and should reference Docket Application Guide. Requirement R17 Terms. Accordingly, the Commission No. RD11–8–000. requires each reliability coordinator, approves the inclusion of the two 24. This Order approves regional transmission owner, and generator regional terms related to PRC–002– Reliability Standard PRC–002–NPCC–01 owner to maintain and record specific NPCC–01 in the NERC Glossary (Disturbance Monitoring) which data on installed disturbance specifically as NPCC regional terms. introduces new mandatory and monitoring equipment, and submit the 20. The Commission finds that the enforceable requirements for the data to the Regional Entity upon NERC’s violation risk factors and applicable entities. It generally request. Under the Disturbance violation severity levels for regional identifies the evidence that will be used Monitoring Criteria, the reliability Reliability Standard PRC–002–NPCC–01 to monitor compliance. NPCC presently coordinator was not obligated to are consistent with the Commission’s has criteria addressing monitoring established guidelines.10 We therefore equipment and published guidance maintain these records or provide the approve the assigned violation risk addressing maintenance and testing of records to the Regional Entity. factors and violation severity levels. such equipment. The Disturbance 26. Public Reporting Burden: The 21. As requested by NERC, the Monitoring Equipment Criteria 15 seek estimate below regarding the number of Commission approves the the same or equivalent information respondents is based on the NERC implementation plan for regional identified in Reliability Standard PRC– compliance registry as of August 29, Reliability Standard PRC–002–NPCC– 002–NPCC–01, and NPCC’s guidance 2011. According to the NERC 01. establishes maintenance and testing compliance registry, there are 35 IV. Information Collection Statement expectations similar to those imposed transmission owners, 136 generation by the regional Reliability Standard.16 owners, and five reliability coordinators 22. The Office of Management and Thus, it is currently usual and in the NPCC region. However, under Budget (OMB) regulations require customary for affected entities within NERC’s compliance registration approval of certain information NPCC to create, maintain and store program, entities may be registered for collection requirements imposed by some of the same or equivalent multiple functions, so these numbers 11 agency actions. Upon approval of a information identified in Reliability incorporate some double counting. The collection of information, OMB will Standard PRC–002–NPCC–01. net number of entities responding will assign an OMB control number and Therefore, many of the requirements be approximately 167 entities registered expiration date. Respondents subject to contained in PRC–002–NPCC–01 do not as a transmission owner, generation the filing requirement of this order will impose new burdens on the affected owner, or reliability coordinator. This not be penalized for failing to respond entities.17 includes eight entities registered as both to these collections of information 25. Several requirements contained in a generation owner and transmission unless the collections of information regional Reliability Standard PRC–002– owner, as well as one entity registered display a valid OMB control number. NPCC–01 do introduce entirely new 12 as both a transmission owner and a The Paperwork Reduction Act (PRA) responsibilities for the applicable reliability coordinator. requires each federal agency to seek and entities. Each such requirement is obtain OMB approval before discussed below. Requirement R13 27. We estimate that annually, undertaking a collection of information requires that each transmission owner approximately one entity within NPCC directed to ten or more persons, or and generator owner retain evidence will have to procure dynamic continuing a collection for which OMB that it acquired and installed dynamic disturbance recording capability. Based approval and validity of the control disturbance recorders in accordance on Commission staff outreach and number are about to expire.13 with the specifications requested by the analysis, we estimate the total 23. The Commission will submit these reliability coordinator, and that the acquisition and installation cost will reporting and recordkeeping generator owner, transmission owner, range between $150,000 and $750,000. requirements to OMB for its review and and reliability coordinator retain We also estimate that an entity will approval under section 3507(d) of the evidence that they agreed on an experience a unit failure greater than 90 PRA.14 Comments are solicited within implementation schedule. Requirement days once every five years. Therefore, 20 sixty days of the date this order is R14 requires that each transmission percent of NPCC’s 163 generator owners published in the Federal Register on the owner and generator owner establish a and transmission owners will Commission’s need for this information, maintenance and testing program for experience a unit failure of this duration whether the information will have stand-alone disturbance monitoring each year. The estimated burden for the practical utility, the accuracy of equipment. Sub-requirements 14.5 requirements in this Order follow:

10 See North American Electric Reliability Corp., 11 5 CFR 1320.10. Standards/Criteria/A-15.pdf (Disturbance 119 FERC ¶ 61,145, order on reh’g, 120 FERC 12 44 U.S.C . 3501–20. Monitoring Criteria). 16 ¶ 61,145, at P 8–13 (2007); North American Electric 13 44 U.S.C. 3502(3)(A)(i), 44 U.S.C. 3507(a)(3). Guide for Application of Disturbance Reliability Corp., 123 FERC ¶ 61,284, at P 20–35, Recording Equipment (Sept. 2006), available at 14 44 U.S.C. 3507(d). order on reh’g & compliance, 125 FERC ¶ 61,212 https:/www.npcc.org/Standards/Guides/B-26.pdf 15 (2008); North American Electric Reliability Corp., Disturbance Monitoring Equipment Criteria (Application Guide). 135 FERC ¶ 61,166 (2011). (Aug. 2007), available at https://www.npcc.org/ 17 5 CFR 1320.3(b)(2) (2011).

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Number of Number of responses Average burden Total annual PRC–002–NPCC–01 respondents per hours per hours annually respondent response

(1) (2) (3) (1 × 2 × 3)

R13: GO 18 and TO to document acquisition and instal- 1 1 Record Retention 10 10 lation of dynamic disturbance recorders. GO, TO, and RC to develop and employ implementation schedule. R14.5: GO and TO maintenance and testing program 163 12 Record Retention 5 9,780 for stand-alone disturbance monitoring equipment in- cludes monthly verification of active analog quan- tities. R14.7: GO and TO requirement to return failed units to 33 1 Reporting (as- 10 330 service in 90 days. Record kept of efforts if greater sessment and than 90 days. dist. of records).

...... Record Retention 10 330 R17: RC maintains data on equipment, and provide to 5 1 Reporting (as- 5 25 RE upon request. sessment and dist. of data).

...... Record Retention 10 50 Total ...... Reporting (as- ...... 355 sessment and dist).

...... Record Retention ...... 10,170 18 For purposes of this chart, generation owner is abbreviated to GO, transmission owner is abbreviated to TO, and reliability coordinator is ab- breviated to RC.

Information Collection Costs: The to identify the proper locations for implementation plan proposed by NERC Commission seeks comments on the sequence of events recorders, fault are herby approved, as discussed in this costs to comply with these requirements recorders, and dynamic disturbance order. and recordkeeping burden associated recorders and specify the data to be By the Commission. Commissioner Spitzer with regional Reliability Standard PRC– captured and reported by this is not participating. 002–NPCC–01. equipment. • Total Annual Hours for Collection: • Internal review: The Commission Kimberly D. Bose, (Reporting and Record Retention) = has reviewed the requirements Secretary. 10,525 hours. pertaining to the proposed regional [FR Doc. 2011–27567 Filed 10–24–11; 8:45 am] • Total Estimated Annual Record Reliability Standard and determined BILLING CODE 6717–01–P Retention Cost 19 = 10,170 hours @ $28/ that the proposed requirements are hour = $284,360 necessary to meet the statutory • Total Estimated Annual Reporting provisions of the Energy Policy Act of DEPARTMENT OF ENERGY Cost = 355 hours @ $120/hour = $42,600 2005. These requirements conform to • Total Estimated Annual the Commission’s plan for efficient Federal Energy Regulatory Compliance Cost (acquisition and information collection, communication Commission installation of dynamic disturbance and management within the energy recorders) = $750,000 industry. The Commission has assured Notice of Commission Staff • Total Estimated Annual Cost = itself, by means of internal review, that Attendance $1,077,640 there is specific objective support for • Title: NPCC Regional Reliability the burden estimates associated with the The Federal Energy Regulatory Standards information requirements. Commission hereby gives notice that • Action: Proposed Collection FERC– 28. Interested persons may obtain members of the Commission’s staff may 725I. information on the reporting attend the following meetings related to • OMB Control No: To be determined. requirements by contacting: Federal • the transmission planning activities of Respondents: Business or other for Energy Regulatory Commission, 888 the New York Independent System profit, and/or not for profit institutions. First Street, NE., Washington, DC 20426 • Operator, Inc. (NYISO): Frequency of Responses: On [Attention: Ellen Brown, Office of the occasion. Executive Director, e-mail: Electric System Planning Working • Necessity of the Information: This [email protected], Phone: (202) Group proposed rule would approve a new 502–8663, fax: (202) 273–0873]. regional Reliability Standard that The Commission orders: October 24, 2011, 10 a.m.–4:00 p.m., requires entities within the NPCC region Regional Reliability Standard PRC– Local Time 002–NPCC–01, its assigned VRFs and November 7, 2011, 10 a.m.–4 p.m., 19 The hourly reporting cost is based on the VSLs, inclusion of the terms ‘‘Current Local Time estimated cost of an engineer to implement the Zero Time’’ and ‘‘Generating Plant’’ in requirements of the rule. The record retention cost November 21, 2011, 10 a.m.–4 p.m., the NERC Glossary of Terms Used in comes from Commission staff research on record Local Time retention requirements. Reliability Standards, and the

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Inter-Regional Planning Advisory Docket No. ER11–3728, Midwest • Hand Delivery: OPPT Document Committee Independent Transmission System Control Office (DCO), EPA East, Rm. Operator, Inc. 6428, 1201 Constitution Ave., NW., November 29, 2011, 8:30 a.m.–12:30 Docket No. EL11–56, First Energy Washington, DC. Attention: Docket ID p.m., Local Time Service Company. Number EPA–HQ–OPPT–2011–0699. The above-referenced meetings will Docket No. OA08–53, Midwest The DCO is open from 8 a.m. to 4 p.m., be held at: NYISO’s offices, Rensselaer, Independent Transmission System Monday through Friday, excluding legal NY. Operator, Inc. holidays. The telephone number for the The above-referenced meetings are For more information, contact DCO is (202) 564–8930. Such deliveries open to stakeholders. Christopher Miller, Office of Energy are only accepted during the DCO’s Further information may be found at Markets Regulation, Federal Energy normal hours of operation, and special http://www.nyiso.com. Regulatory Commission at (317) 249– arrangements should be made for The discussions at the meeting 5936 or [email protected]. deliveries of boxed information. described above may address matters at Instructions: Direct your comments to Dated: October 19, 2011. issue in the following proceedings: docket ID number EPA–HQ–OPPT– Kimberly D. Bose, Docket No. RM10–23, Transmission 2011–0699. EPA’s policy is that all Planning and Cost Allocation by Secretary. comments received will be included in Transmission Owning and Operating [FR Doc. 2011–27526 Filed 10–24–11; 8:45 am] the docket without change and may be Public Utilities BILLING CODE 6717–01–P made available on-line at http:// Docket No. ER08–1281, New York www.regulations.gov, including any Independent System Operator, Inc. personal information provided, unless For more information, contact James ENVIRONMENTAL PROTECTION the comment includes information Eason, Office of Energy Market AGENCY claimed to be Confidential Business Information (CBI) or other information Regulation, Federal Energy Regulatory [EPA–HQ–OPPT–2011–0699; FRL–8889–4] Commission at (202) 502–8622 or whose disclosure is restricted by statute. [email protected]. Do not submit information that you Agency Information Collection consider to be CBI or otherwise Dated: October 19, 2011. Activities; Proposed Collection; protected through regulations.gov or e- Kimberly D. Bose, Comment Request mail. The regulations.gov Web site is an Secretary. AGENCY: Environmental Protection ‘‘anonymous access’’ system, which [FR Doc. 2011–27527 Filed 10–24–11; 8:45 am] Agency (EPA). means EPA will not know your identity BILLING CODE 6717–01–P or contact information unless you ACTION: Notice. provide it in the body of your comment. SUMMARY: In compliance with the If you send an e-mail comment directly DEPARTMENT OF ENERGY Paperwork Reduction Act (PRA) (44 to EPA without going through U.S.C. 3501 et seq.), this document regulations.gov, your e-mail address Federal Energy Regulatory announces that EPA is planning to will be automatically captured and Commission submit a request to renew an existing included as part of the comment that is approved Information Collection placed in the docket and made available Notice of Commission Staff on the Internet. If you submit an Attendance Request (ICR) to the Office of Management and Budget (OMB). This electronic comment, EPA recommends The Federal Energy Regulatory ICR, entitled: ‘‘Recordkeeping and that you include your name and other Commission hereby gives notice that Reporting Requirements for Allegations contact information in the body of your members of the Commission’s staff may of Significant Adverse Reactions to comment and with any disk or CD–ROM attend the following meetings: of the Human Health or the Environment you submit. If EPA cannot read your Organization of MISO States and (TSCA Section 8(c))’’ and identified by comment due to technical difficulties Midwest Independent Transmission EPA ICR No. 1031.10 and OMB Control and cannot contact you for clarification, System Operator, Inc. (MISO): No. 2070–0017, is scheduled to expire EPA may not be able to consider your comment. Electronic files should avoid MISO Planning Advisory Committee, on August 31, 2012. Before submitting the ICR to OMB for review and the use of special characters, any form October 25, 2011, 9 a.m.–4 p.m., Local of encryption, and be free of any defects Time. approval, EPA is soliciting comments on specific aspects of the proposed or viruses. MISO RECB Task Force, October 27, Docket: All documents in the docket information collection. 2011, 9 a.m.–3 p.m., Local Time. are listed in the docket index available The above-referenced meetings will DATES: Comments must be received on at http://www.regulations.gov. Although be held at: or before December 27, 2011. listed in the index, some information is ADDRESSES: Submit your comments, not publicly available, e.g., CBI or other MISO Headquarters, 720 City Center identified by docket identification (ID) information whose disclosure is Drive, Carmel, IN 46032. number EPA–HQ–OPPT–2011–0699 by restricted by statute. Certain other The above-referenced meeting is open one of the following methods: material, such as copyrighted material, to the public. • Federal eRulemaking Portal: http:// will be publicly available only in hard Further information may be found at www.regulations.gov. Follow the on-line copy. Publicly available docket http://www.misoenergy.org. instructions for submitting comments. materials are available electronically at The discussions at the meeting • Mail: Document Control Office http://www.regulations.gov, or, if only described above may address matters at (7407M), Office of Pollution Prevention available in hard copy, at the OPPT issue in the following proceedings: and Toxics (OPPT), Environmental Docket. The OPPT Docket is located in Docket No. ER10–1791, Midwest Protection Agency, 1200 Pennsylvania the EPA Docket Center (EPA/DC) at Rm. Independent Transmission System Ave., NW., Washington, DC 20460– 3334, EPA West Bldg., 1301 Operator, Inc. 0001. Constitution Ave., NW., Washington,

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DC. The EPA/DC Public Reading Room burden for very small businesses Since section 8(c) includes no automatic hours of operation are 8:30 a.m. to 4:30 affected by this collection. reporting provisions, EPA can obtain p.m., Monday through Friday, excluding and use the information contained in II. What should I consider when I legal holidays. The telephone number of company files only by inspecting those prepare my comments for EPA? the EPA/DC Public Reading Room is files or requiring reporting of records (202) 566–1744, and the telephone You may find the following that relate to specific substances of number for the OPPT Docket is (202) suggestions helpful for preparing your concern. Therefore, under certain 566–0280. Docket visitors are required comments: conditions, and using the provisions to show photographic identification, 1. Explain your views as clearly as found in 40 CFR part 717, EPA may pass through a metal detector, and sign possible and provide specific examples. require companies to report such the EPA visitor log. All visitor bags are 2. Describe any assumptions that you allegations to the Agency. EPA uses processed through an X-ray machine used. such information on a case-specific and subject to search. Visitors will be 3. Provide copies of any technical basis to corroborate suspected adverse provided an EPA/DC badge that must be information and/or data you used that health or environmental effects of visible at all times in the building and support your views. chemicals already under review by EPA. returned upon departure. 4. If you estimate potential burden or The information is also useful to costs, explain how you arrived at the identify trends of adverse effects across FOR FURTHER INFORMATION CONTACT: For estimate that you provide. the industry that may not be apparent to technical information contact: Mike 5. Provide specific examples to any one chemical company. This Mattheisen, Chemical Control Division illustrate your concerns. information collection addresses the (7405M), Office of Pollution Prevention 6. Offer alternative ways to improve reporting and recordkeeping provisions and Toxics, Environmental Protection the collection activity. described above. Responses to the Agency, 1200 Pennsylvania Ave., NW., 7. Make sure to submit your collection of information are mandatory Washington, DC 20460–0001; telephone comments by the deadline identified (see 40 CFR part 717). Respondents may number: (202) 564–3077; fax number: under DATES. claim all or part of a notice confidential. (202) 564–4755; e-mail address: 8. To ensure proper receipt by EPA, EPA will disclose information that is [email protected]. be sure to identify the docket ID number covered by a claim of confidentiality For general information contact: The assigned to this action in the subject only to the extent permitted by, and in TSCA–Hotline, ABVI–Goodwill, 422 line on the first page of your response. accordance with, the procedures in South Clinton Ave., Rochester, NY You may also provide the name, date, TSCA section 14 and 40 CFR part 2. 14620; telephone number: (202) 554– and Federal Register citation. Burden statement: The annual public 1404; e-mail address: TSCA- reporting and recordkeeping burden for [email protected]. III. What information collection activity or ICR does this action apply to? this collection of information is SUPPLEMENTARY INFORMATION: estimated to range between Affected entities: Entities potentially approximately 1 minute and 8 hours per I. What information is EPA particularly affected by this ICR are manufacturers, response. Burden means the total time, interested in? processors or importers of chemical effort, or financial resources expended substances. Pursuant to section 3506(c)(2)(A) of by persons to generate, maintain, retain, Title: ‘‘Recordkeeping and Reporting PRA, EPA specifically solicits or disclose or provide information to or Requirements for Allegations of comments and information to enable it for a Federal agency. This includes the Significant Adverse Reactions to Human to: time needed to review instructions; Health or the Environment (TSCA develop, acquire, install, and utilize 1. Evaluate whether the proposed Section 8(c))’’. collection of information is necessary technology and systems for the purposes ICR numbers: EPA ICR No. 1031.10, of collecting, validating, and verifying for the proper performance of the OMB Control No. 2070–0017. functions of the Agency, including information, processing and ICR status: This ICR is currently maintaining information, and disclosing whether the information will have scheduled to expire on August 31, 2012. practical utility. and providing information; adjust the An Agency may not conduct or sponsor, existing ways to comply with any 2. Evaluate the accuracy of the and a person is not required to respond Agency’s estimates of the burden of the previously applicable instructions and to, a collection of information, unless it requirements which have subsequently proposed collection of information, displays a currently valid OMB control including the validity of the changed; train personnel to be able to number. The OMB control numbers for respond to a collection of information; methodology and assumptions used. EPA’s regulations in title 40 of the Code 3. Enhance the quality, utility, and search data sources; complete and of Federal Regulations (CFR), after review the collection of information; clarity of the information to be appearing in the Federal Register when collected. and transmit or otherwise disclose the approved, are listed in 40 CFR part 9, information. 4. Minimize the burden of the are displayed either by publication in The ICR provides a detailed collection of information on those who the Federal Register or by other explanation of this estimate, which is are to respond, including through the appropriate means, such as on the only briefly summarized here: use of appropriate automated electronic, related collection instrument or form, if Estimated total number of potential mechanical, or other technological applicable. The display of OMB control respondents: 13,951. collection techniques or other forms of numbers for certain EPA regulations is Frequency of response: Annual. information technology, e.g., permitting consolidated in 40 CFR part 9. Estimated total average number of electronic submission of responses. In Abstract: TSCA section 8(c) requires responses for each respondent: 1.1. particular, EPA is requesting comments manufacturers, processors, and Estimated total annual burden hours: from very small businesses (those that distributors of chemicals to maintain 23,650 hours. employ less than 25) on examples of records of significant adverse reactions Estimated total annual costs: specific additional efforts that EPA to health or the environment alleged to $1,562,535. This includes an estimated could make to reduce the paperwork have been caused by such chemicals. burden cost of $ 0 and an estimated cost

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of $ 0 for capital investment or which is abstracted below, describes the that public comments, whether maintenance and operational costs. nature of the information collection and submitted electronically or in paper, its estimated burden and cost. will be made available for public IV. Are there changes in the estimates viewing at http://www.regulations.gov from the last approval? DATES: Additional comments may be submitted on or before November 25, as EPA receives them and without There is an increase of 114 hours in 2011. change, unless the comment contains the total estimated respondent burden copyrighted material, confidential compared with that identified in the ICR ADDRESSES: Submit your comments, business information (CBI), or other currently approved by OMB. This referencing Docket ID No. EPA–HQ– information whose public disclosure is increase reflects EPA’s estimate of a SFUND–2011–0585, to (1) EPA online restricted by statute. For further greater number of potential respondents using http://www.regulations.gov (our information about the electronic docket, affected by the reporting requirement. preferred method), by e-mail to go to http://www.regulations.gov. This change is an adjustment. [email protected], or by mail Title: Application for Reimbursement to: EPA Docket Center, Environmental to Local Governments for Emergency V. What is the next step in the process Protection Agency, Superfund Docket, Response to Hazardous Substance for this ICR? Mailcode: 28221T, 1200 Pennsylvania Releases Under CERCLA section 123 EPA will consider the comments Ave., NW., Washington, DC 20460, and (Renewal). received and amend the ICR as (2) OMB by mail to: Office of ICR numbers: EPA ICR No. 1425.08, appropriate. The final ICR package will Information and Regulatory Affairs, OMB Control No. 2050–0077. then be submitted to OMB for review Office of Management and Budget ICR Status: This ICR is scheduled to and approval pursuant to 5 CFR (OMB), Attention: Desk Officer for EPA, expire on October 21, 2011. Under OMB 1320.12. EPA will issue another Federal 725 17th Street, NW., Washington, DC regulations, the Agency may continue to Register notice pursuant to 5 CFR 20503. conduct or sponsor the collection of 1320.5(a)(1)(iv) to announce the information while this submission is FOR FURTHER INFORMATION CONTACT: Lisa pending at OMB. An Agency may not submission of the ICR to OMB and the Boynton, Office of Solid Waste and conduct or sponsor, and a person is not opportunity to submit additional Emergency Response, Office of required to respond to, a collection of comments to OMB. If you have any Emergency Management, (5104A) information, unless it displays a questions about this ICR or the approval Environmental Protection Agency, 1200 currently valid OMB control number. process, please contact the technical Pennsylvania Ave., NW., Washington, FOR FURTHER The OMB control numbers for EPA’s person listed under DC 20460; telephone number:202–564– regulations in title 40 of the CFR, after INFORMATION CONTACT. 2487; fax number: 202–564–8729; e- appearing in the Federal Register when mail address: [email protected]. List of Subjects approved, are listed in 40 CFR part 9, Environmental protection, Reporting SUPPLEMENTARY INFORMATION: EPA has are displayed either by publication in and recordkeeping requirements. submitted the following ICR to OMB for the Federal Register or by other review and approval according to the Dated: October 5, 2011. appropriate means, such as on the procedures prescribed in 5 CFR 1320.12. Stephen A. Owens, related collection instrument or form, if On July 13, 2011 (76 FR 41242), EPA applicable. The display of OMB control Assistant Administrator, Office of Chemical sought comments on this ICR pursuant Safety and Pollution Prevention. numbers in certain EPA regulations is to 5 CFR 1320.8(d). EPA received no consolidated in 40 CFR part 9. [FR Doc. 2011–27612 Filed 10–24–11; 8:45 am] comments. Any additional comments on Abstract: The Agency requires BILLING CODE 6560–50–P this ICR should be submitted to EPA applicants for reimbursement under this and OMB within 30 days of this notice. program authorized under Section 123 EPA has established a public docket ENVIRONMENTAL PROTECTION of CERCLA to submit an application for this ICR under Docket ID No. EPA– AGENCY that demonstrates consistency with HQ–SFUND–2011–0585, which is program eligibility requirements. This is [EPA–HQ–SFUND–2011–0585; FRL–9483–1] available for online viewing at http:// necessary to ensure proper use of the www.regulations.gov, or in person Superfund. EPA reviews the Agency Information Collection viewing at the Superfund Docket in the information to ensure compliance with Activities; Submission to OMB for EPA Docket Center (EPA/DC), EPA all statutory and program requirements. Review and Approval; Comment West, Room 3334, 1301 Constitution The applicants are local governments Request; Application for Ave., NW., Washington, DC. The EPA/ who have incurred expenses, above and Reimbursement to Local Governments DC Public Reading Room is open from beyond their budgets, for hazardous for Emergency Response to Hazardous 8:30 a.m. to 4:30 p.m., Monday through substance response. Submission of this Substance Releases Under CERCLA Friday, excluding legal holidays. The information is voluntary and to the Section 123 (Renewal) telephone number for the Reading Room applicant’s benefit. AGENCY: Environmental Protection is 202–566–1744, and the telephone Burden Statement: The annual public Agency (EPA). number for the Superfund Docket is reporting and recordkeeping burden for ACTION: Notice. 202–566–0276. this collection of information is Use EPA’s electronic docket and estimated to average 9 hours per SUMMARY: In compliance with the comment system at http:// response. Burden means the total time, Paperwork Reduction Act (PRA)(44 www.regulations.gov, to submit or view effort, or financial resources expended U.S.C. 3501 et seq.), this document public comments, access the index by persons to generate, maintain, retain, announces that an Information listing of the contents of the docket, and or disclose or provide information to or Collection Request (ICR) has been to access those documents in the docket for a Federal agency. This includes the forwarded to the Office of Management that are available electronically. Once in time needed to review instructions; and Budget (OMB) for review and the system, select ‘‘docket search,’’ then develop, acquire, install, and utilize approval. This is a request to renew an key in the docket ID number identified technology and systems for the purposes existing approved collection. The ICR, above. Please note that EPA’s policy is of collecting, validating, and verifying

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information, processing and project that may wish to use the same provided under Section 1605(b) of maintaining information, and disclosing product must apply for a separate ARRA if EPA determines that (1) and providing information; adjust the waiver based on project specific Applying these requirements would be existing ways to comply with any circumstances. Based upon information inconsistent with public interest; (2) previously applicable instructions and submitted by the Borough and its iron, steel, and the relevant requirements which have subsequently consulting engineer, EPA has concluded manufactured goods are not produced in changed; train personnel to be able to that there are currently no domestic the United States in sufficient and respond to a collection of information; manufactured 50 kW wind turbines reasonably available quantities and of a search data sources; complete and available in sufficient and reasonable satisfactory quality; or (3) inclusion of review the collection of information; quantity and of a satisfactory quality to iron, steel, and the relevant and transmit or otherwise disclose the meet the Borough’s project design and manufactured goods produced in the information. performance specifications, and that a United States will increase the cost of Respondents/Affected Entities: Local waiver is justified. The Regional the overall project by more than 25 governments. Administrator is making this percent. Estimated Number of Respondents: determination based on the review and EPA has also evaluated the Borough’s 60. recommendations of the State Revolving request to determine if its submission is Frequency of Response: On occasion. Fund Program Team. The Assistant considered late or if it could be Estimated Total Annual Hour Burden: Administrator of the Office of considered timely, as per the Office of 540. Administration and Resources Management and Budget (OMB) Estimated Total Annual Cost: $9,990, Management has concurred on this regulations at 2 CFR 176.120. EPA will includes no annualized capital or O&M decision to make an exception to generally regard waiver requests with costs. Section 1605(a) of ARRA. This action respect to components that were Changes in the Estimates: There is an permits the purchase of a foreign specified in the bid solicitation or in a increase of 135 hours in the total manufactured 50 kW wind turbine general/primary construction contract as estimated burden currently identified in generator by the Borough, as specified ‘‘late’’ if submitted after the contract the OMB Inventory of Approved ICR in its June 6, 2011 waiver request. date. However, EPA could also determine that a request be evaluated as Burdens. This is due to expected growth DATES: Effective Date: August 8, 2011. in the number of respondents applying timely, though made after the date that FOR FURTHER INFORMATION CONTACT: the contract was signed, if the need for for reimbursement. ´ Alicia Suarez, Environmental Engineer, a waiver was not reasonably foreseeable. Dated: October 19, 2011. (212) 637–3851, State Revolving Fund If the need for a waiver is reasonably John Moses, Program Team, Division of foreseeable, then EPA could still apply Acting Director, Collection Strategies Environmental Planning and Protection, discretion in these late cases as per the Division. U.S. EPA, 290 Broadway, New York, NY OMB regulations, which says ‘‘the [FR Doc. 2011–27597 Filed 10–24–11; 8:45 am] 10007. award official may deny the request.’’ BILLING CODE 6560–50–P SUPPLEMENTARY INFORMATION: For those waiver requests that do not In accordance with ARRA Sections have a reasonably unforeseeable basis 1605(c) and 1605(b) (2), the EPA hereby for lateness, but for which the waiver ENVIRONMENTAL PROTECTION provides notice that it is granting a basis is valid and there is no apparent AGENCY project waiver of the requirements of gain by the ARRA recipient or loss on Section 1605(a) of Public Law 111–5, [FRL–9482–3] behalf of the government, then EPA will Buy American requirements, to the still consider granting a waiver. Notice of a Project Waiver of Section Borough for the purchase of a 50 kW In this case, the contract for the 1605 (Buy American Requirement) of wind turbine generator, manufactured construction and erection of a 50 kW the American Recovery and by Atlantic Orient Corporation, that wind turbine was awarded in December Reinvestment Act of 2009 (ARRA) to meets the Borough’s design and 2009. At the time of award the the Borough of Ocean Gate, NJ performance specifications. EPA has contractor was proposing the evaluated the Borough’s basis for the installation of an Entegrity 50 kW wind AGENCY: Environmental Protection procurement of a foreign made wind turbine. The contractor’s bid was based Agency (EPA). turbine generator. Based upon on using the Entegrity unit. Shortly after ACTION: Notice. information submitted by the Borough the contract was awarded it was and its consulting engineer, EPA has discovered that Entegrity Wind Systems SUMMARY: The EPA is hereby granting a concluded that there are currently no had filed for bankruptcy and was project waiver of the Buy American domestic manufactured 50 kW wind possibly going into receivership. The requirements of ARRA Section 1605 turbines available in sufficient and bankruptcy proceedings carried on for under the authority of Section reasonable quantity and of a satisfactory about a year. The issue was further 1605(b)(2) [manufactured goods are not quality to meet the Borough’s project complicated because the matter was in produced in the United States in design and performance specifications. the Canadian courts. Due to the sufficient and reasonably available Section 1605 of the ARRA requires uncertainty of which turbine would quantities and of a satisfactory quality] that none of the appropriated funds may actually be installed the Borough and to the Borough of Ocean Gate, New be used for the construction, alteration, contractor waited until that decision Jersey (Borough), for the purchase of a maintenance, or repair of a public was finalized. The contractor was given foreign manufactured 50 kW wind building or a public works project the start work order in November 2010. turbine generator that meets the unless all of the iron, steel, and At that time the wind system to be used Borough’s design and performance manufactured goods used in the project was confirmed and the necessary waiver specifications. This is a project specific are produced in the United States, or was developed by the Borough. There is waiver and only applies to the use of the unless a waiver is provided to the no indication that the Borough failed to specified product for the ARRA project recipient by the head of the appropriate request a waiver in order to avoid the being proposed. Any other ARRA agency, here the EPA. A waiver may be requirements of ARRA, particularly

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since there are no domestically Reinvestment Act of 2009’ ’’ Dated: August 8, 2011. manufactured products available that (Memorandum), defines: reasonably Judith A. Enck, meet the project specifications. The available quantity as ‘‘the quantity of Regional Administrator, Environmental Borough’s subsequent research iron, steel, or the relevant manufactured Protection Agency, Region 2. indicated that no other domestic good is available or will be available at [FR Doc. 2011–27607 Filed 10–24–11; 8:45 am] manufactured 50 kW wind turbine the time needed and place needed, and BILLING CODE 6560–50–P generators that met project in the proper form or specification as specifications were available. specified in the project plans and Accordingly, EPA will evaluate the design,’’ and satisfactory quality as ‘‘the FEDERAL COMMUNICATIONS request as a timely request. quality of iron, steel, or the relevant COMMISSION The Borough is completing a wind manufactured good as specified in the power project to supply power to its project plans and designs.’’ Information Collection(s) Being water treatment plant. The project is Reviewed by the Federal funded in part by the New Jersey Clean The Region 2 State Revolving Fund Program Team has reviewed this waiver Communications Commission Energy Initiative. To qualify for the Comments Requested state’s rebate, the wind turbine request and has determined that the generator cannot produce more power supporting documentation provided by AGENCY: Federal Communications than the plant’s power consumption for the Borough establishes both a proper Commission. the last year. Based on that requirement, basis to specify the particular good ACTION: Notice and request for a 50 kW wind turbine generator was required and that the manufactured comments. specified. good is not available from a producer in The Borough is requesting a waiver the United States to meet the design SUMMARY: As part of its continuing effort for the purchase of a 50 kW wind specifications for the proposed project. to reduce paperwork burden and as turbine generator, manufactured by The information provided is sufficient required by the Paperwork Reduction Atlantic Orient Corporation, because to meet the criteria listed under Section Act (PRA) of 1995 (44 U.S.C. 3501– according to the Borough, there are no 1605(b) of ARRA, OMB regulations at 2 3520), the Federal Communications domestic manufacturers that produce a CFR 176.60–176.170, and in the EPA Commission invites the general public wind turbine generator that meets the Headquarters April 28, 2009 and other Federal agencies to take this project design and performance Memorandum: Iron, steel, and the opportunity to comment on the specifications. manufactured goods are not produced in following information collection(s). Based on the technical evaluation of the United States in sufficient and Comments are requested concerning: (a) the Borough’s waiver request and reasonably available quantities and of a Whether the proposed collection of supporting documentation conducted satisfactory quality. The basis for this information is necessary for the proper by EPA’s national contractor, the project waiver is the authorization performance of the functions of the Borough’s claim that no domestic provided in Section 1605(b)(2). Due to Commission, including whether the manufacturer can produce a 50 kW the lack of production of this product in information shall have practical utility; wind turbine generator that meets the the United States in sufficient and (b) the accuracy of the Commission’s project specifications is supported by reasonably available quantities and of a burden estimate; (c) ways to enhance the available evidence. In addition, the satisfactory quality in order to meet the the quality, utility, and clarity of the evaluation of the supporting Borough’s technical specifications, a information collected; (d) ways to documentation indicates that Atlantic waiver from the Buy American minimize the burden of the collection of Orient Corporation, who manufactures requirement is justified. information on the respondents, its wind turbine generators in Canada, The Administrator’s March 31, 2009, including the use of automated can provide a 50 kW wind turbine Delegation of Authority Memorandum collection techniques or other forms of generator that can meet project design provided Regional Administrators with information technology; and (e) ways to and performance specifications. the authority to issue exceptions to further reduce the information burden The purpose of the ARRA is to for small business concerns with fewer stimulate economic recovery in part by Section 1605 of ARRA within the geographic boundaries of their than 25 employees. funding current infrastructure The FCC may not conduct or sponsor construction, not to delay projects that respective regions and with respect to requests by individual grant recipients. a collection of information unless it are already ‘‘shovel ready’’ by requiring displays a currently valid OMB control entities, such as the Borough, to revise Having established both a proper basis to specify the particular good required number. No person shall be subject to their design standards and any penalty for failing to comply with specifications and potentially choose a for this project, and that this manufactured good was not available a collection of information subject to the more costly, less efficient project. The Paperwork Reduction Act (PRA) that imposition of ARRA Buy American from a producer in the United States, the Authority is hereby granted a waiver does not display a valid OMB control requirements on such projects otherwise number. eligible for State Revolving Fund from the Buy American requirements of assistance would result in unreasonable Section 1605(a) of Public Law 111–5 for DATES: Written Paperwork Reduction delay and potentially the cancellation of the purchase of a 50 kW wind turbine Act (PRA) comments should be this project as sited. The delay or generator, as specified in its June 6, submitted on or before December 27, cancellation of this construction would 2011 waiver request. This 2011. If you anticipate that you will be directly conflict with the fundamental supplementary information constitutes submitting PRA comments, but find it economic purpose of ARRA, which is to the detailed written justification difficult to do so within the period of create or retain jobs. required by Section 1605(c) for waivers time allowed by this notice, you should The April 28, 2009, EPA Headquarters ‘‘based on a finding under subsection advise the FCC contact listed below as Memorandum, ‘‘Implementation of Buy (b).’’ soon as possible. American provisions of Public Law Authority: Public Law 111–5, Section ADDRESSES: Submit your PRA comments 111–5, the ‘American Recovery and 1605. to Nicholas A. Fraser, Office of

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Management and Budget, via fax at 202– and local entities to determine the Communications Act of 1934, as 395–5167 or via Internet at appropriate PSAPs to receive and amended. [email protected] and respond to E911 calls is necessary Total Annual Burden: 4,000 hours. to Judith B. Herman, Federal because of the difficulty in assigning Total Annual Cost: 100,000. Communications Commission, via the PSAPs based on the location of the Privacy Impact Assessment: N/A. Internet at [email protected]. To wireless caller. The deployment Needs and Uses: The Commission is submit your PRA comments by e-mail schedule that must be submitted by seeking approval for a revision of this send them to: [email protected]. carriers seeking a waiver of Phase I or information collection in order to obtain FOR FURTHER INFORMATION CONTACT: Phase II deployment schedule will be the full three year approval from OMB. Judith B. Herman, Office of Managing used by the Commission to guarantee There is no change to the Commission’s Director, (202) 418–0214. that the rules are enforced in as timely previous burden estimates. SUPPLEMENTARY INFORMATION: manner as possible within technological The Commission is seeking a revision OMB Control Number: 3060–0813. constraints. In addition, a wireless to add questions about prefill Title: Section 20.18, Enhanced 911 carrier must implement E911 service applications and the number of Emergency Calling Systems. within the six-month period following available channels, make clarifications Form Number: N/A. the date of the PSAP’s request. If the for some existing questions to the on- Type of Review: Extension of a carrier challenges the validity of the line database screens. This is being done currently approved collection. request, the request will be deemed to make completion of the form easier Respondents: Business or other for- valid if the PSAP making the request for the respondents. profit entities; Federal Government; and provides the following information: (a) Cost Recovery: The PSAP must Federal Communications Commission. State, Local, or Tribal Government. Marlene H. Dortch, Number of Respondents: 47,031 demonstrate that a mechanism is in place by which the PSAP will recover Secretary, Office of the Secretary, Office of respondents; 47,031 responses. Managing Director. Estimated Time per Response: its costs of the facilities and equipment 4.2142416 hours. necessary to receive and utilize the E911 [FR Doc. 2011–27468 Filed 10–24–11; 8:45 am] Frequency of Response: On occasion data elements. BILLING CODE 6712–01–P and annual reporting requirements and (b) Necessary Equipment: The PSAP third party disclosure requirement. must provide evidence that it has ordered the equipment necessary to FEDERAL COMMUNICATIONS Obligation to Respond: Required to COMMISSION obtain or retain benefits. Statutory receive and utilize the E911 data elements; and authority for this information collection Information Collection(s) Being (c) Necessary Facilities: The PSAP is contained in 47 U.S.C. Sections 151, Submitted for Review to the Office of must demonstrate that it has made a 154(i), 303(f) and (r), 309, 316, and 332 Management and Budget for Review timely request to the appropriate local of the Communications Act of 1934, as and Approval amended. exchange carrier (LEC) for the necessary Total Annual Burden: 198,200 hours. trunking and other facilities to enable AGENCY: Federal Communications Total Annual Cost: N/A. E911 data to be transmitted to the PSAP. Commission. This collection is needed to ensure Privacy Impact Assessment: N/A. ACTION: Notice and request for that they are ready to receive E911 Needs and Uses: The Commission is comments. seeking an extension of this information Phase I or Phase II information at the collection in order to obtain the full time that wireless carrier’s obligation to SUMMARY: The Federal Communications three year approval from OMB. There deliver that information becomes due. Commission (FCC), as part of its are no changes in any of the reporting This will reduce the possibility of both continuing effort to reduce paperwork and/or third party disclosure carriers and PSAPs investing money burdens, invites the general public and requirements. There is no change to the before the PSAP is actually E911 other Federal agencies to take this Commission’s previous burden capable. opportunity to comment on the estimates. OMB Control Number: 3060–1155. following information collection(s), as The notification requirement on Title: Sections 15.713, 15.714, 15.715 required by the Paperwork Reduction Public Safety Answering Points (PSAPs) and 15.717, TV White Space Broadcast Act (PRA) of 1995 (44 U.S.C. 3501– will be used by the carriers to verify that Bands. 3520), Public Law 104–13. Comments wireless E911 calls are referred to Form Number: N/A. are requested concerning: (a) Whether PSAPs who have the technical Type of Review: Revision of a the proposed collection of information capability to use the data to the caller’s currently approved collection. is necessary for the proper performance benefit. TTY and dispatch notification Respondents: Business or other for- of the functions of the Commission, requirements will be used to avoid profit entities. including whether the information shall customer confusion as to the Number of Respondents: 2,000 have practical utility; (b) the accuracy of capabilities of their handsets in reaching respondents; 2,000 responses. the Commission’s burden estimate; (c) help in emergency situations, thus Estimated Time per Response: 2 ways to enhance the quality, utility, and minimizing the possibility of critical hours. clarity of the information collected; (d) delays in response time. The annual Frequency of Response: On occasion ways to minimize the burden of the TTY reports will be used to monitor the reporting requirement, recordkeeping collection of information on the progress of TTY technology and thus requirement and third party disclosure respondents, including the use of capability. Consultations on the specific requirement. automated collection techniques or meaning assigned to pseudo-Automatic Obligation to Respond: Required to other forms of information technology; Location Identification (ALI) are obtain or retain benefits. Statutory (e) ways to further reduce the appropriate to ensure that all parties are authority for this information collection information collection burden on small working with the same information. is contained in 47 U.S.C. Sections business concerns with fewer than 25 Coordination between carriers and state 154(i), 302, 303(c), 303(f) and 307 of the employees.

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The FCC may not conduct or sponsor Government; and State, local, or tribal disclose proceedings, not just for those a collection of information unless it governments. presentations that involve new displays a currently valid Office of Number of Respondents and information or arguments not already in Management and Budget (OMB) Control Responses: 11,500 respondents; 34,500 the record; (2) If an oral ex parte Number. No person shall be subject to responses. presentation is limited to material any penalty for failing to comply with Estimated Time per Response: 45 already in the written record, the notice a collection of information subject to the minutes (0.75 hours). must contain either a succinct summary PRA that does not display a valid Office Frequency of Response: On occasion of the matters discussed or a citation to of Management and Budget (OMB) reporting requirements. the page or paragraph number in the Control Number. Obligation to Respond: Required to party’s written submission(s) where the obtain or retain benefits. matters discussed can be found; (3) DATES: Written comments should be Total Annual Burden: 25,875 hours. submitted on or before November 25, Total Annual Cost: $0.00. Notices for all ex parte presentations 2011. If you anticipate that you will be Privacy Impact Assessment: No must include the name of the person(s) submitting comments, but find it Impact(s). who made the ex parte presentation as difficult to do so within the period of Nature and Extent of Confidentiality: well as a list of all persons attending or time allowed by this notice, you should Consistent with the Commission’s rules otherwise participating in the meeting at advise the contacts listed below as soon on confidential treatment of which the presentation was made; (4) as possible. submissions, under 47 CFR Section Notices of ex parte presentations made ADDRESSES: Direct all PRA comments to 0.459, a presenter may request outside the Sunshine period must be Nicholas A. Fraser, Office of confidential treatment of ex parte filed within two business days of the Management and Budget (OMB), via fax presentations. In addition, the presentation; (5) The Sunshine period at: (202) 395–5167, or via e-mail to: Commission will permit parties to will begin on the day (including [email protected]; and remove metadata containing business days, weekends, and holidays) to Leslie F. Smith, Federal confidential or privileged information, after issuance of the Sunshine notice, Communications Commission (FCC), and the Commission will also not rather than when the Sunshine Agenda Room 1–C216, 445 12th Street, SW., require parties to file electronically ex is issued (as the current rules provide); Washington, DC, or via e-mail to: parte notices that contain confidential (6) If an ex parte presentation is made [email protected] and to: information. The Commission will, on the day the Sunshine notice is [email protected]. Please include in the however, require a redacted version to released, an ex parte notice must be comments the OMB Control Number as be filed electronically at the same time submitted by the next business day, and shown in the SUPPLEMENTARY the paper filing is submitted, and that any reply would be due by the following INFORMATION section below. the redacted version must be machine- business day. If a permissible ex parte presentation is made during the FOR FURTHER INFORMATION CONTACT: For readable whenever technically possible. Sunshine period (under an exception to additional information or copies of the Needs and Uses: The Commission’s the Sunshine period prohibition), the ex information collection(s), contact Leslie rules, under 47 CFR Section 1.1206, parte notice is due by the end of the F. Smith at (202) 418–0217 or via e-mail require that a public record be made of same day on which the presentation was at: [email protected]. ex parte presentations (i.e., written presentations not served on all parties to made, and any reply would need to be To view a copy of this information the proceeding or oral presentations as filed by the next business day. Any collection request (ICR) submitted to to which all parties have not been given reply must be in writing and limited to OMB: (1) Go to the Web page http:// notice and an opportunity to be present) the issues raised in the ex parte notice www.reginfo.gov/public/do/PRAMain, to decision-making personnel in to which the reply is directed; (7) (2) look for the section of the Web page ‘‘permit-but-disclose’’ proceedings, such Commissioners and agency staff may called ‘‘Currently Under Review,’’ (3) as notice-and-comment rulemakings and continue to request ex parte click on the downward-pointing arrow declaratory ruling proceedings. presentations during the Sunshine in the ‘‘Select Agency’’ box below the On February 2, 2011, the FCC released period, but these presentations should ‘‘Currently Under Review’’ heading, (4) a Report and Order and Further Notice be limited to the specific information select ‘‘Federal Communications of Proposed Rulemaking, GC Docket required by the Commission; (8) Ex Commission’’ from the list of agencies Number 10–43, FCC 11–11, which parte notices must be submitted presented in the ‘‘Select Agency’’ box, amended and reformed the electronically in machine-readable (5) click the ‘‘Submit’’ button to the Commission’s rules on ex parte format. PDF images created by scanning right of the ‘‘Select Agency’’ box, (6) presentations (47 CFR Section a paper document may not be when the list of FCC ICRs currently 1.1206(b)(2)) made in the course of submitted, except in cases in which a under review appears, look for the title Commission rulemakings and other word-processing version of the of this ICR (or its OMB Control Number, permit-but-disclose proceedings. The document is not available. Confidential if there is one) and then click on the ICR modifications to the existing rules information may continue to be Reference Number. A copy of the FCC adopted in this Report and Order submitted by paper filing, but a redacted submission to OMB will be displayed. require that parties file more descriptive version must be filed electronically at SUPPLEMENTARY INFORMATION: summaries of their ex parte contacts, by the same time the paper filing is OMB Control Number: 3060–0430. ensuring that other parties and the submitted. An exception to the Title: Section 1.1206, Permit-but- public have an adequate opportunity to electronic filing requirement will be Disclose Proceedings. review and respond to information made in cases in which the filing party Form Number(s): N/A. submitted ex parte, and by improving claims hardship. The basis for the Type of Review: Revision of a the FCC’s oversight and enforcement of hardship claim must be substantiated in currently approved collection. the ex parte rules. The modified ex the ex parte filing; (9) To facilitate Respondents: Individuals or parte rules provide as follows: (1) Ex stricter enforcement of the ex parte households; Business or other for-profit; parte notices will be required for all oral rules, the Enforcement Bureau is Not-for-profit institutions; Federal ex parte presentations in permit-but- authorized to levy forfeitures for ex

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parte rule violations; (10) Copies of displays a currently valid control process, annually file FCC Form 499–A, electronically filed ex parte notices number. Comments concerning the and contribute to the TRS Fund; extends must also be sent electronically to all accuracy of the burden estimates and the 64.9 percent safe harbor provision staff and Commissioners present at the any suggestions for reducing the burden for calculating interstate end-user ex parte meeting so as to enable them should be directed to the person listed revenues to non-interconnected VoIP to review the notices for accuracy and in the FOR FURTHER INFORMATION service providers; maintains interstate completeness. Filers may be asked to CONTACT section below. end-user revenues as the basis for submit corrections or further FOR FURTHER INFORMATION CONTACT: calculating TRS Fund contributions; information as necessary for compliance Rosaline Crawford, Consumer and requires no contributions to the TRS with the rules; and (11) Minor Governmental Affairs Bureau, Disability Fund by non-interconnected VoIP conforming and clarifying rule changes Rights Office, (202) 418–2075 or e-mail service providers that offer services for proposed in the Notice are adopted. The [email protected] free and have zero interstate end-user only changes entailing increased . revenues. information collection are the The modification is to apply the SUPPLEMENTARY INFORMATION: requirement that parties making registration and annual filing permissible ex parte presentations in OMB Control No.: 3060–0855. OMB Approval Date: 10/14/2011. requirement for FCC Form 499–A to restricted proceedings file an ex parte Expiration Date: 10/31/2014. non-interconnected VoIP service notice, and that ex parte notices contain Title: Telecommunications Reporting providers, pursuant to 47 U.S.C. 1, 4(i), either a summary of the presentation or Worksheets and Related Collections, (4)(j), 225, and 715 of the Act, as a reference to where the information can FCC Forms 499–A and 499–Q. amended 47 U.S.C. 151, 154(i), 154(j), be found in the written record, and that Form No.: FCC Forms 499–A and 225, and 616; and 47 CFR 64.601 ex parte notices list all persons 499–Q. through 64.613 of the Commission’s attending the presentation. Estimated Annual Burden: 8,183 rules. The application of the FCC Form The information is used by parties to respondents; 46,957 responses; .25 499–A to carriers, interconnected VoIP permit-but-disclose proceedings, hours to 25 hours per response; 313,881 service providers, and non- including interested members of the burden hours per year; $0 annual cost interconnected VoIP service providers, public, to respond to the arguments burden. is needed to administer the Universal made and data offered in the Obligation to Respond: Mandatory. Service Fund, the TRS Fund, and the presentations. The responses may then Statutory authority for this information cost recovery mechanism for numbering be used by the Commission in its collection is contained in sections 151, administration and long-term number decision-making. The availability of the 154(i), 154(j), 155, 157, 201, 205, 214, portability. FCC Form 499–Q and its ex parte materials ensures that the 225, 254, 303(r), 715 and 719 of the Act, instructions remain unchanged. Commission’s decisional processes are 47 U.S.C. 151, 154(i), 154(j), 155, 157, Federal Communications Commission. fair, impartial, and comport with the 201, 205, 214, 225, 254, 303(r), 616, and Marlene H. Dortch, concept of due process in that all 620. interested parties can know of and Secretary, Office of the Secretary, Office of Nature and Extent of Confidentiality: Managing Director. respond to the arguments made to the The Commission will allow respondents decision-making officials. [FR Doc. 2011–27469 Filed 10–24–11; 8:45 am] to certify that data contained in their BILLING CODE 6712–01–P Federal Communications Commission. submissions is privileged or Marlene H. Dortch, confidential commercial or financial Secretary, Office of the Secretary, Office of information and that disclosure of such FEDERAL RESERVE SYSTEM Managing Director. information would likely cause [FR Doc. 2011–27470 Filed 10–24–11; 8:45 am] substantial harm to the competitive Formations of, Acquisitions by, and BILLING CODE 6712–01–P position of the entity filing the FCC Mergers of Bank Holding Companies worksheets. If the Commission receives a request for or proposes to disclose the The companies listed in this notice FEDERAL COMMUNICATIONS information, the respondent would be have applied to the Board for approval, COMMISSION required to make the full showing pursuant to the Bank Holding Company pursuant to the Commission’s rules for Act of 1956 (12 U.S.C. 1841 et seq.) Information Collection Approved by withholding from public inspection (BHC Act), Regulation Y (12 CFR part the Office of Management and Budget information submitted to the 225), and all other applicable statutes (OMB) Commission. and regulations to become a bank AGENCY: Federal Communications Needs and Uses: On October 7, 2011, holding company and/or to acquire the Commission. the Commission released the assets or the ownership of, control of, or ACTION: Notice. Contributions to the the power to vote shares of a bank or Telecommunications Relay Services bank holding company and all of the SUMMARY: The Federal Communications Fund Report and Order (Report and banks and nonbanking companies Commission (FCC) has received Office Order) FCC 11–150, adopting rules to owned by the bank holding company, of Management and Budget (OMB) implement section 715 of the Act. The including the companies listed below. approval for the following public Report and Order takes the following The applications listed below, as well information collections pursuant to the actions: Requires non-interconnected as other related filings required by the Paperwork Reduction Act of 1995 (44 voice over Internet protocol (VoIP) Board, are available for immediate U.S.C. 3501–3520). An agency may not service providers with interstate end- inspection at the Federal Reserve Bank conduct or sponsor a collection of user revenues that are subject to indicated. The application also will be information unless it displays a contribution to the Telecommunications available for inspection at the offices of currently valid OMB control number, Relay Services (TRS) Fund to register the Board of Governors. Interested and no person is required to respond to with the Commission, designate a persons may express their views in a collection of information unless it District of Columbia agent for service of writing on the standards enumerated in

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the BHC Act (12 U.S.C. 1842(c)). If the Comments are invited on: (a) Whether any behavioral interventions for Latino proposal also involves the acquisition of the proposed collection of information MSM that meet current efficacy criteria, a nonbanking company, the review also is necessary for the proper performance and no such interventions are listed in includes whether the acquisition of the of the functions of the agency, including CDC’s 2011 update of its Compendium nonbanking company complies with the whether the information shall have of Evidence-Based HIV Behavioral standards in section 4 of the BHC Act practical utility; (b) the accuracy of the Interventions (http://www.cdc.gov/hiv/ (12 U.S.C. 1843). Unless otherwise agency’s estimate of the burden of the topics/research/prs/compendium- noted, nonbanking activities will be proposed collection of information; (c) evidence-based-interventions.htm). conducted throughout the United States. ways to enhance the quality, utility, and There is an urgent need for efficacious, Unless otherwise noted, comments clarity of the information to be culturally congruent HIV/STD regarding each of these applications collected; and (d) ways to minimize the prevention interventions for Latino must be received at the Reserve Bank burden of the collection of information MSM. indicated or the offices of the Board of on respondents, including through the The purpose of this project is to test Governors not later than November 18, use of automated collection techniques the efficacy of an HIV prevention 2011. or other forms of information intervention for reducing sexual risk A. Federal Reserve Bank of Atlanta technology. Written comments should (Chapelle Davis, Assistant Vice among Latino men who have sex with be received within 60 days of this men in North Carolina. The HOLA en President) 1000 Peachtree Street, NE., notice. Atlanta, Georgia 30309: Grupos intervention is a Spanish- 1. BankUnited, Inc., Miami Lakes, Proposed Project language, small-group, 4-session Florida; to become a bank holding intervention that is designed to increase HIV Prevention Among Latino MSM: consistent and correct condom use and company by acquiring 100 percent of Evaluation of a Locally Developed the voting shares of BankUnited, HIV testing among Latino MSM and to Intervention—New—National Center for affect other behavioral and psychosocial National Association, Miami Lakes, HIV/AIDS, Viral Hepatitis, STD, TB Florida, upon the conversion of its factors that can increase their Prevention (NCHHSTP), Centers for vulnerability of HIV/STD infection. This subsidiary Bank United, a federal Disease Control and Prevention (CDC). savings bank, to a national bank. study will use a randomized controlled Board of Governors of the Federal Background and Brief Description trial design to assess the efficacy of the Reserve System, October 20, 2011. HOLA en Grupos intervention Latinos are the largest and fastest compared to a general health Robert deV. Frierson, growing ethnic minority group in the comparison intervention. U.S. and have the second highest rate of Deputy Secretary of the Board. CDC is requesting approval for a 3- [FR Doc. 2011–27534 Filed 10–24–11; 8:45 am] HIV/AIDS diagnoses of all racial/ethnic groups in the country. From the year clearance for data collection. The BILLING CODE 6210–01–P beginning of the epidemic through 2007, data collection system involves Latinos accounted for 17% of all AIDS screening of potential study participants cases reported to the CDC. Among for eligibility, collection of participants’ DEPARTMENT OF HEALTH AND Latino males, male-to-male sexual contact information, and measures of HUMAN SERVICES contact is the single most important intervention and comparison participants’ socio-demographic Centers for Disease Control and source of HIV infection, accounting for characteristics, health seeking actions, Prevention 46% of HIV infections in U.S.-born Latino men from 2001 to 2005, and for HIV/STD and substance use-related risk [60-Day–12–12AG] more than one-half of HIV infections behaviors, and psychosocial factors at among South American, Cuban, and baseline before intervention delivery Proposed Data Collections Submitted Mexican-born Latino men in the U.S. and 6 months after intervention for Public Comment and (CDC, 2007a; 2007b). In 2006, male-to- delivery. An estimated 350 men will be Recommendations male sex accounted for 72% of new HIV screened for eligibility in order to enroll In compliance with the requirement infections among Latino males. Relative the 300 men required for the study. The of Section 3506(c)(2)(A) of the to other men who have sex with men baseline and the 6-month follow-up Paperwork Reduction Act of 1995 for (MSM), the rate of HIV infection among assessments will be similar. However, opportunity for public comment on Latino MSM is twice the rate recorded the 6-month assessment will ask study proposed data collection projects, the among whites (43.1 vs. 19.6 per participants fewer questions because Centers for Disease Control and 100,000). there is no need to ask all questions Prevention (CDC) will publish periodic Despite the high levels of infection during both assessments. Collection of summaries of proposed projects. To risk that affect Latino MSM, no eligibility information from potential request more information on the efficacious interventions to prevent participants will require about 10 proposed projects or to obtain a copy of infection by HIV and other sexually minutes; collection of baseline the data collection plans and transmitted diseases (STDs) are assessment information and participant instruments, call 404–639–5960 and available for this vulnerable population. contact information will require about 1 send comments to Catina Conner, CDC CDC’s Prevention Research Synthesis hour and 45 minutes; and collection of Acting Reports Clearance Officer, 1600 group, whose role is to identify HIV the 6-month follow-up assessment Clifton Road, MS–D74, Atlanta, GA prevention interventions that have met information will require about 1 hour. 30333 or send an e-mail to rigorous criteria for demonstrating There is no cost to participants other [email protected]. evidence of efficacy, has not identified than their time.

Number Average burden Total annual Type of respondent Form name Number of responses per per respondent burden in respondents respondent (in hours) hours

Prospective Study Participant ...... Participant Screening Form ...... 350 1 10/60 58

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Number Average burden Total annual Type of respondent Form name Number of responses per per respondent burden in respondents respondent (in hours) hours

Enrolled Study Participant ...... Baseline Assessment ...... 300 1 1.75 525 Enrolled Study Participant ...... 6-month follow-up assessment ... 300 1 1 300

Total ...... 883

Catina Conner, Proposed Project generic clearance that supports cancer- Acting Reports Clearance Officer, Centers for Focus Group Testing to Effectively related communications (OMB No. Disease Control and Prevention. Plan and Tailor Cancer Prevention and 0920–0800, exp. 1/31/2012). [FR Doc. 2011–27588 Filed 10–24–11; 8:45 am] Control Communication Campaigns Information will be collected primarily BILLING CODE 4163–18–P (OMB No. 0920–0800, exp. 1/31/2012)— through focus groups, and will be used Extension (Generic)—National Center to assess numerous qualitative for Chronic Disease Prevention and dimensions of cancer prevention and DEPARTMENT OF HEALTH AND Health Promotion (NCCDPHP), Centers control messages, including, but not HUMAN SERVICES for Disease Control and Prevention limited to, knowledge, attitudes, beliefs, (CDC). behavioral intentions, information Centers for Disease Control and needs and sources, and compliance to Prevention Background and Brief Description recommended screening intervals. The mission of the CDC’s Division of Insights gained from the focus groups [30-Day–12–0800] Cancer Prevention and Control (DCPC) will assist in the development and/or is to reduce the burden of cancer in the refinement of future campaign messages Agency Forms Undergoing Paperwork United States through cancer and materials. Reduction Act Review prevention, reduction of risk, early Over a three-year period, DCPC plans detection, better treatment, and to conduct or sponsor up to 72 focus improved quality of life for cancer The Centers for Disease Control and groups per year, with each group survivors. Toward this end, the DCPC Prevention (CDC) publishes a list of involving an average of 12 respondents. supports the scientific development, information collection requests under Screening will be conducted to recruit implementation, and evaluation of review by the Office of Management and respondents for specific target various health communication Budget (OMB) in compliance with the audiences, e.g., health care providers or campaigns with an emphasis on specific Paperwork Reduction Act (44 U.S.C. the general public. Each focus group cancer burdens. This process requires discussion will be facilitated by a chapter 35). To request a copy of these testing of messages, concepts, and written discussion guide, and will last requests, call the CDC Reports Clearance materials prior to their final Officer at (404) 639–5960 or send an e- development and dissemination. approximately two hours. CDC will mail to [email protected]. Send written Communication campaigns vary submit an information collection comments to CDC Desk Officer, Office of according to the type of cancer, the request to OMB for approval of each Management and Budget, Washington, qualitative dimensions of the message focus group activity. DC or by fax to (202) 395–5806. Written described above, and the type of There are no costs to respondents comments should be received within 30 respondents. other than their time. The total days of this notice. CDC is requesting OMB approval of a estimated annualized burden hours are three-year extension to an existing 1,814.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Health care providers and general public ...... Screening Form ...... 1,728 1 3/60 Focus Group Discussion Guide ...... 864 1 2

Dated: October 18, 2011. DEPARTMENT OF HEALTH AND review by the Office of Management and Daniel Holcomb, HUMAN SERVICES Budget (OMB) in compliance with the Reports Clearance Officer, Centers for Disease requirement of Section 3506(c)(2)(A) of Control and Prevention. Centers for Disease Control and the Paperwork Reduction Act of 1995. Prevention [FR Doc. 2011–27586 Filed 10–24–11; 8:45 am] To request a copy of these requirements, call the CDC Reports Clearance Officer BILLING CODE 4163–18–P [30-Day–12–0278] at (404) 639–5960 or send an e-mail to Agency Forms Undergoing Paperwork [email protected]. Send written comments Reduction Act Review to CDC Desk Officer, Office of Management and Budget, Washington, The Centers for Disease Control and DC or by fax to (202) 395–5806. Written Prevention (CDC) publishes a list of comments should be received within 30 information collection requests under days of this notice.

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Proposed Project about the provision of ambulatory from paper to computer-based National Hospital Ambulatory medical care services in the United instruments; add 167 hospitals to the Medical Care Survey [OMB No. 0920– States. Ambulatory services are NHAMCS sample to make state-based 0278]exp.08/31/2012—Revision— rendered in a wide variety of settings, estimates in five states on emergency National Center for Health Statistics including physicians’ offices and department characteristics; expand the (NCHS), Centers for Disease Control and hospital outpatient and emergency data collection to include a lookback Prevention (CDC). departments, and ambulatory surgery module; conduct a colonoscopy centers. supplement pretest; and make slight Background and Brief Description The target universe of the NHAMCS is modifications to survey questions. Section 306 of the Public Health in-person visits made to outpatient Users of NHAMCS data include, but Service (PHS) Act (42 U.S.C. 242k), as departments (OPDs), emergency are not limited to, congressional offices, amended, authorizes that the Secretary departments (EDs), and ambulatory Federal agencies, state and local of Health and Human Services (DHHS), surgery locations (ASLs) of non-Federal, governments, schools of public health, acting through NCHS, shall collect short-stay hospitals (hospitals with an colleges and universities, private statistics on ‘‘utilization of health care’’ average length of stay of less than 30 industry, nonprofit foundations, in the United States. The National days) or those whose specialty is general professional associations, clinicians, Hospital Ambulatory Medical Care (medical or surgical) or children’s researchers, administrators, and health Survey (NHAMCS) has been conducted general, as well as visits to freestanding planners. There are no costs to the annually since 1992. The purpose of ambulatory surgery centers (FS–ASCs). respondents other than their time. The NHAMCS is to meet the needs and The objectives of this revision are to total estimated annualized burden hours demands for statistical information convert data collection instruments are 10,348.

ESTIMATED ANNUALIZED BURDEN TABLE

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

Hospital Chief Executive Officer ...... Hospital Induction ...... 482 1 1 .5 Hospital Chief Executive Officer ...... Hospital Induction (new sample) ...... 167 1 30/60 Ancillary Service Executive ...... Freestanding ASC Induction ...... 200 1 30/60 Ancillary Service Executive ...... Ambulatory Unit Induction ...... 1,946 1 15/60 Physician/Registered Nurse/ ...... ED Patient Record form ...... 154 100 7/60 Medical Record Clerk Physician/Registered Nurse/ ...... OPD Patient Record form ...... 78 200 14/60 Medical Record Clerk Physician/Registered Nurse/ ...... AS Patient Record Form ...... 108 100 7/60 Medical Record Clerk Medical Record Clerk ...... Pulling and re-filing Patient Records (ED, 1,018 133 1/60 OPD, and AS).

Dated: October 18, 2011. Control and Prevention (CDC) encouraged to participate are employers, Daniel Holcomb, announces the following public unions, trade associations, labor Reports Clearance Officer, Centers for Disease meeting: ‘‘Partnerships to Advance the associations, professional associations, Control and Prevention. National Occupational Research Agenda and foundations. Others are welcome. [FR Doc. 2011–27583 Filed 10–24–11; 8:45 am] (NORA)’’. This meeting will include updates BILLING CODE 4163–18–P Public Meeting Time and Date: 10 from NIOSH leadership on NORA as a.m.–3:30 p.m. EST, January 26, 2012. well as updates from approximately half Place: Patriots Plaza, 395 E Street, of the NORA Sector Councils on their DEPARTMENT OF HEALTH AND SW., Conference Room 9000, progress, priorities, and implementation HUMAN SERVICES Washington, DC 20201. plans to date, likely including the Purpose of the Meeting: The National NORA Agriculture, Forestry and Centers for Disease Control and Occupational Research Agenda (NORA) Fishing; Construction; Healthcare and Prevention has been structured to engage partners Social Assistance; Mining; Oil and Gas with each other and/or with NIOSH to Extraction; Transportation, Partnerships To Advance the National advance NORA priorities. The NORA Warehousing and Utilities Councils. Occupational Research Agenda Liaison Committee continues to be an Updates will also be given on the Mid- (NORA) opportunity for representatives from Decade Review of NORA and at least AGENCY: The National Institute for organizations with national scope to one NIOSH Program that is working on Occupational Safety and Health learn about NORA progress and to several NORA priorities, e.g., the NIOSH (NIOSH) of the Centers for Disease suggest possible partnerships based on Work Organization and Stress-Related Control and Prevention (CDC), their organization’s mission and Disorders Program. After each update, Department of Health and Human contacts. This opportunity is now there will be time to discuss partnership Services (HHS). structured as a public meeting via the opportunities. ACTION: Notice of public meeting. Internet to attract participation by a Status: The meeting is open to the larger number of organizations and to public, limited only by the capacities of SUMMARY: The National Institute for further enhance the success of NORA. the conference call and conference room Occupational Safety and Health Some of the types of organizations of facilities. There is limited space (NIOSH) of the Centers for Disease national scope that are especially available in the meeting room (capacity

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34). Therefore, information to allow [email protected], telephone DEPARTMENT OF HEALTH AND participation in the meeting through the (404) 957–0260. HUMAN SERVICES Internet (to see the slides) and a Dated: October 18, 2011. Food and Drug Administration teleconference call (capacity 50) will be John Howard, provided to registered participants. Director, National Institute for Occupational [Docket No. FDA–2011–N–0159] Participants are encouraged to consider Safety and Health, Centers for Disease Control attending by this method. Each and Prevention. Albert Ronald Cioffi: Debarment Order participant is requested to register for [FR Doc. 2011–27627 Filed 10–24–11; 8:45 am] the free meeting by sending an e-mail to AGENCY: Food and Drug Administration, BILLING CODE 4163–19–P [email protected] containing the HHS. participant’s name, organization name, ACTION: Notice. contact telephone number on the day of DEPARTMENT OF HEALTH AND SUMMARY: The Food and Drug the meeting, and preference for HUMAN SERVICES Administration (FDA) is issuing an participation by Web meeting order under the Federal Food, Drug, and (requirements include: computer, Food and Drug Administration Cosmetic Act (the FD&C Act) debarring Internet connection, and telephone, [Docket No. FDA–2011–N–0084] Albert Cioffi, MD for 5 years from preferably with ‘‘mute’’ capability) or in providing services in any capacity to a person. An e-mail confirming Agency Information Collection person that has an approved or pending registration will include the details Activities; Announcement of Office of drug product application. FDA bases needed to participate in the Web Management and Budget Approval; this order on findings that Dr. Cioffi was meeting. Non-US citizens are Channels of Trade Policy for convicted of a misdemeanor under encouraged to participate in the Web Commodities With Residues of Federal law for conduct relating to the meeting. Non-US citizens who do not Pesticide Chemicals regulation of a drug product under the register to attend in person on or before FD&C Act and that the type of conduct January 4, 2012, will not be granted AGENCY: Food and Drug Administration, underlying the conviction undermines access to the meeting site and will not HHS. the process for the regulation of drugs. be able to attend the meeting in-person ACTION: Notice. Dr. Cioffi was given notice of the due to mandatory security clearance proposed debarment and an opportunity procedures at the Patriots Plaza facility. SUMMARY: The Food and Drug Administration (FDA) is announcing to request a hearing within the Background: NORA is a partnership that a collection of information entitled timeframe prescribed by regulation. Dr. program to stimulate innovative ‘‘Channels of Trade Policy for Cioffi failed to request a hearing. Dr. research in occupational safety and Commodities With Residues of Pesticide Cioffi’s failure to request a hearing health leading to improved workplace Chemicals’’ has been approved by the constitutes a waiver of his right to a practices. Unveiled in 1996, NORA has Office of Management and Budget hearing concerning this action. become a research framework for the (OMB) under the Paperwork Reduction DATES: This order is effective October nation. Diverse parties collaborate to Act of 1995. 25, 2011. identify the most critical issues in ADDRESSES: Submit applications for workplace safety and health. Partners FOR FURTHER INFORMATION CONTACT: termination of debarment to the then work together to develop goals and Denver Presley, Jr., Office of Information Division of Dockets Management (HFA– objectives for addressing those needs Management, Food and Drug 305), Food and Drug Administration, and to move the research results into Administration, 1350 Piccard Dr., PI50– 5630 Fishers Lane, rm. 1061, Rockville, practice. The NIOSH role is facilitator of 400B, Rockville, MD 20850, 301–796– MD 20852. the process. For more information about 3793. FOR FURTHER INFORMATION CONTACT: NORA, see http://www.cdc.gov/niosh/ SUPPLEMENTARY INFORMATION: On July Kenny Shade, Division of Compliance nora/about.html. 14, 2011, the Agency submitted a Policy, Food and Drug Administration, proposed collection of information Since 2006, NORA has been 12420 Parklawn Dr., Element Bldg., rm. entitled ‘‘Channels of Trade Policy for structured according to industrial 4144, Rockville, MD 20857, 301–796– Commodities With Residues of Pesticide sectors. Ten major sector groups have 4640. been defined using the North American Chemicals’’ to OMB for review and Industrial Classification System clearance under 44 U.S.C. 3507. An SUPPLEMENTARY INFORMATION: (NAICS). After receiving public input Agency may not conduct or sponsor, I. Background through the Web and town hall and a person is not required to respond meetings, ten NORA Sector Councils to, a collection of information unless it Section 306(b)(2)(B)(i)(I) of the FD&C have been working to define sector- displays a currently valid OMB control Act (21 U.S.C. 335a(b)(2)(B)(i)(I)) specific strategic plans for conducting number. OMB has now approved the permits FDA to debar an individual if it research and moving the results into information collection and has assigned finds that the individual has been widespread practice. During 2008–10, OMB control number 0910–0562. The convicted of a misdemeanor under most of these Councils posted draft approval expires on September 30, Federal law for conduct relating to the strategic plans for public comment and 2014. A copy of the supporting regulation of a drug product under the eight have posted finalized National statement for this information collection FD&C Act, and if FDA finds that the Sector Agendas after considering is available on the Internet at http:// type of conduct that served as the basis comments on the drafts. For the www.reginfo.gov/public/do/PRAMain. for the conviction undermines the National Sector Agendas, see http:// process for the regulation of drugs. Dated: October 19, 2011. On January 9, 2008, based upon a plea www.cdc.gov/niosh/nora/. Leslie Kux, of guilty to one count of misbranding a FOR FURTHER INFORMATION CONTACT: Acting Assistant Commissioner for Policy. drug while held for sale after shipment Sidney C. Soderholm, Ph.D, NORA [FR Doc. 2011–27532 Filed 10–24–11; 8:45 am] in interstate commerce, in violation of Coordinator, E-mail BILLING CODE 4160–01–P 21 U.S.C. 331(k), 333(a)(1), and

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352(i)(3), judgment was entered against convicted of a misdemeanor under Any application by Dr. Cioffi for Dr. Cioffi in the United States District Federal law for conduct relating to the termination of debarment under section Court for the Southern District of regulation of a drug product under the 306(d)(1) of the Act (21 U.S.C. Florida. FD&C Act, and the conduct that served 355a(d)(1)) should be identified with FDA’s finding that debarment is as a basis for the conviction undermines Docket No. FDA–2011–N–0159 and sent appropriate is based on the the process for the regulation of drugs. to the Division of Dockets Management misdemeanor conviction referenced The proposal also offered Dr. Cioffi an (see ADDRESSES). All such submissions herein. The factual basis for the opportunity to request a hearing, are to be filed in four copies. The public conviction is as follows: During 2004, providing him 30 days from the date of availability of information in these Dr. Cioffi was a physician licensed to receipt of the letter in which to file the submissions is governed by 21 CFR practice in the State of Florida. In request, and advised him that failure to 10.20(j). February 2004, Dr. Cioffi became the request a hearing constituted a waiver of Publicly available submissions may medical doctor of Body Rx, a medical the opportunity for a hearing and of any be seen in the Division of Dockets office located in Boca Raton, FL. In July contentions concerning this action. Dr. Management between 9 a.m. and 4 p.m., 2004, Dr. Cioffi became the sole owner Cioffi failed to request a hearing within Monday through Friday. of Body Rx which specialized in the timeframe prescribed by regulation Dated: October 11, 2011. cosmetic procedures, including the and has, therefore, waived his Armando Zamora, treatment of forehead wrinkles. When opportunity for a hearing and waived Dr. Cioffi began working at Body Rx, he Acting Director, Office of Enforcement, Office any contentions concerning his of Regulatory Affairs. learned that Body Rx had been treating debarment (21 CFR part 12). patients for forehead wrinkles with the [FR Doc. 2011–27509 Filed 10–24–11; 8:45 am] unapproved drug derived from II. Findings and Order BILLING CODE 4160–01–P Botulinum Toxin Type A (TRI-toxin), Therefore, the Acting Director, Office sold by Toxin Research International of Enforcement, Office of Regulatory (TRI), a company in Tuscon, AZ. Dr. DEPARTMENT OF HEALTH AND Affairs, under section 306(b)(2)(B)(i)(I) HUMAN SERVICES Cioffi spoke with TRI representatives of the FD&C Act under authority and learned that TRI-toxin was not delegated to him (Staff Manual Guide Food and Drug Administration approved by FDA for treatment of facial 1410.35), finds that Albert R. Cioffi has wrinkles. Nonetheless, Dr. Cioffi been convicted of a misdemeanor under [Docket No. FDA–2011–D–0643] continued to purchase and use the Federal law for conduct relating to the Guidance for Industry on What You unapproved drug from TRI. On four regulation of a drug product under the separate occasions between February Need to Know About Administrative FD&C Act, and that the type of conduct Detention of Foods; Availability and November of 2004, Body Rx that served as a basis for the conviction purchased a total of eight vials of undermines the process for the AGENCY: Food and Drug Administration, unapproved TRI-toxin at Dr. Cioffi’s regulation of drugs. HHS. direction. Dr. Cioffi used the unapproved drug to inject As a result of the foregoing finding, ACTION: Notice. approximately 30 patients and never Dr. Cioffi is debarred for 5 years from providing services in any capacity to a SUMMARY: The Food and Drug informed these patients that they were Administration (FDA) is announcing the receiving an unapproved version of person with an approved or pending drug product application under sections availability of a guidance for industry Botulinum Toxin Type A. Instead, Dr. entitled ‘‘What You Need to Know Cioffi told patients that they were 505, 512, or 802 of the FD&C Act (21 U.S.C. 355, 360b, or 382), or under About Administrative Detention of purchasing and being injected with the Foods.’’ This guidance provides approved BOTOX Cosmetic, and he section 351 of the Public Health Service Act (42 U.S.C. 262), effective (see information pertaining to FDA’s indicated in these patients’ medical authority to order the administrative records that they were receiving the DATES), (see sections 306(c)(1)(B), (c)(2)(A)(iii), and 201(dd) of the FD&C detention of food for human or animal FDA approved BOTOX Cosmetic. consumption under the Federal Food, From in or about February 2004, and Act (21 U.S.C. 335a(c)(1)(B), Drug, and Cosmetic Act (FD&C Act), as continuing through in or about (c)(2)(A)(iii), and 321(dd))). Any person amended by the FDA Food Safety and November 2004, in the Southern District with an approved or pending drug Modernization Act (FSMA). of Florida, and elsewhere, Dr. Cioffi did product application who knowingly misbrand a drug, namely Botulinum employs or retains as a consultant or DATES: Submit either electronic or Toxin Type A distributed by TRI, while contractor, or otherwise uses the written comments on Agency guidances it was held for sale and after shipment services of Dr. Cioffi, in any capacity at any time. in interstate commerce, in that he during Dr. Cioffi’s debarment, will be ADDRESSES: Submit written requests for offered the unapproved Botulinum subject to civil money penalties (section single copies of the guidance to the Toxin Type A for sale by injection to 307(a)(6) of the FD&C Act (21 U.S.C. Outreach and Information Center (HFS– patients under the name of another 335b(a)(6))). If Dr. Cioffi provides 009), Center for Food Safety and drug, all in violation of 21 U.S.C. 331(k), services in any capacity to a person with Applied Nutrition, Food and Drug 333(a)(1), 352(i)(3), and 18 U.S.C. 2. an approved or pending drug product Administration, 5100 Paint Branch As a result of his conviction, on June application during his period of Pkwy., College Park, MD 20740. Send 1, 2011, FDA sent Dr. Cioffi a notice by debarment he will be subject to civil one self-addressed adhesive label to certified mail proposing to debar him money penalties (section 307(a)(7) of the assist that office in processing your for 5 years from providing services in FD&C Act). In addition, FDA will not requests. See the SUPPLEMENTARY any capacity to a person that has an accept or review any abbreviated new INFORMATION section for electronic approved or pending drug product drug applications submitted by or with access to the guidance document. application. The proposal was based on the assistance of Dr. Cioffi during his Submit electronic comments on the a finding, under section 306(b)(2)(B)(i)(I) period of debarment (section guidance to http://www.regulations.gov. of the FD&C Act that Dr. Cioffi was 306(c)(1)(B) of the FD&C Act). Submit written comments to the

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Division of Dockets Management (HFA– FSMA was signed into law on January of Dockets Management between 9 a.m. 305), Food and Drug Administration, 4, 2011. Section 207 of FSMA amended and 4 p.m., Monday through Friday. 5630 Fishers Lane, rm. 1061, Rockville, the criteria for ordering administrative IV. Electronic Access MD 20852. detention in section 304(h)(1)(A) of the FD&C Act to provide FDA the authority Persons with access to the Internet FOR FURTHER INFORMATION CONTACT: to order administrative detention if may obtain the document at either William A. Correll, Jr., Office of there is reason to believe that an article http://www.fda.gov/ Compliance (HFS–607), Center for Food of food is adulterated or misbranded. On RegulatoryInformation/Guidances/ Safety and Applied Nutrition, Food and May 5, 2011, in accordance with FSMA, default.htm or http:// Drug Administration, 5100 Paint Branch FDA published an interim final rule in www.regulations.gov. Always access an Pkwy., College Park, MD 20740, 240– the Federal Register amending its FDA guidance document by using the 402–1611. regulations in part 1, subpart K (21 CFR FDA’s Web site listed previously to find SUPPLEMENTARY INFORMATION: part 1, subpart K), (76 FR 25538), that the most current version of the pertain to the criteria for ordering guidance. I. Background administrative detention. This interim Dated: October 20, 2011. FDA is announcing the availability of final rule became effective on July 3, Leslie Kux, 2011. a guidance for industry entitled ‘‘What Acting Assistant Commissioner for Policy. You Need to Know About The guidance represents the Agency’s [FR Doc. 2011–27529 Filed 10–24–11; 8:45 am] Administrative Detention of Foods,’’ current thinking on its authority to which replaces the guidance of the same order the administrative detention of BILLING CODE 4160–01–P title issued in November 2004. The human or animal foods. It does not guidance is intended to provide create or confer any rights for or on any person and does not operate to bind DEPARTMENT OF HEALTH AND individuals in the human and animal HUMAN SERVICES food industries with an understanding FDA or the public. An alternate approach may be used if such approach of FDA’s authority to order the Food and Drug Administration administrative detention of human or satisfies the requirements of the animal food under section 304(h) of the applicable statutes and regulations. [Docket No. FDA–2011–N–0568] FD&C Act (21 U.S.C. 334(h)), as II. Paperwork Reduction Act of 1995 Small Entity Compliance Guide: amended by section 207 of FSMA. It This guidance refers to collections of Required Warnings for Cigarette provides practical information, information found in FDA regulations. Packages and Advertisements; including who can approve an These collections of information are Availability administrative detention order, what subject to review by the Office of AGENCY: food may be subject to administrative Management and Budget (OMB) under Food and Drug Administration, detention, who receives a copy of an the Paperwork Reduction Act of 1995 HHS. administrative detention order, and the (44 U.S.C. 3501–3520). We conclude ACTION: Notice. process for appealing an administrative that the collections of information in SUMMARY: The Food and Drug detention order. Additionally, the §§ 1.381(d) and 1.402 are exempt from Administration (FDA) is announcing the guidance identifies references that OMB review under 44 U.S.C. availability of a guidance for industry contain more information regarding 18(c)(1)(B)(ii) and 5 CFR 1320.4(a)(2) as entitled ‘‘Required Warnings for FDA’s authority to order administrative collections of information obtained Cigarette Packages and detention. during the conduct of a civil action to Advertisements—Small Entity This guidance is being issued which the United States or any official Compliance Guide’’ for a final rule consistent with FDA’s good guidance or agency thereof is a party, or during published in the Federal Register on practices (GGPs) regulation § 10.115 (21 the conduct of an administrative action, June 22, 2011. This small entity CFR 10.115) as a level 1 guidance. The investigation, or audit involving an compliance guide (SECG) is intended to Agency will accept comments, but it is agency against specific individuals or set forth in plain language the implementing this document entities. The regulations in 5 CFR requirements of the regulation and to immediately, in accordance with 1320(c) provide that the exception in 5 help small businesses understand and § 10.115(g)(2) because the Agency has CFR 1320.4(a)(2) applies during the comply with the regulation. determined that prior public entire course of the investigation, audit, participation is not feasible or or action, but only after a case file or DATES: Submit either electronic or appropriate. The Agency made this equivalent is opened with respect to a written comments on the SECG at any determination because much of this particular party. Such a case file would time. guidance remains the same as the be opened as part of the decision to ADDRESSES: Submit written requests for guidance issued in November 2004. In detain an article of food. single copies of the SECG entitled addition, this guidance simply reflects ‘‘Required Warnings for Cigarette the statutory changes made by section III. Comments Packages and Advertisements—Small 207 of FSMA to section 304(h)(1)(A) of Interested persons may submit to the Entity Compliance Guide’’ to the Center the FD&C Act (21 U.S.C. 334(h)(1)(A)) Division of Dockets Management (see for Tobacco Products, Food and Drug and seeks to remove any confusion that ADDRESSES) either electronic or written Administration, 9200 Corporate Blvd., might arise due to the existence of a comments regarding this document. It is Rockville, MD 20850–3229. Send one guidance document that is inconsistent only necessary to send one set of self-addressed adhesive label to assist with the FD&C Act and its comments. It is no longer necessary to that office in processing your request or implementing regulations. Although send two copies of mailed comments. include a fax number to which the this guidance document is immediately Identify comments with the docket guidance document may be sent. See the in effect, it remains subject to comment number found in brackets in the SUPPLEMENTARY INFORMATION section for in accordance with the Agency’s GGPs heading of this document. Received electronic access to the guidance regulation. comments may be seen in the Division document.

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Submit electronic comments on the www.regulations.gov or http:// The Placebo Effect: Mechanisms and guidance to http://www.regulations.gov. www.fda.gov/TobaccoProducts/ Methodology (R21). Submit written comments to the GuidanceComplianceRegulatory Date: November 30, 2011. Division of Dockets Management (HFA– Time: 9 a.m. to 11:30 a.m. Information/default.htm. Agenda: To review and evaluate grant 305), Food and Drug Administration, Dated: October 20, 2011. applications. 5630 Fishers Lane, rm. 1061, Rockville, Leslie Kux, Place: Legacy Hotel and Meeting Center, MD 20852. 1775 Rockville Pike, Rockville, MD 20852. Acting Assistant Commissioner for Policy. FOR FURTHER INFORMATION CONTACT: Contact Person: Melissa Gerald, PhD, Gerie Voss, Center for Tobacco [FR Doc. 2011–27530 Filed 10–24–11; 8:45 am] Scientific Review Officer, Center for Products, Food and Drug BILLING CODE 4160–01–P Scientific Review, National Institutes of Administration, 9200 Corporate Blvd., Health, 6701 Rockledge Drive, Room 3172, MSC 7848, Bethesda, MD 20892, (301) 408– Rockville, MD 20850–3229, 877–287– DEPARTMENT OF HEALTH AND 9107, [email protected]. 1373, [email protected]. HUMAN SERVICES Name of Committee: Center for Scientific SUPPLEMENTARY INFORMATION: Review Special Emphasis Panel, DA–12–003: I. Background National Institutes of Health The Placebo Effect: Mechanisms and Methodology (R01). In the Federal Register of June 22, Center for Scientific Review; Notice of Date: November 30, 2011. 2011 (76 FR 36628), FDA issued a final Closed Meetings Time: 11:30 a.m. to 5 p.m. rule regarding required warnings for use Agenda: To review and evaluate grant on cigarette packages and in cigarette Pursuant to section 10(d) of the applications. advertisements. FDA examined the Federal Advisory Committee Act, as Place: Legacy Hotel and Meeting Center, 1775 Rockville Pike, Rockville, MD 20852. economic implications of the final rule amended (5 U.S.C. App.), notice is Contact Person: Melissa Gerald, PhD, as required by the Regulatory Flexibility hereby given of the following meetings. Scientific Review Officer, Center for Act (5 U.S.C. 601–612) and determined The meetings will be closed to the Scientific Review, National Institutes of that the rule would have a significant public in accordance with the Health, 6701 Rockledge Drive, Room 3172, economic impact on a substantial provisions set forth in sections MSC 7848, Bethesda, MD 20892, (301) 408– number of small entities. In compliance 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 9107, [email protected]. with section 212 of the Small Business as amended. The grant applications and (Catalogue of Federal Domestic Assistance Regulatory Enforcement Fairness Act the discussions could disclose Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, (Public Law 104–121), FDA is making confidential trade secrets or commercial available this SECG stating in plain 93.337, 93.393–93.396, 93.837–93.844, property such as patentable material, 93.846–93.878, 93.892, 93.893, National language the legal requirements of the and personal information concerning Institutes of Health, HHS) June 22, 2011, final rule, set forth in 21 individuals associated with the grant Dated: October 19, 2011. CFR part 1141, establishing applications, the disclosure of which Jennifer S. Spaeth, requirements for graphic health would constitute a clearly unwarranted warnings on cigarette packages and in invasion of personal privacy. Director, Office of Federal Advisory cigarette advertisements. Committee Policy. Name of Committee: Center for Scientific FDA is issuing this SECG as level 2 [FR Doc. 2011–27545 Filed 10–24–11; 8:45 am] Review Special Emphasis Panel, Small guidance consistent with FDA’s good Business: Non-HIV Diagnostics, Food Safety, BILLING CODE 4140–01–P guidance practices regulation (21 CFR Sterilization/Disinfection and 10.115(c)(2)). The SECG represents the Bioremediation. Agency’s current thinking on this topic. Date: November 17–18, 2011. DEPARTMENT OF HEALTH AND It does not create or confer any rights for Time: 8 a.m. to 6 p.m. HUMAN SERVICES or on any person and does not operate Agenda: To review and evaluate grant to bind FDA or the public. An applications. National Institutes of Health Place: Embassy Suites Hotel, 4300 Military alternative approach may be used if Center for Scientific Review Notice of such approach satisfies the Road, NW., Washington, DC 20015. Contact Person: Gagan Pandya, PhD, Closed Meetings requirements of the applicable statutes Scientific Review Officer, National Institutes and regulations. of Health, Center for Scientific Review, 6701 Pursuant to section 10(d) of the Federal Advisory Committee Act, as II. Comments Rockledge Drive, RM 3200, MSC 7808, Bethesda, MD 20892, 301–435–1167, amended (5 U.S.C. App.), notice is Interested persons may submit to the [email protected]. hereby given of the following meetings. Division of Dockets Management (see Name of Committee: Center for Scientific The meetings will be closed to the ADDRESSES) either electronic or written Review Special Emphasis Panel, Small public in accordance with the comments regarding this document. It is Business: Respiratory Sciences. provisions set forth in sections only necessary to send one set of Date: November 17–18, 2011. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., comments. It is no longer necessary to Time: 9 a.m. to 5 p.m. as amended. The grant applications and send two copies of mailed comments. Agenda: To review and evaluate grant the discussions could disclose Identify comments with the docket applications. confidential trade secrets or commercial number found in brackets in the Place: National Institutes of Health, 6701 property such as patentable material, Rockledge Drive, Bethesda, MD 20892, and personal information concerning heading of this document. Received (Virtual Meeting). comments may be seen in the Division Contact Person: Ghenima Dirami, PhD, individuals associated with the grant of Dockets Management between 9 a.m. Scientific Review Officer, Center for applications, the disclosure of which and 4 p.m., Monday through Friday. Scientific Review, National Institutes of would constitute a clearly unwarranted Health, 6701 Rockledge Drive, Room 4122, invasion of personal privacy. III. Electronic Access MSC 7814, Bethesda, MD 20892, 301–594– Name of Committee: Persons with access to the Internet 1321, [email protected]. Center for Scientific Review Special may obtain an electronic version of this Name of Committee: Center for Scientific Emphasis Panel Fellowships: AIDS guidance document at either http:// Review Special Emphasis Panel, DA–12–004: Predoctoral and Postdoctoral.

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Date: November 14, 2011. Name of Committee: Center for Scientific The meeting will be closed to the Time: 11 a.m. to 7:30 p.m. Review Special Emphasis Panel; Cancer public in accordance with the Agenda: To review and evaluate grant Biology and Signaling. provisions set forth in sections applications. Date: November 30–December 1, 2011. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: Westin Georgetown, 2350 M Street, Time: 8 a.m. to 3 p.m. NW., Washington, DC 20037. Agenda: To review and evaluate grant as amended. The grant applications and Contact Person: Mary Clare Walker, PhD, applications. the discussions could disclose Scientific Review Officer, Center for Place: National Institutes of Health, 6701 confidential trade secrets or commercial Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892, property such as patentable material, Health, 6701 Rockledge Drive, Room 5208, (Virtual Meeting). and personal information concerning MSC 7852, Bethesda, MD 20892, (301) 435– Contact Person: Rolf Jakobi, PhD, Scientific individuals associated with the grant 1165, [email protected]. Review Officer, Center for Scientific Review, applications, the disclosure of which Name of Committee: AIDS and Related National Institutes of Health, 6701 Rockledge would constitute a clearly unwarranted Research Integrated Review Group HIV/AIDS Drive, Room 6187, MSC 7806, Bethesda, MD invasion of personal privacy. Vaccines Study Section. 20892, 301–495–1718,[email protected]. Name of Committee: Center for Inherited Date: November 18, 2011. Name of Committee: Center for Scientific Disease Research Access Committee. Time: 8:30 a.m. to 6 p.m. Review Special Emphasis Panel; Stroke, Date: November 10, 2011. Agenda: To review and evaluate grant Spinal Cord and Brain Injury. applications. Time: 11:30 a.m. to 12:30 p.m. Date: November 30–December 1, 2011. Agenda: To review and evaluate grant Place: Hyatt Regency Bethesda, 1 Bethesda Time: 11 a.m. to 5 p.m. Metro Center, Bethesda, MD 20814. applications. Agenda: To review and evaluate grant Place: National Institutes of Health, 5635 Contact Person: Mary Clare Walker, PhD, applications. Scientific Review Officer, Center for Fishers Lane, Bethesda, MD 20892 Place: National Institutes of Health, 6701 Scientific Review, National Institutes of (Telephone Conference Call). Rockledge Drive, Bethesda, MD 20892, Health, 6701 Rockledge Drive, Room 5208, Contact Person: Camilla E. Day, PhD, (Virtual Meeting). MSC 7852, Bethesda, MD 20892, (301) 435– Scientific Review Officer, CIDR, National Contact Person: Seetha Bhagavan, PhD, 1165, [email protected]. Human Genome Research Institute, National Scientific Review Officer, Center for Name of Committee: Center for Scientific Institutes of Health, 5635 Fishers Lane, Suite Scientific Review, National Institutes of 4075, Bethesda, MD 20892, 301–402–8837, Review Special Emphasis Panel; Program Health, 6701 Rockledge Drive, Room 5194, Project: Cell Biology. [email protected]. MSC 7846, Bethesda, MD 20892, (301) 237– This notice is being published less than 15 Date: November 29–30, 2011. 9838,[email protected]. Time: 8 a.m. to 5 p.m. days prior to the meeting due to the timing limitations imposed by the review and Agenda: To review and evaluate grant Name of Committee: Center for Scientific funding cycle. applications. Review Special Emphasis Panel; Fellowship: Place: National Institutes of Health, 6701 Oncological Sciences Overflow. (Catalogue of Federal Domestic Assistance Rockledge Drive, Bethesda, MD 20892, Date: November 30, 2011. Program Nos. 93.172, Human Genome (Virtual Meeting). Time: 11 a.m. to 4 p.m. Research, National Institutes of Health, HHS) Agenda: To review and evaluate grant Contact Person: Rass M Shayiq, PhD, Dated: October 19, 2011. applications. Scientific Review Officer, Center for Jennifer S. Spaeth, Scientific Review, National Institute of Place: National Institutes of Health, 6701 Health, 6701 Rockledge Drive, Room 2182, Rockledge Drive, Bethesda, MD 20892, Director, Office of Federal Advisory MSC 7818, Bethesda, MD 20892, (301) 435– (Telephone Conference Call). Committee Policy. 2359, [email protected]. Contact Person: Alexander Gubin, PhD, [FR Doc. 2011–27542 Filed 10–24–11; 8:45 am] Scientific Review Officer, Center for Name of Committee: Center for Scientific BILLING CODE 4140–01–P Scientific Review, National Institutes of Review Special Emphasis Panel; Program Health, 6701 Rockledge Drive, Room 4196, Project: Early Embryo Development MSC 7812, Bethesda, MD 20892, 301–435– Pluripotency. DEPARTMENT OF HEALTH AND Date: November 29–30, 2011. 2902, [email protected]. HUMAN SERVICES Time: 8 a.m. to 8 p.m. (Catalogue of Federal Domestic Assistance Agenda: To review and evaluate grant Program Nos. 93.306, Comparative Medicine; National Institutes of Health applications. 93.333, Clinical Research, 93.306, 93.333, Place: National Institutes of Health, 6701 93.337, 93.393–93.396, 93.837–93.844, National Institute of Diabetes and Rockledge Drive, Bethesda, MD 20892, 93.846–93.878, 93.892, 93.893, National Digestive and Kidney Diseases Notice (Virtual Meeting). Institutes of Health, HHS) of Closed Meeting Contact Person: Michael H. Chaitin, PhD, Dated: October 19, 2011. Scientific Review Officer, Center for Pursuant to section 10(d) of the Jennifer S. Spaeth, Scientific Review, National Institutes of Federal Advisory Committee Act, as Health, 6701 Rockledge Drive, Room 5202, Director, Office of Federal Advisory amended (5 U.S.C. App.), notice is Committee Policy. MSC 7850, Bethesda, MD 20892, (301) 435– hereby given of the following meeting. 0910, [email protected]. [FR Doc. 2011–27544 Filed 10–24–11; 8:45 am] The meeting will be closed to the Name of Committee: Center for Scientific BILLING CODE 4140–01–P public in accordance with the Review Special Emphasis Panel; Member provisions set forth in sections Conflict: Antimicrobials and Resistance. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Date: November 29–30, 2011. DEPARTMENT OF HEALTH AND as amended. The grant applications and Time: 8:30 a.m. to 3 p.m. HUMAN SERVICES Agenda: To review and evaluate grant the discussions could disclose applications. National Institutes of Health confidential trade secrets or commercial Place: National Institutes of Health, 6701 property such as patentable material, Rockledge Drive, Bethesda, MD 20892, National Human Genome Research and personal information concerning (Virtual Meeting). Institute; Notice of Closed Meeting individuals associated with the grant Contact Person: John C Pugh, PhD, applications, the disclosure of which Scientific Review Officer, Center for would constitute a clearly unwarranted Scientific Review, National Institutes of Pursuant to section 10(d) of the Health, 6701 Rockledge Drive, Room 3114, Federal Advisory Committee Act, as invasion of personal privacy. MSC 7808, Bethesda, MD 20892, (301) 435– amended (5 U.S.C. App.), notice is Name of Committee: National Institute of 2398, [email protected]. hereby given of the following meeting. Diabetes and Digestive and Kidney Diseases

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Special Emphasis Panel; Study on Place: Doubletree Hotel Bethesda, Assistance program for the following Gastroparesis. (Formerly Holiday Inn Select), 8120 areas among those areas determined to Date: December 5, 2011. Wisconsin Avenue, Bethesda, MD 20814, have been adversely affected by the Time: 5 p.m. to 6:30 p.m. Time: November 29, 2011, 8 a.m. to 6:30 event declared a major disaster by the Agenda: To review and evaluate grant p.m. applications. Agenda To review and evaluate personal President in his declaration of Place: National Institutes of Health, Two qualifications and performance, and September 12, 2011. Democracy Plaza, 6707 Democracy competence of individual investigators. Juniata County for Public Assistance. Boulevard, Bethesda, MD 20892, (Telephone Place: National Institutes of Health, Berks, Bradford, Columbia, Dauphin, Conference Call). Building 30, 30 Center Drive, 117, Bethesda, Lancaster, Lebanon, Luzerne, Lycoming, Contact Person: Maria E. Davila-Bloom, MD 20892. Montour, Schuylkill, Snyder, Sullivan, PhD, Scientific Review Officer, Review Time: November 30, 2011, 8 a.m. to 4 p.m. Susquehanna, and Wyoming Counties for Branch, DEA, NIDDK, National Institutes Of Agenda: To review and evaluate personal Public Assistance (already designated for Health, Room 758, 6707 Democracy qualifications and performance, and Individual Assistance. Boulevard, Bethesda, MD 20892–5452, (301) competence of individual investigators. The following Catalog of Federal Domestic 594–7637, davila- Place: National Institutes of Health, Assistance Numbers (CFDA) are to be used [email protected]. Building 30, 30 Center Drive, 117, Bethesda, for reporting and drawing funds: 97.030, (Catalogue of Federal Domestic Assistance MD 20892 Community Disaster Loans; 97.031, Cora Program Nos. 93.847, Diabetes, Contact Person: Alicia J. Dombroski, PhD, Brown Fund; 97.032, Crisis Counseling; Endocrinology and Metabolic Research; Director, Division of Extramural Activities, 97.033, Disaster Legal Services; 97.034, 93.848, Digestive Diseases and Nutrition Natl Inst of Dental and Craniofacial Research, Disaster Unemployment Assistance (DUA); Research; 93.849, Kidney Diseases, Urology National Institutes of Health, Bethesda, MD 97.046, Fire Management Assistance Grant; and Hematology Research, National Institutes 20892. 97.048, Disaster Housing Assistance to of Health, HHS) Information is also available on the Individuals and Households In Presidentially Institute’s/Center’s home page: http:// Dated: October 19, 2011. Declared Disaster Areas; 97.049, www.nidcr.nih.gov/about/Council Presidentially Declared Disaster Assistance— Jennifer S. Spaeth, Committees.asp, where an agenda and any Disaster Housing Operations for Individuals Director, Office of Federal Advisory additional information for the meeting will and Households; 97.050 Presidentially Committee Policy. be posted when available. Declared Disaster Assistance to Individuals [FR Doc. 2011–27541 Filed 10–24–11; 8:45 am] (Catalogue of Federal Domestic Assistance and Households—Other Needs; 97.036, BILLING CODE 4140–01–P Program Nos. 93.121, Oral Diseases and Disaster Grants—Public Assistance Disorders Research, National Institutes of (Presidentially Declared Disasters); 97.039, Health, HHS) Hazard Mitigation Grant.) DEPARTMENT OF HEALTH AND Dated: October 19, 2011. W. Craig Fugate, HUMAN SERVICES Jennifer S. Spaeth, Administrator, Federal Emergency Director, Office of Federal Advisory Management Agency. National Institutes of Health Committee Policy. [FR Doc. 2011–27617 Filed 10–24–11; 8:45 am] National Institute of Dental & [FR Doc. 2011–27540 Filed 10–24–11; 8:45 am] BILLING CODE 9111–23–P Craniofacial Research; Notice of BILLING CODE 4140–01–P Closed Meeting DEPARTMENT OF HOMELAND Pursuant to section 10(d) of the DEPARTMENT OF HOMELAND SECURITY Federal Advisory Committee Act, as SECURITY amended (5 U.S.C. App.), notice is Federal Emergency Management hereby given of a meeting of the Board Federal Emergency Management Agency of Scientific Counselors, National Agency [Internal Agency Docket No. FEMA–4031– Institute of Dental and Craniofacial [Internal Agency Docket No. FEMA–4030– DR; Docket ID FEMA–2011–0001] Research. DR; Docket ID FEMA–2011–0001] The meeting will be closed to the New York; Amendment No. 8 to Notice public as indicated below in accordance Pennsylvania; Amendment No. 2 to of a Major Disaster Declaration Notice of a Major Disaster Declaration with the provisions set forth in section AGENCY: Federal Emergency 552b(c)(6), Title 5 U.S.C., as amended AGENCY: Federal Emergency Management Agency, DHS. for the review, discussion, and Management Agency, DHS. ACTION: Notice. evaluation of individual intramural ACTION: Notice. programs and projects conducted by the SUMMARY: This notice amends the notice NATIONAL INSTITUTE OF DENTAL & SUMMARY: This notice amends the notice of a major disaster declaration for the CRANIOFACIAL RESEARCH, including of a major disaster declaration for the State of New York (FEMA–4031–DR), consideration of personnel Commonwealth of Pennsylvania dated September 13, 2011, and related qualifications and performance, and the (FEMA–4030–DR), dated September 12, determinations. competence of individual investigators, 2011, and related determinations. DATES: Effective Date: October 13, 2011. the disclosure of which would DATES: Effective Date: October 7, 2011. FOR FURTHER INFORMATION CONTACT: constitute a clearly unwarranted FOR FURTHER INFORMATION CONTACT: Peggy Miller, Office of Response and invasion of personal privacy. Peggy Miller, Office of Response and Recovery, Federal Emergency Name of Committee: Board of Scientific Recovery, Federal Emergency Management Agency, 500 C Street, SW., Counselors, National Institute of Dental and Management Agency, 500 C Street, SW., Washington, DC 20472, (202) 646–3886. Craniofacial Research. Washington, DC 20472, (202) 646–3886. SUPPLEMENTARY INFORMATION: Date: November 28–30, 2011. The notice Time: November 28, 2011, 7 p.m. to 9 p.m. SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration for the Agenda: To review and evaluate personal of a major disaster declaration for the State of New York is hereby amended to qualifications and performance, and Commonwealth of Pennsylvania is include the following area among those competence of individual investigators. hereby amended to include the Public areas determined to have been adversely

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affected by the event declared a major for reporting and drawing funds: 97.030, Mr. Joseph Braun at (630) 252–5574 or disaster by the President in his Community Disaster Loans; 97.031, Cora by e-mail: [email protected]. declaration of September 13, 2011. Brown Fund; 97.032, Crisis Counseling; 97.033, Disaster Legal Services; 97.034, SUPPLEMENTARY INFORMATION: The Montgomery County for Public Assistance. Disaster Unemployment Assistance (DUA); primary intent of this workshop is to The following Catalog of Federal Domestic 97.046, Fire Management Assistance Grant; support BSEE’s goal of ensuring safe Assistance Numbers (CFDA) are to be used 97.048, Disaster Housing Assistance to and environmentally sound offshore oil for reporting and drawing funds: 97.030, Individuals and Households in Presidentially and gas exploration and production in Community Disaster Loans; 97.031, Cora Declared Disaster Areas; 97.049, deep and ultra-deep OCS waters. Brown Fund; 97.032, Crisis Counseling; Presidentially Declared Disaster Assistance— Through this workshop, BSEE will 97.033, Disaster Legal Services; 97.034, Disaster Housing Operations for Individuals Disaster Unemployment Assistance (DUA); obtain feedback and analysis from and Households; 97.050, Presidentially stakeholders related to drilling, 97.046, Fire Management Assistance Grant; Declared Disaster Assistance to Individuals 97.048, Disaster Housing Assistance to and Households—Other Needs; 97.036, production technologies, operations, Individuals and Households in Presidentially Disaster Grants—Public Assistance spill prevention, emergency response, Declared Disaster Areas; 97.049, (Presidentially Declared Disasters); 97.039, and cleanup. In addition, the two-day Presidentially Declared Disaster Assistance— Hazard Mitigation Grant.) workshop will offer a structured venue Disaster Housing Operations for Individuals for consultation among offshore and Households; 97.050, Presidentially W. Craig Fugate, Declared Disaster Assistance to Individuals deepwater oil and gas industry and Administrator, Federal Emergency and Households—Other Needs; 97.036, regulatory experts in order to: Management Agency. Disaster Grants—Public Assistance (a) Identify the effects of water depth (Presidentially Declared Disasters); 97.039, [FR Doc. 2011–27616 Filed 10–24–11; 8:45 am] and related issues on equipment and Hazard Mitigation Grant. BILLING CODE 9111–23–P operations; and W. Craig Fugate, (b) Identify approaches to address the water depth issue through regulations, Administrator, Federal Emergency DEPARTMENT OF THE INTERIOR Management Agency. standards, and practices designed to [FR Doc. 2011–27613 Filed 10–24–11; 8:45 am] safeguard personnel, operations and the Bureau of Safety and Environmental environment. BILLING CODE 9111–23–P Enforcement This workshop will assist in [Docket ID BOEM–2011–0087] improving existing regulations and DEPARTMENT OF HOMELAND develop new regulations under the SECURITY Notice of Industry Workshop on authority of the BSEE, which assumed Technical and Regulatory Challenges regulatory responsibility for safety and Federal Emergency Management in Deep and Ultra-Deep Outer environmental protection over OCS oil Agency Continental Shelf Waters and gas operations effective October 1, 2011. The workshop will also provide [Internal Agency Docket No. FEMA–4029– AGENCY: Bureau of Safety and DR; Docket ID FEMA–2011–0001] Environmental Enforcement (BSEE), an opportunity to identify approaches Interior. industry can use to address water depth Texas; Amendment No. 9 to Notice of issues, such as the development of new ACTION: Announcement of Industry a Major Disaster Declaration standards or improvements in existing Workshop. standards. Domestic energy reserves are AGENCY: Federal Emergency vitally important to the Nation’s Management Agency, DHS. SUMMARY: BSEE is announcing the Effects of Water Depth Workshop. This economic strength. BSEE is committed ACTION: Notice. workshop with industry will offer a to helping ensure environmental protection and human safeguards during SUMMARY: This notice amends the notice blend of technical presentations and of a major disaster declaration for the interactive peer review discussions exploration and development of these State of Texas (FEMA–4029–DR), dated expected to help identify Outer energy reserves. This workshop is a September 9, 2011, and related Continental Shelf (OCS) challenges and critical step in clearing a path forward determinations. technologies associated with oil and gas for responsible deep water development. DATES: Effective Date: October 13, 2011. exploration and production at various water depths. This workshop will also Registration: Registration fees will be FOR FURTHER INFORMATION CONTACT: identify approaches to address the water approximately $425.00 per person to Peggy Miller, Office of Response and depth issue through regulations, cover food, refreshments, and Recovery, Federal Emergency standards, and practices designed to administrative costs. Attendance at this Management Agency, 500 C Street, SW., safeguard personnel, operations, and the workshop is by invitation only. To Washington, DC 20472, (202) 646–3886. environment. apply, please visit BSEE’s workshop SUPPLEMENTARY INFORMATION: The notice webpage at http://www.boemre.gov/ DATES: The workshop will be held on of a major disaster declaration for the tarworkshops/EWD/Apply.htm. You November 2 and 3, 2011, between 8 a.m. State of Texas is hereby amended to will be redirected to the U.S. and 5 p.m. Early sign-in begins include the following area among those Department of Energy, Argonne November 1, 2011, at 5:30 p.m. areas determined to have been adversely National Lab’s webpage to complete affected by the event declared a major ADDRESSES: The workshop will be held your application electronically and will disaster by the President in his at the San Luis Hotel, 5222 Seawall be contacted by Argonne National Lab declaration of September 9, 2011. Blvd., Galveston, Texas 77551. Lodging staff, who have been contracted to at the San Luis Hotel is available for provide workshop registration services. Anderson, Henderson, Hill, Marion, Smith Workshop participants. and Upshur Counties for Public Assistance Paperwork Reduction Act of 1995 FOR FURTHER INFORMATION CONTACT: Mr. (already designated for Individual Statement Assistance). Michael Else, Technology Assessment The following Catalog of Federal Domestic and Research Program, (703) 787–1769 This Federal Register Notice does not Assistance Numbers (CFDA) are to be used or by e-mail: [email protected] or refer to or impose any information

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collection subject to the Paperwork SUPPLEMENTARY INFORMATION: K Road is socioeconomics, soils, traffic and Reduction Act (44 U.S.C. 3501 et seq.). seeking approval to construct and transportation, visual resources, waste Dated: October 17, 2011. operate an electrical generating facility management and worker safety and fire with a nominal capacity of Robert P. LaBelle, protection, as well as facility design approximately 664 megawatts (MW). engineering, efficiency, reliability, Acting Deputy Director, Bureau of Safety and The project would use photovoltaic (PV) Environmental Enforcement. transmission system engineering and panels and may include some solar transmission line safety and nuisance. [FR Doc. 2011–27633 Filed 10–21–11; 8:45 am] thermal power. Approximately 4,604 If the ROW amendment is approved BILLING CODE 4310–MR–P acres of BLM-administered public land by the BLM, a multi-technology solar and 9 acres of privately owned land are power plant facility on public lands needed to develop the Project. K Road would be authorized in accordance with DEPARTMENT OF THE INTERIOR has submitted an application to the Title V of FLPMA and the BLM’s ROW Bureau of Land Management BLM requesting to amend their ROW Regulations at 43 CFR part 2800. A grant to change portions of the approved certificate designating approval by the [CACA 49537 LLCAD08000 facility from 100 percent SunCatcher California Energy Commission must be L51010000.FX0000 LVRWB11B4670] technology to PV technology and obtained by K Road before it may potentially some SunCatcher construct the portion of Phase two Notice of Intent To Prepare a technology. involving ‘‘SunCatcher’’ solar facilities. Supplemental Draft Environmental On October 20, 2010, the BLM Impact Statement for the K Road Authority: 40 CFR 1502.9(c) and 43 CFR approved the Calico Solar ROW grant, 1610.2. Calico Solar Project, San Bernardino which would develop a solar thermal County, CA energy generating facility in a project Thomas Pogacnik, area north of Interstate 40 between Deputy State Director. AGENCY: Bureau of Land Management, Newberry Springs and Hector, Interior. [FR Doc. 2011–27558 Filed 10–24–11; 8:45 am] California approximately 37 miles east BILLING CODE 4310–40–P ACTION: Notice of Intent. of Barstow, California. The grant holder, K Road Calico Solar, LLC has applied to SUMMARY: In compliance with the the BLM for a ROW grant amendment DEPARTMENT OF THE INTERIOR National Environmental Policy Act of on public lands to construct the solar 1969 (NEPA), as amended, and the facility in two phases including a Bureau of Land Management Federal Land Policy and Management change in technology: Phase 1 (275 MW Act of 1976 (FLPMA), as amended, the [LLCON00000 L10200000 and 1,863 acres) will consist of PV DF0000.LXSS080C0000] Bureau of Land Management (BLM), panels, an access road, a central services California Desert District, intends to complex, an on-site substation, and a Notice of Resource Advisory Council prepare a Supplemental Draft underground water utility line. Phase 2 Meeting for the Northwest Colorado Environmental Impact Statement (EIS) (2,750 acres, 389 MW) will consist of PV Resource Advisory Council for an amendment to the right-of-way panels and may include some (Supplemental Information) (ROW) grant for the K Road Calico Solar SunCatcher technology. Project (Project) in San Bernardino Construction would begin in early AGENCY: Bureau of Land Management, County, California. 2013. Although construction would take Interior. DATES: The BLM will provide a 45-day approximately 48 months to complete, ACTION: Notice of Public Meeting: public comment period upon renewable energy power would be Supplemental Information publication of the Supplemental Draft available to the grid as each phase is EIS. completed. The facility would be SUMMARY: In accordance with the expected to operate for approximately Federal Land Policy and Management ADDRESSES: Act of 1976 and the Federal Advisory • Web site: http://www.blm.gov/ca/st/ 20 years. A new 230-kV substation would be Committee Act of 1972, notice has been en/fo/barstow/K built in the center of the project area published that the U.S. Department of Road_Calico_Solar.html. and would connect to the existing the Interior, Bureau of Land • E-mail: [email protected]. Pisgah Substation via an approximately Management (BLM) Northwest Resource • Fax: (760) 252–6098. two-mile long single-circuit, 230-kV Advisory Council (NW RAC) will meet • Mail: Bureau of Land Management, transmission line. on December 1, 2011. This notice Joan Patrovsky, Project Manager, 2601 The 2010 Final EIS and Proposed provides supplemental information Barstow Road, Barstow, California Amendment to the California Desert related to specific fee proposals that will 92311. Conservation Area Plan for the Calico be discussed at the December meeting in FOR FURTHER INFORMATION CONTACT: Joan Solar Project considered this type of Gateway, Colorado, specifically the Patrovsky, BLM Project Manager, or Edy technology but did not analyze it in consideration of two new fee proposals Seehafer, BLM NEPA Compliance detail. The Supplemental Draft EIS will for public lands within the Grand Coordinator, telephone (760) 252–6000. analyze this alternative in detail, Junction Field Office, and one fee Please contact Ms. Patrovsky if you’d including any additional site-specific adjustment proposal for the Kremmling like to have your name added to our impacts resulting from the change in Field Office. mailing list. See also ADDRESSES section, technology and additional ancillary DATES: This supplemental information above. News media inquiries should be facilities or relocation of facilities. This is being provided for the NW RAC directed to the California Desert District includes impacts to air quality, meeting to be held on December 1, 2011. Office, Public Affairs Office, David biological resources, cultural resources, The meeting will begin at 8 a.m. and Briery, 22835 Calle San Juan De Los water resources, geological resources adjourn at approximately 3 p.m., with Lagos, Moreno Valley, California 92553, and hazards, hazardous materials public comment periods regarding telephone (951) 697–5220, or e-mail: handling, noise, paleontological matters on the agenda at 10 a.m. and 2 [email protected]. resources, public health, p.m.

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ADDRESSES: Gateway Canyons Resort, later date to announce the BLM’s intent Having met all the requirements for 43200 Colorado Highway 141. to collect fees on these two areas of reinstatement of the lease as set out in FOR FURTHER INFORMATION CONTACT: public land. A Notice of Intent is not Section 31(d) and (e) of the Mineral David Boyd, Public Affairs Specialist, required for the fee adjustment Leasing Act of 1920 (30 U.S.C. 188), the Colorado River Valley Field Office, 970– proposal. Bureau of Land Management is proposing to reinstate the lease, 876–9000. Helen M. Hankins, SUPPLEMENTARY INFORMATION: The 15- effective July 1, 2011, subject to the State Director. original terms and conditions of the member NW RAC advises the Secretary [FR Doc. 2011–27621 Filed 10–24–11; 8:45 am] of the Interior, through the BLM, on a lease and the increased rental and BILLING CODE 4310–JB–P variety of issues associated with royalty rates cited above. resource management of the public Approved. lands in northwestern Colorado. On DEPARTMENT OF THE INTERIOR Shelley J. Smith, June 20, 2011, the NW RAC’s charter Acting State Director. was amended to allow the NW RAC to Bureau of Land Management [FR Doc. 2011–27560 Filed 10–24–11; 8:45 am] make recommendations of fee proposals [LLUT92000 L13100000 FI0000 25–7A] BILLING CODE 4310–DQ–P associated with recreational use of BLM- managed public lands in northwestern Notice of Proposed Class II Colorado under the Federal Lands Reinstatement of Terminated Oil and DEPARTMENT OF THE INTERIOR Recreation Enhancement Act (FLREA). Gas Lease, Utah At the December 1 meeting, the NW Bureau of Land Management RAC will consider two new fee AGENCY: Bureau of Land Management, Interior. proposals being developed by the Grand [CACA 52030, LLCA920000 L1310000 Junction Field Office, and one fee ACTION: Notice. FI0000] adjustment in the Kremmling Field SUMMARY: Office. In accordance with Title IV of Notice of Proposed Reinstatement of The first proposal would allow the the Federal Oil and Gas Royalty Terminated Oil and Gas Lease CACA BLM to initiate an expanded amenity Management Act, Bro Energy LLC 52030, California fee program for the 18 Road timely filed a petition for reinstatement Campground in the North Fruita Desert. of oil and gas lease UTU85562 lands in AGENCY: Bureau of Land Management, The BLM is proposing this fee to Carbon County, Utah, accompanied by Interior. address maintenance and improvement all required rentals and royalties ACTION: issues at the campground based on accruing from July 1, 2011, the date of Notice. significant increases in visitation. Fees termination. would allow for campground FOR FURTHER INFORMATION CONTACT: Kent SUMMARY: Under the provisions of the improvements, including the addition of Hoffman, Deputy State Director, Lands Mineral Lands Leasing Act of 1920, as up to 60 new campsites. and Minerals, Utah State Office, Bureau amended, the Bureau of Land The second proposal would allow the of Land Management, 440 West 200 Management (BLM) received a petition BLM to initiate a fee program for the South, Salt Lake City, Utah 84145, for reinstatement of oil and gas lease Ruby-Horsethief section of the Colorado phone (801) 539–4063. Persons who use CACA 52030 from Plains Exploration & River. This fee would accompany an a telecommunications device for the Production Co. The petition was filed individual Special Recreation Permit for deaf (TDD) may call the Federal on time and was accompanied by all overnight camping and would assist the Information Relay Service (FIRS) at 1– required rentals and royalties accruing BLM in enhancing management to 800–877–8339 to contact the above from June 1, 2011, the date of reduce visitor conflict and protect individual during normal business termination. hours. FIRS is available 24 hours a day, public land resources from damage FOR FURTHER INFORMATION CONTACT: Rita through enforcement, land restoration 7 days a week, to leave a message or question with the above individual. You Altamira, Land Law Examiner, Branch and regular patrols. of Adjudication, Division of Energy and The fee adjustment proposal would will receive a reply during normal business hours. Minerals, BLM California State Office, adjust the fee structure at the 2800 Cottage Way, W–1623, SUPPLEMENTARY INFORMATION: Pumphouse and Radium recreation sites The lessee Sacramento, California 95825, (916) along the Upper Colorado River. Fees has agreed to new lease terms for rentals 978–4378. have been charged in the area since and royalties at rates of $10 per acre and 1998. Adjustments are necessary to keep 162⁄3 percent, respectively. The $500 SUPPLEMENTARY INFORMATION: No valid pace with increased costs of administrative fee for the lease has been lease has been issued affecting the maintaining and improving these areas. paid and the lessee has reimbursed the lands. The lessee has agreed to new More information about these Bureau of Land Management for the cost lease terms for rentals and royalties at proposals and the complete agenda for of publishing this notice. rates of $10 per acre or fraction thereof December 1 are available on the NW The public has 30 days after and 162⁄3 percent, respectively. The RAC’s Web site at http://www.blm.gov/ publication in the Federal Register to lessee has paid the required $500 co/st/en/BLM_Resources/racs/ comment on the issuance of the Class II administrative fee and has reimbursed nwrac.html. These meetings are open to reinstatement. If no objections are the BLM for the cost of this Federal the public. Depending on the number of received within that 30-day period, the Register notice. The Lessee has met all persons wishing to comment and time BLM will issue a decision to the lessee the requirements for reinstatement of available, the time for individual oral reinstating the lease. Written comments the lease as set out in Sections 31(d) and comments may be limited at the will be accepted by fax, e-mail, or letter (e) of the Mineral Leasing Act of 1920 discretion of the Chair. to: Bureau of Land Management, Utah (30 U.S.C. 188), and the BLM proposing A separate Notice of Intent will be State Office, Attn: Kent Hoffman, P.O. to reinstate the lease effective June 1, published in the Federal Register at a Box 45155, Salt Lake City, UT 84145. 2011, subject to the original terms and

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condition of the lease and the increased leases and the increased rental and structures, and objects significant in rental and royalty rates cited above. royalty rates cited above. The BLM has American history, architecture, not issued a lease affecting the lands archeology, engineering, and culture. Laurie I. Moore, encumbered by the leases to any other National Register properties have Acting Supervisor, Branch of Adjudication, interest in the interim. significance to the history of Division of Energy & Minerals. Authority: 43 CFR 3108.2–3(a) communities, States, or the Nation. The [FR Doc. 2011–27561 Filed 10–24–11; 8:45 am] National Historic Preservation Act of BILLING CODE 4310–40–P Gary Johnson, 1966 requires the Secretary of the Deputy State Director, Minerals Management. Interior to maintain and expand the [FR Doc. 2011–27569 Filed 10–24–11; 8:45 am] National Register, and to establish DEPARTMENT OF THE INTERIOR BILLING CODE 4310–HC–P criteria and guidelines for including Bureau of Land Management properties on the National Register. National Register properties must be [LLNV9230000 L13100000.FI0000 241A; DEPARTMENT OF THE INTERIOR considered in the planning for Federal NVN–080833; NVN–080834; NVN–080834; or federally assisted projects, and listing NVN–80835; 11–08807; MO# 4500022597: National Park Service on the National Register is required for TAS: 14x1109] [NPS–WASO–CR–1011–8604; 2200–3200– eligibility for Federal rehabilitation tax Notice of Proposed Reinstatement of 665] incentives. Terminated Oil and Gas Leases; The National Park Service administers Nevada Proposed Information Collection; the National Register. Nominations for Nomination of Properties for Listing on listing historic properties come from AGENCY: Bureau of Land Management, the National Register of Historic Places State Historic Preservation Officers, Interior. from Federal Preservation Officers for AGENCY: National Park Service (NPS), ACTION: Notice. properties owned or controlled by the Interior. United States Government, and from SUMMARY: Pursuant to the Mineral Lands ACTION: Notice; request for comments. Tribal Historic Preservation Officers for Leasing Act of 1920, as amended, the properties on tribal lands. Private SUMMARY: We (National Park Service) Bureau of Land Management (BLM) individuals and organizations, local will ask the Office of Management and received a petition for reinstatement governments, and American Indian Budget (OMB) to approve the from Gasco Production Company for tribes often initiate this process and information collection (IC) described noncompetitive oil and gas leases NVN– prepare the necessary documentation. below. To comply with the Paperwork 080833, NVN–080834, NVN–080835, Regulations at 36 CFR 60 and 63 Reduction Act of 1995 and as a part of and NVN–080836 on land in White Pine establish the criteria and guidelines for our continuing efforts to reduce County, Nevada. The petition was listing properties. timely filed and was accompanied by all paperwork and respondent burden, we We use three forms for nominating the rentals due since the leases invite the general public and other properties and providing documentation terminated under the law. No valid Federal agencies to comment on this IC. for the proposed listings: leases have been issued affecting the This IC is scheduled to expire on May • NPS Form 10–900 (National lands. 31, 2012. We may not conduct or Register of Historic Places Registration sponsor and a person is not required to Form). FOR FURTHER INFORMATION CONTACT: respond to a collection unless it • Elaine Guenaga, BLM Nevada State NPS Form 10–900-a (National displays a currently valid OMB control Register of Historic Places Continuation Office, 775–861–6539, or e-mail: number. [email protected]. Persons who use a Sheet). DATES: Please submit your comment on • NPS Form 10–900-b (National telecommunications device for the deaf or before December 27, 2011. Register of Historic Places Multiple (TDD) may call the Federal Information Property Documentation Form). Relay Service (FIRS) at 1–800–877–8339 ADDRESSES: Please send your comments on the IC to Madonna Baucum, These forms and documentation go to to contact the above individual during the State Historic Preservation Office normal business hours. The FIRS is Information Collections Coordinator, National Park Service, 1201 Eye St., (SHPO) of the State where the property available 24 hours a day, 7 days a week, is located. The SHPO can take one of to leave a message or question with the NW., MS 1242, Washington, DC 20005 (mail); or [email protected] several options: reject the property, ask above individual. You will receive a for more information, list the property reply during normal business hours. (e-mail). Please reference Information Collection 1024–0018. just with the State, or send the forms to SUPPLEMENTARY INFORMATION: The lessee us for listing on the National Register. FOR FURTHER INFORMATION CONTACT: Lisa has agreed to the amended lease terms Once we receive the forms, we conduct for rental and royalty at the rate of $5 Deline, NPS Historian, National Register of Historic Places, 1201 Eye St., NW, a similar review process. per acre or fraction thereof per year and Listing on the National Register 20005. You may send an e-mail to 16–2/3 percent, respectively. The lessee provides formal recognition of a [email protected] or contact her by has paid the required $500 property’s historical, architectural, or telephone at (202/354–2239) or via fax administrative fee and has reimbursed archeological significance based on at (202/371–2229). You are entitled to a the Department for the cost of this national standards used by every State. copy of the entire IC package free-of- Federal Register notice. The lessee has The listing places no obligations on charge. met all of the requirements for private property owners, and there are reinstatement of the leases as set out in SUPPLEMENTARY INFORMATION: no restrictions on the use, treatment, Section 31(d) and (e) of the Mineral I. Abstract transfer, or disposition of private Leasing Act of 1920 (30 U.S.C. 188), and property. the BLM is proposing to reinstate the The National Register of Historic leases effective November 1, 2010 under Places (National Register) is the official II. Data the original terms and conditions of the Federal list of districts, sites, buildings, OMB Control Number: 1024–0018.

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Title: Nomination of Properties for Type of Request: Extension of a businesses; nonprofit organizations; and Listing in the National Register of previously approved collection of individuals. Historic Places, 36 CFR 60 and 63. information. Respondent’s Obligation: Required to Form(s): 10–900, 10–900–a, and 10– Description of Respondents: State, obtain or retain benefits. 900–b. tribal, and local governments; Frequency of Collection: On Occasion.

Avgerage time/ Activity Annual response Total annual responses (hr) burden hours

(1) Multiple Property Submission ...... 34 36 1,224 (2) Individual Nominations ...... 941 67 .5 63,518 (3) District Nominations ...... 306 123 37,638

Total ...... 1,281 ...... 102,380

III. Comments SUMMARY: The National Park Service is National Christmas Tree Lighting and We invite comments concerning this seeking public comments and the subsequent 31 day event may be IC on: suggestions on the planning of the 2011 submitted in writing. Written comments • Whether or not the collection of National Christmas Tree Lighting and may be sent to the Chief of information is necessary, including the subsequent 31 day event. Interpretation and Education, White whether or not the information will DATES: The meeting will be held on House Visitor Center 1100 Ohio Drive, have practical utility; November 10, 2011. Written comments SW., Washington, DC 20242, and will be • The accuracy of our estimate of the will be accepted until November 10, accepted until November 10, 2011. burden for this collection of 2011. Before including your address, phone information; ADDRESSES: number, e-mail address, or other • The meeting will be held at Ways to enhance the quality, utility, 9 a.m. on November 10, 2011, in Room personal identifying information in your and clarity of the information to be 234 of the National Capital Region comment, be advised that your entire collected; and comment—including your personal • Headquarters Building, at 1100 Ohio Ways to minimize the burden of the Drive, SW., Washington, DC (East identifying information—may be made collection of information on Potomac Park). Written comments may publicly available at any time. While respondents. be sent to the Chief of Interpretation and you can ask in your comment to Please note that the comments Education, White House Visitor Center, withhold from public review your submitted in response to this notice are 1100 Ohio Drive, SW., Washington, DC personal identifying information, we a matter of public record. Before 20242. Due to delays in mail delivery, cannot guarantee that we will be able to including your address, phone number, it is recommended that comments be do so. e-mail address, or other personal provided by telefax at 202–208–1643 or identifying information in your Dated: October 6, 2011. by e-mail to [email protected]. comment, you should be aware that John Stanwich, Comments may also be delivered by your entire comment, including your Deputy National Park Service Liaison to the messenger to the White House Visitor personal identifying information, may White House. Center at 1450 Pennsylvania Avenue, be made publicly available at any time. [FR Doc. 2011–27598 Filed 10–24–11; 8:45 am] NW., in Washington, DC. While you can ask OMB in your BILLING CODE 4312–54–P comment to withhold your personal FOR FURTHER INFORMATION CONTACT: identifying information from public Russell Virgilio at the White House review, we cannot guarantee that it will Visitor Center weekdays between 9 a.m., DEPARTMENT OF THE INTERIOR be done. and 4 p.m., at (202) 208–1631. SUPPLEMENTARY INFORMATION: The National Park Service Dated: October 18, 2011. National Park Service is seeking public Robert M. Gordon, comments and suggestions on the [1730–SZM] Information Collection Clearance Officer, planning of the 2011 National Christmas National Park Service. Tree Lighting and the subsequent 31 day Cape Cod National Seashore, South [FR Doc. 2011–27600 Filed 10–24–11; 8:45 am] event, which opens on December 1, Wellfleet, MA; Cape Cod National BILLING CODE 4312–51–P 2011, on the Ellipse (President’s Park), Seashore Advisory Commission south of the White House. In order to AGENCY: facilitate this process the National Park National Park Service, Interior. DEPARTMENT OF THE INTERIOR Service will hold a meeting at 9 a.m. on ACTION: Two Hundred Eighty-First notice of meeting. National Park Service November 10, 2011, in Room 234 of the National Capital Region Headquarters [NPS–NCR–WHHO–1011–8602; 3950–SZM] Building, at 1100 Ohio Drive, SW., SUMMARY: Notice is hereby given in Washington, DC (East Potomac Park). accordance with the Federal Advisory Notice of Public Meeting and Request Persons who would like to comment at Committee Act (Pub. L. 92–463, 86 Stat. for Comments the meeting should notify the National 770, 5 U.S.C. App 1, Section 10) of a Park Service by November 7, 2011, by meeting of the Cape Cod National AGENCY: National Park Service, Interior. Seashore Advisory Commission. ACTION: Notice/Request for Public calling the White House Visitor Center DATES: The meeting of the Cape Cod Meeting and Public Comments—The weekdays between 9 a.m., and 4 p.m., National Seashore Advisory National Christmas Tree Lighting and at (202) 208–1631. In addition public comments and Commission will be held on November the subsequent 31 day event. suggestions on the planning of the 2011 14, 2011, at 1 pm.

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ADDRESSES: The Commission members Dated: October 19, 2011. or fax, forward a check in that amount will meet in the meeting room at George E. Price, Jr., to the Consent Decree Library at the Headquarters, 99 Marconi Station, Superintendent. stated address. Wellfleet, Massachusetts. [FR Doc. 2011–27595 Filed 10–24–11; 8:45 am] Robert E. Maher, Jr., SUPPLEMENTARY INFORMATION: The BILLING CODE 4310–WV–P Assistant Section Chief, Environmental Commission was reestablished pursuant Enforcement Section, Environment and to Public Law 87–126 as amended by Natural Resources Division. Public Law 105–280. The purpose of the DEPARTMENT OF JUSTICE [FR Doc. 2011–27490 Filed 10–24–11; 8:45 am] Commission is to consult with the BILLING CODE 4410–15–P Secretary of the Interior, or his designee, Notice of Lodging of Consent Decree with respect to matters relating to the Under the Comprehensive development of Cape Cod National Environmental Response, DEPARTMENT OF JUSTICE Seashore, and with respect to carrying Compensation, and Liability Act out the provisions of sections 4 and 5 (CERCLA) Notice of Lodging of Consent Decree Under the Clean Air Act of the Act establishing the Seashore. Notice is hereby given that on October The regular business meeting is being 18, 2011, a proposed complaint was Under 28 CFR 50.7, notice is hereby held to discuss the following: filed and a proposed Consent Decree given that on October 17, 2011, a 1. Adoption of Agenda. lodged in the case of United States and proposed consent decree with defendant 2. Approval of Minutes of Previous the State of Missouri v. Blue Tee Corp., Boehringer Ingelheim Vetmedica, Inc. Meeting (September 12, 2011). Civil Action No. 11–cv–03408–SWH, in (BIV), was lodged in the civil action 3. Reports of Officers. the United States District Court for the United States v. Boehringer Ingelheim 4. Reports of Subcommittees. Western District of Missouri. 5. Superintendent’s Report: Vetmedica, Inc., No. 11–cv–06100– The United States and the State filed SOW, in the United States District Court Update on Dune Shacks; a complaint alleging that Blue Tee Corp. for the Western District of Missouri. Improved Properties/Town Bylaws; is liable pursuant to Section 107(a) of In this action the United States is Herring River Wetland Restoration; CERCLA in connection with Operable seeking civil penalties pursuant to Wind Turbines/Cell Towers; Unit 01 of the Newton County Mine Sections 113(b) and 608(c) of the Clean Flexible Shorebird Management; Tailings Superfund Site in Missouri. Air Act (CAA), 42 U.S.C. 7413(b) & Highlands Center Update; EPA issued a Record of Decision in June 7671g(c), against BIV for violations that Alternate Transportation funding; 2010 selecting a remedy to address occurred at BIV’s St. Joseph, Missouri, Ocean stewardship topics—shoreline contamination from mine waste at the facility. The United States alleges in its change; Site. The proposed Consent Decree complaint that the defendant failed to 50th Anniversary; requires Blue Tee Corp. to pay $3 comply with regulations issued North Beach Cottages, Chatham. million to EPA and $32,532 to the State pursuant to Section 608 of the CAA, at 6. Old Business. of Missouri within thirty (30) days of 40 CFR part 82, Subpart F, that address 7. New Business. the effective date of the Decree. the venting and release of Class I and 8. Date and agenda for next meeting. For thirty (30) days after the date of Class II refrigerants into the 9. Public comment and; this publication, the Department of environment. The proposed consent 10. Adjournment. Justice will receive comments relating to decree will resolve the United States’ The meeting is open to the public. It the Consent Decree. Comments should claims against the defendant under is expected that 15 persons will be able be addressed to the Assistant Attorney Section 608(c) of the CAA, 42 U.S.C. to attend the General, Environment and Natural 7671g(c). Under the terms of the meeting in addition to Commission Resources Division, and either e-mailed proposed consent decree, defendant BIV members. to [email protected] or will make a cash payment of $300,000 Interested persons may make oral/ mailed to P.O. Box 7611, U.S. to the United States and perform a written presentations to the Commission Department of Justice, Washington, DC Supplemental Environmental Project during the business meeting or file 20044–7611. In either case, the that will cost approximately $662,000. written statements. Such requests comments should refer to United States The Supplemental Environmental should be made to the park and the State of Missouri v. Blue Tee Project will be the decommissioning of superintendent prior to the meeting. Corp., D.J. Ref. No. 90–11–2–07088/2. equipment at a BIV facility in Fort Before including your address, phone During the comment period, the Dodge, Iowa, that contains number, e-mail address, or other Consent Decree may be examined on the chlorofluorocarbons (CFCs) and personal identifying information in your following Department of Justice Web replacement with equipment that does comment, you should be aware that site: http://www.usdoj.gov/enrd/ not contain CFCs. your entire comment—including your Consent_Decrees.html. A copy of the For thirty (30) days after the date of personal identifying information—may Consent Decree may also be obtained by this publication, the Department of be made publicly available at any time. mail from the Consent Decree Library, Justice will receive comments relating to While you can ask us in your comment P.O. Box 7611, U.S. Department of the Consent Decree. Comments should to withhold your personal identifying Justice, Washington, DC 20044–7611, or be addressed to the Assistant Attorney information from public review, we by faxing or e-mailing a request to Tonia General, Environment and Natural cannot guarantee that we will be able to Fleetwood ([email protected]), Resources Division, and either e-mailed do so. fax no. (202) 514–0097, phone to [email protected] or FOR FURTHER INFORMATION CONTACT: confirmation number (202) 514–1547. In mailed to Environmental Enforcement Further information concerning the requesting a copy from the Consent Section, U.S. Department of Justice, P.O. meeting may be obtained from the Decree Library, please enclose a check Box 7611, Washington, DC 20044–7611. Superintendent, Cape Cod National in the amount of $4.75 (25 cents per In either case, the comments should Seashore, 99 Marconi Site Road, page reproduction cost) payable to the refer to the proposed consent decree Wellfleet, MA 02667. United States Treasury or, if by e-mail with defendant BIV in United States v.

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Boehringer Ingelheim Vetmedica, Inc., process is conducted in accordance with primary purpose is to collect and D.J. Ref. 90–5–2–1–09876. 5 CFR 1320.10. disseminate data regarding the number The proposed consent decree may be Written comments concerning this of firearms produced by licensed examined at the office of the United information collection should be sent to manufacturers within one calendar year. States Attorney, 400 East Ninth Street, the Office of Information and Regulatory The information from the AFMER report Kansas City, Missouri 64106.During the Affairs, Office of Management and is used compile statistics on the comment period, the Consent Decree Budget, Attn: DOJ Desk Officer. The best manufacture and exportation of may be examined on the following way to ensure your comments are firearms. Department of Justice Web site: http:// received is to e-mail them to (5) An estimate of the total number of www.justice.gov/enrd/ [email protected] or fax respondents and the amount of time Consent_Decrees.html. A paper copy of them to 202–395–7285. All comments estimated for an average respondent to the Consent Decree may be obtained by should reference the 8 digit OMB respond: There will be an estimated mail from the Consent Decree Library, number for the collection or the title of 4,300 respondents, who will complete P.O. Box 7611, U.S. Department of the collection. If you have questions the form within approximately 20 Justice, Washington, DC 20044–7611, or concerning the collection, please call minutes. by faxing or e-mailing a request to Tonia Thomas DiDomenico, 304–616–4548 or (6) An estimate of the total burden (in Fleetwood ([email protected]), the DOJ Desk Officer at 202–395–3176. hours) associated with the collection: fax no. (202) 514–0097, phone Written comments and suggestions There are an estimated 1,433 total confirmation number (202) 514–1547. In from the public and affected agencies burden hours associated with this requesting a paper copy by mail, please concerning the proposed collection of collection. enclose a check in the amount of $10.00 information are encouraged. Your If additional information is required (25 cents per page reproduction costs), comments should address one or more contact: Jerri Murray, Department payable to the U.S. Treasury. When of the following four points: Clearance Officer, United States requesting a paper copy if by e-mail or —Evaluate whether the proposed Department of Justice, Policy and fax, please forward a check in that collection of information is necessary Planning Staff, Justice Management amount to the Consent Decree Library at for the proper performance of the Division, Two Constitution Square, 145 the stated address. functions of the agency, including N Street NE., Room 2E–508, whether the information will have Washington, DC 20530. Robert E. Maher, Jr., practical utility; Assistant Section Chief, Environmental —Evaluate the accuracy of the agencies Jerri Murray, Enforcement Section, Environment and estimate of the burden of the Department Clearance Officer, PRA, United Natural Resources Division. proposed collection of information, States Department of Justice. [FR Doc. 2011–27489 Filed 10–24–11; 8:45 am] including the validity of the [FR Doc. 2011–27494 Filed 10–24–11; 8:45 am] BILLING CODE 4410–15–P methodology and assumptions used; BILLING CODE 4410–FY–P —Enhance the quality, utility, and clarity of the information to be DEPARTMENT OF JUSTICE collected; and DEPARTMENT OF JUSTICE —Minimize the burden of the collection Bureau of Alcohol, Tobacco, Firearms, Drug Enforcement Administration and Explosives of information on those who are to respond, including through the use of [OMB Number 1117–0047] [OMB Number 1140–0017] appropriate automated, electronic, mechanical, or other technological Agency Information Collection Agency Information Collection collection techniques or other forms Activities; Proposed Collection, Activities; Proposed Collection, of information technology, e.g., Comments Requested: Application for Comments Requested: Annual permitting electronic submission of Import Quota for Ephedrine, Firearms Manufacturing and responses. Pseudoephedrine, and Exportation Report Phenylpropanolamine; DEA Form 488 Summary of Collection ACTION: 30-Day notice. (1) Type of Information Collection: ACTION: 60-Day Notice of Information Revision of a currently approved Collection Under Review. The Department of Justice (DOJ), collection. Bureau of Alcohol, Tobacco, Firearms, (2) Title of the Form/Collection: The Department of Justice (DOJ), Drug and Explosives (ATF) will be submitting Annual Firearms Manufacturing and Enforcement Administration (DEA), will the following information collection Exportation Report. be submitting the following information request to the Office of Management and (3) Agency form number, if any, and collection request to the Office of Budget (OMB) for review and approval the applicable component of the Management and Budget (OMB) for in accordance with the Paperwork Department of Justice sponsoring the review and approval in accordance with Reduction Act of 1995. The proposed collection: Form Number: ATF F the Paperwork Reduction Act of 1995. information collection is published to 5300.11. Bureau of Alcohol, Tobacco, The proposed information collection is obtain comments from the public and Firearms, and Explosives. published to obtain comments from the affected agencies. This proposed (4) Affected public who will be asked public and affected agencies. Comments information collection was previously or required to respond, as well as a brief are encouraged and will be accepted published in the Federal Register abstract: Primary: Business or other for- until December 27, 2011. This process is Volume 76, Number 158, page 50758, on profit. Other: Federal Government, conducted in accordance with 5 CFR August 16, 2011, allowing for a 60 day State, local, or Tribal government. 1320.10. comment period. Written comments concerning this The purpose of this notice is to allow Need for Collection information collection should be sent to for an additional 30 days for public The Annual Firearms Manufacturing the Office of Information and Regulatory comment until November 25, 2011. This and Exportation Report (AFMER) Affairs, Office of Management and

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Budget, Attn: DOJ Desk Officer. The best desire to import the List I chemicals information collection instrument with way to ensure your comments are ephedrine, pseudoephedrine, and instructions or additional information, received is to e-mail them to phenylpropanolamine during the next please contact John W. Partridge, Chief, [email protected] or fax calendar year shall apply on DEA Form Liaison and Policy Section, Office of them to 202–395–7285. All comments 488 for import quota for such List I Diversion Control, Drug Enforcement should reference the 8 digit OMB chemicals. Administration, 8701 Morrissette Drive, number for the collection or the title of (5) An estimate of the total number of Springfield, VA 22152; (202) 307–7297. the collection. If you have questions respondents and the amount of time Written comments and suggestions concerning the collection, please call estimated for an average respondent to from the public and affected agencies John W. Partridge, Chief, Liaison and respond: It is estimated that 22 persons concerning the proposed collection of Policy Section, Office of Diversion complete 52 DEA Forms 488 annually information are encouraged. Your Control, Drug Enforcement for this collection at 1 hour per form, for comments should address one or more Administration, 8701 Morrissette Drive, an annual burden of 52 hours. of the following four points: Springfield, VA 22152; (202) 307–7297 Respondents complete a separate DEA • Evaluate whether the proposed or the DOJ Desk Officer at 202–395– Form 488 for each List I chemical for collection of information is necessary 3176. which quota is sought. for the proper performance of the Written comments and suggestions (6) An estimate of the total public functions of the agency, including from the public and affected agencies burden (in hours) associated with the whether the information will have concerning the proposed collection of collection: It is estimated that there are practical utility; information are encouraged. Your 52 annual burden hours associated with • Evaluate the accuracy of the comments should address one or more this collection. agencies estimate of the burden of the of the following four points: If additional information is required proposed collection of information, • Evaluate whether the proposed contact: Jerri Murray, Department including the validity of the collection of information is necessary Clearance Officer, Policy and Planning methodology and assumptions used; for the proper performance of the Staff, Justice Management Division, • Enhance the quality, utility, and functions of the agency, including Department of Justice, Two Constitution clarity of the information to be whether the information will have Square, 145 N Street, NE., Suite 2E–508, collected; and • practical utility; Washington, DC 20530. Minimize the burden of the • Evaluate the accuracy of the collection of information on those who agencies estimate of the burden of the Jerri Murray, are to respond, including through the proposed collection of information, Department Clearance Officer, PRA, U.S. use of appropriate automated, including the validity of the Department of Justice. electronic, mechanical, or other methodology and assumptions used; [FR Doc. 2011–27493 Filed 10–24–11; 8:45 am] technological collection techniques or • Enhance the quality, utility, and BILLING CODE 4410–09–P other forms of information technology, clarity of the information to be e.g., permitting electronic submission of collected; and responses. • Minimize the burden of the DEPARTMENT OF JUSTICE collection of information on those who Overview of information collection are to respond, including through the Drug Enforcement Administration 1117–0015 use of appropriate automated, [OMB Number 1117–0015] (1) Type of Information Collection: electronic, mechanical, or other Extension of a currently approved technological collection techniques or Agency Information Collection collection. other forms of information technology, Activities; Proposed Collection, (2) Title of the Form/Collection: e.g., permitting electronic submission of Comments Requested: Application for Application for Registration and responses. Registration and Application for Application for Registration Renewal. Overview of information collection Registration Renewal DEA Forms 363 (3) Agency form number, if any, and 1117–0047: and 363a the applicable component of the (1) Type of Information Collection: Department of Justice sponsoring the Extension of a currently approved ACTION: 60-Day Notice of Information collection: collection. Collection Under Review. Form Number: DEA forms 363 and (2) Title of the Form/Collection: 363a. Application for Import Quota for The Department of Justice (DOJ), Drug Component: Office of Diversion Ephedrine, Pseudoephedrine, and Enforcement Administration (DEA), will Control, Drug Enforcement Phenylpropanolamine. be submitting the following information Administration, Department of Justice. (3) Agency form number, if any, and collection request to the Office of (4) Affected public who will be asked the applicable component of the Management and Budget (OMB) for or required to respond, as well as a brief Department of Justice sponsoring the review and approval in accordance with abstract: collection: the Paperwork Reduction Act of 1995. Primary: Business or other for-profit. Form Number: DEA Form 488. The proposed information collection is Other: Not-for-profit institutions; Component: Office of Diversion published to obtain comments from the State, local, and tribal governments. Control, Drug Enforcement public and affected agencies. Comments Abstract: Narcotic treatment programs Administration, Department of Justice. are encouraged and will be accepted that dispense narcotic drugs to (4) Affected public who will be asked until December 27, 2011. This process is individuals for maintenance or or required to respond, as well as a brief conducted in accordance with 5 CFR detoxification treatment must register abstract: 1320.10. annually with DEA. Registration is Primary: Business or other for-profit. If you have comments, especially on needed for control measures and helps Other: None. the estimated public burden or to prevent diversion by ensuring a Abstract: Title 21 U.S.C. 952 and 21 associated response time, suggestions, closed system of distribution of CFR 1315.34 require that persons who or need a copy of the proposed controlled substances.

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(5) An estimate of the total number of respond: DEA–363 is submitted on an submitted on an annual basis thereafter respondents and the amount of time as-needed basis by persons seeking to to renew existing registrations. estimated for an average respondent to become registered; DEA–363a is

Number of annual respondents Average time per response Total annual hours

DEA–363 (paper) ...... 24 0.5 hours (30 minutes) ...... 12 DEA–363 (electronic) ...... 80 0.13 hours (8 minutes) ...... 10 .66 DEA–363a (paper) ...... 179 0.5 hours (30 minutes) ...... 89 .5 DEA–363a (electronic) ...... 1,201 0.13 hours (8 minutes) ...... 160.13

Total ...... 1,484 ...... 272.29

(6) An estimate of the total public comment until November 25, 2011. This previously approved collection for burden (in hours) associated with the process is conducted in accordance with which approval has expired. collection: It is estimated that there are 5 CFR 1320.10. (2) Title of the Form/Collection: 273 annual burden hours associated Written comments concerning this Identity Theft Supplement (ITS) to the with this collection. information collection should be sent to National Crime Victimization Survey. If additional information is required the Office of Information and Regulatory (3) Agency form number, if any, and contact: Jerri Murray, Department Affairs, Office of Management and the applicable component of the Clearance Officer, Policy and Planning Budget, Attn: DOJ Desk Officer. The best department sponsoring the collection: Staff, Justice Management Division, way to ensure your comments are ITS–1. Bureau of Justice Statistics, Department of Justice, Two Constitution received is to e-mail them to Office of Justice Programs, Department Square, 145 N Street, NE., Suite 2E–508, [email protected] or fax of Justice. Washington, DC 20530. them to 202–395–7285. All comments (4) Affected public who will be asked should reference the 8 digit OMB or required to respond, as well as a brief Jerri Murray, number for the collection or the title of abstract. Primary: Persons 16 years or Department Clearance Officer, PRA, U.S. the collection. If you have questions older in NCVS sampled households in Department of Justice. concerning the collection, please the United States. The Identity Theft [FR Doc. 2011–27516 Filed 10–24–11; 8:45 am] contact Lynn Langton, Statistician, Supplement (ITS) to the National Crime BILLING CODE 4410–09–P Bureau of Justice Statistics, Office of Victimization Survey collects, analyzes, Justice Program, Department of Justice, publishes, and disseminates statistics on 810 7th Street, NW., Washington, DC the prevalence, economic cost, and DEPARTMENT OF JUSTICE 20530 or facsimile (202) 307–1463, or consequences of identity theft on victims. Office of Justice Programs the DOJ Desk Officer at 202–395–3176. Written comments and suggestions (5) An estimate of the total number of [OMB Number 1121–0317] from the public and affected agencies respondents and the amount of time concerning the proposed collection of estimated for an average respondent to Agency Information Collection information are encouraged. Your respond/reply: Approximately 79,400 Activities; Proposed Collection, comments should address one or more persons 16 years of age or older will complete an ITS interview. The majority Comments Requested: Reinstatement, of the following four points: With Change, of a Previously of respondents, approximately 75,500 —Evaluate whether the proposed Approved Collection for Which will be administered only the screening collection of information is necessary Approval Has Expired, Identity Theft portion of the ITS which is designed to for the proper performance of the Supplement (ITS) to the National Crime filter out those people who have not functions of the agency, including Victimization Survey (NCVS) been victims of identity theft during the whether the information will have past year and therefore are not eligible ACTION: 30-day Notice of Information practical utility; to continue with the remainder of the Collection Under Review. —Evaluate the accuracy of the agencies supplement questions. We estimate the estimate of the burden of the average length of the ITS interview for The Department of Justice (DOJ), proposed collection of information, these individuals will be 0.08 hours Office of Justice Programs, Bureau of including the validity of the (five minutes). Based on findings from Justice Statistics will be submitting the methodology and assumptions used; the 2008 ITS, we estimate that following information collection request —Enhance the quality, utility, and approximately 5% of respondents will to the Office of Management and Budget clarity of the information to be have experienced at least one incident (OMB) for review and approval in collected; and of identity theft during the prior year. accordance with the Paperwork —Minimize the burden of the collection For these victims, we estimate each Reduction Act of 1995. The proposed of information on those who are to interview will take 0.25 hours (15 information collection is published to respond, including through the use of minutes) to complete. obtain comments from the public and appropriate automated, electronic, (6) An estimate of the total public affected agencies. This proposed mechanical, or other technological burden (in hours) associated with the information collection was previously collection techniques or other forms collection: The total respondent burden published in the Federal Register of information technology, e.g., is approximately 7,029 hours. Volume 76, Number 158, pages 50758– permitting electronic submission of If additional information is required, 50759 on August, 15, 2011, allowing for responses. contact: Mrs. Jerri Murray, Department a 60 day comment period. Overview of this information: Clearance Officer, United States The purpose of this notice is to allow (1) Type of information collection: Department of Justice, Justice for an additional 30 days for public Reinstatement, with change, of a Management Division, Policy and

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Planning Staff, Two Constitution directs Federal agencies to put in place be raised or addressed. The questions Square, 145 N Street, NE., Suite 2E–508, procedures and take actions to make were developed with the intent to probe Washington, DC 20530. achieving environmental justice part of a range of areas. their basic mission. Former President When addressing these questions, the Jerri Murray, Clinton explained that Federal agencies Department of Labor requests that Department Clearance Officer, PRA, United have the responsibility to promote commenters identify with specificity the States Department of Justice. nondiscrimination in Federal programs program, policy, regulation or reporting [FR Doc. 2011–27495 Filed 10–24–11; 8:45 am] substantially affecting human health requirement at issue, providing legal BILLING CODE 4410–18–P and the environment. Accordingly, citation(s) where available. The agencies must implement actions to Department also requests that identify and address disproportionately submitters provide, in as much detail as DEPARTMENT OF LABOR high and adverse human health or possible, an explanation of why a environmental effects of their programs, program, policy, regulation or reporting Request for Comments Under policies, and activities on minority and requirement should be modified, Executive Order 12898 low-income populations and federally- streamlined, expanded, or repealed as AGENCY: Office of the Assistant recognized Indian tribes. The well as specific suggestions of ways the Secretary of Policy, Labor. Department views Environmental Department of Labor can better achieve ACTION: Notice. Justice from a workplace training, health environmental justice. Whenever and safety perspective. The Department possible, please provide empirical SUMMARY: The Department of Labor is developing an Environmental Justice evidence and data to support your (DOL or Department) is committed to Strategy that is in line with the mission response. Environmental Justice (EJ). President of the Department and Secretary Solis’ The Department of Labor is issuing Obama has renewed agencies’ vision for the future: good jobs for this request solely to seek useful environmental justice planning by everyone. The vision of good jobs for information as it develops its plan. reinvigorating Executive Order 12898 everyone includes ensuring that While responses to this request do not (EO 12898), which tasked several workplaces are safe and healthy; bind the Department of Labor to any Federal agencies with making helping workers who are in low-wage further actions related to the response, environmental justice part of their jobs or out of the labor market find a all submissions will be made available mission. The agencies were directed to path into middle-class jobs; and helping to the public on http:// do so by identifying and addressing, as middle-class families remain in the dolenvironmentaljustice.ideascale.com/. appropriate, the disproportionately high middle-class. The Department’s Environmental Justice Strategy focuses Authority: Executive Order 12898, and adverse human health or ‘‘Federal Actions to Address Environmental environmental effects of their programs, on agencies directly involved with Justice in Minority Populations and Low- policies, and activities on minority and worker training (the Employment Income Populations,’’ February 11, 1994. 59 low-income populations. In August Training Administration (ETA)), and FR 7629 (Feb. 16, 1994). health and safety issues (the 2011, agencies listed in EO 12898 Dated: October 12, 2011. signed a Memorandum of Occupational Safety and Health William E. Spriggs, Understanding (EJ MOU), which, among Administration (OSHA) and the Mine other things, commits agencies to Safety and Health Administration Assistant Secretary for Policy. develop a final Environmental Justice (MSHA)). [FR Doc. 2011–27505 Filed 10–24–11; 8:45 am] Strategy. The purpose of this notice is Request for Comments: As part of our BILLING CODE P to invite public comment on how the development of the DOL Environmental Department of Labor can address Justice Strategy, we are soliciting public environmental justice through its comment. Your input is important to us. DEPARTMENT OF LABOR Please provide responses that are programs, policies, regulations or Occupational Safety and Health reporting requirements. supported with specific examples and data, where possible. Administration DATES: Comments must be received on This request for public input will or before November 18, 2011. [Docket No. OSHA–2010–0057] inform development of the Department ADDRESSES: You may submit comments of Labor’s draft Environmental Justice through http:// Telecommunications; Extension of the Strategy. To facilitate receipt of the Office of Management and Budget’s dolenvironmentaljustice.ideascale.com/. information, the Department has created All comments will be available for (OMB) Approval of Information an Internet portal specifically designed Collection (Paperwork) Requirements public inspection at http:// to capture your input and suggestions, dolenvironmentaljustice.ideascale.com/. http:// AGENCY: Occupational Safety and Health FOR FURTHER INFORMATION CONTACT: E. dolenvironmentaljustice.ideascale.com/. Administration (OSHA), Labor. Christi Cunningham, Associate The portal contains a series of questions ACTION: Request for public comments. Assistant Secretary for Regulatory designed to gather information on how Policy, U.S. Department of Labor, 200 DOL can best meet the requirements of SUMMARY: OSHA solicits public Constitution Avenue, NW., Room S– the Executive Order. The portal is open comments concerning its proposal to 2312, Washington, DC 20210, to receive comments through November extend the Office of Management and [email protected], (202) 693– 18, 2011. Budget’s (OMB) approval of the 5959; (this is not a toll-free number). Questions for the Public: The information collection requirement Individuals with hearing impairments Department of Labor intends the contained in the Standard on may call 1–800–877–8339 (TTY/TDD). questions on the portal to represent a Telecommunications (29 CFR 1910.268). SUPPLEMENTARY INFORMATION: Executive starting point for discussion of the draft The purpose of this requirement is to Order 12898 did not create a new legal Strategic Plan. The questions are meant ensure that workers have been trained remedy. As an internal management tool to initiate public dialogue, and are not as required by the Standard to prevent of the Executive Branch, the Order intended to restrict the issues that may risk of death or serious injury.

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DATES: Comments must be submitted SUPPLEMENTARY INFORMATION: including the validity of the (postmarked, sent, or received) by methodology and assumptions used; I. Background December 27, 2011. • The quality, utility, and clarity of ADDRESSES: The Department of Labor, as part of its the information collected; and • Electronically: You may submit continuing effort to reduce paperwork Ways to minimize the burden on comments and attachments and respondent (i.e., employer) burden, employers who must comply; for electronically at http:// conducts a preclearance consultation example, by using automated or other www.regulations.gov, which is the program to provide the public with an technological information collection Federal eRulemaking Portal. Follow the opportunity to comment on proposed and transmission techniques. instructions online for submitting and continuing information collection III. Proposed Actions comments. requirements in accordance with the Facsimile: If your comments, Paperwork Reduction Act of 1995 (44 OSHA is requesting that OMB extend including attachments, are not longer U.S.C. 3506(c)(2)(A)). This program its approval of the information than 10 pages, you may fax them to the ensures that information is in the collection requirement contained in the OSHA Docket Office at (202) 693–1648. desired format, reporting burden (time Standard on Telecommunications (29 Mail, hand delivery, express mail, and costs) is minimal, collection CFR 1910.268). In the existing ICR, the messenger, or courier service: When instruments are clearly understood, and Agency calculated burden hours and using this method, you must submit OSHA’s estimate of the information cost for the training certification record your comments and attachments to the collection burden is accurate. The for all workers in the OSHA Docket Office, Docket No. Occupational Safety and Health Act of telecommunications industry. The OSHA–2010–0057, U.S. Department of 1970 (the OSH Act) (29 U.S.C. 651 et burden hours have decreased based on Labor, Occupational Safety and Health seq.) authorizes information collection the number of telecommunication Administration, Room N–2625, 200 by employers as necessary or workers installing and repairing lines Constitution Avenue, NW., Washington, appropriate for enforcement of the OSH and equipment. Therefore, OSHA is DC 20210. Deliveries (hand, express Act or for developing information proposing to decrease the existing mail, messenger, and courier service) regarding the causes and prevention of burden hour estimate for the collection are accepted during the Department of occupational injuries, illnesses, and of information requirement specified by Labor’s and Docket Office’s normal accidents (29 U.S.C. 657). The OSH Act the Standard from 1,087 hours to 1,077 business hours, 8:15 a.m. to 4:45 p.m., also requires that OSHA obtain such hours, a total difference of 10 hours. The e.t. information with minimum burden Agency will summarize the comments Instructions: All submissions must upon employers, especially those submitted in response to this notice and include the Agency name and OSHA operating small businesses, and to will include this summary in the docket number for the Information reduce to the maximum extent feasible request to OMB. Collection Request (ICR) (OSHA–2010– unnecessary duplication of efforts in Type of Review: Extension of a 0057). All comments, including any obtaining information (29 U.S.C. 657). currently approved collection. personal information you provide, are Under the paperwork requirement Title: Telecommunications (29 CFR placed in the public docket without specified by paragraph (c) of the 1910.268). OMB Number: 1218–0225. change and may be made available Standard, an employer must certify that Affected Public: Business or other for- online at http://www.regulations.gov. his or her workers have been trained as profits; Not-for-profit organizations; For further information on submitting specified by the training provision of Federal Government; State, Local, or comments see the ‘‘Public the Standard. Specifically, employers Tribal Government. Participation’’ heading in the section of must prepare a certification record Number of Respondents: 659. this notice titled SUPPLEMENTARY which includes the identity of the Frequency of Response: On occasion. INFORMATION. person trained, the signature of the Average Time per Response: Two (2) Docket: To read or download employer or the person who conducted minutes for an establishment to disclose comments or other material in the the training, and the date the training training records and 2 minutes for the docket, go to http://www.regulations.gov was completed. The certification record training record to be generated. or the OSHA Docket Office at the shall be prepared at the completion of Estimated Total Burden Hours: 1,077. address above. All documents in the training and shall be maintained on file Estimated Cost (Operation and docket (including this Federal Register for the duration of the employee’s Maintenance): $0. notice) are listed in the http:// employment. The information collected www.regulations.gov index; however, would be used by employers as well as IV. Public Participation—Submission of some information (e.g., copyrighted compliance officers to determine Comments on This Notice and Internet material) is not publicly available to whether employees have been trained Access to Comments and Submissions read or download through the Web site. according to the requirements set forth You may submit comments in All submissions, including copyrighted in 29 CFR 1910.268(c). response to this document as follows: material, are available for inspection II. Special Issues for Comment (1) Electronically at http:// and copying at the OSHA Docket Office. www.regulations.gov, which is the You may also contact Theda Kenney at OSHA has a particular interest in Federal eRulemaking Portal; (2) by the address below to obtain a copy of comments on the following issues: facsimile (fax); or (3) by hard copy. All the ICR. • Whether the proposed information comments, attachments, and other FOR FURTHER INFORMATION CONTACT: collection requirements are necessary material must identify the Agency name Theda Kenney or Todd Owen, for the proper performance of the and the OSHA docket number for the Directorate of Standards and Guidance, Agency’s functions, including whether ICR (Docket No. OSHA–2010–0057). OSHA, U.S. Department of Labor, Room the information is useful; You may supplement electronic N–3609, 200 Constitution Avenue, NW., • The accuracy of OSHA’s estimate of submissions by uploading document Washington, DC 20210; telephone (202) the burden (time and costs) of the files electronically. If you wish to mail 693–2222. information collection requirements, additional materials in reference to an

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electronic or facsimile submission, you ACTION: Notice of permit modification have access to ADAMS or if there are must submit them to the OSHA Docket issued under the Antarctic Conservation problems in accessing the documents Office (see the section of this notice of 1978, Public Law 95–541. located in ADAMS, contact the NRC’s titled ADDRESSES). The additional PDR reference staff at 1–800–397–4209, materials must clearly identify your SUMMARY: The National Science 301–415–4737, or by e-mail to electronic comments by your name, Foundation (NSF) is required to publish [email protected]. The regulatory date, and the docket number, so the notice of permit modifications issued guide is available electronically under Agency can attach them to your under the Antarctic Conservation Act of ADAMS Accession Number comments. 1978. This is the required notice. ML112060028. The regulatory analysis Because of security procedures, the FOR FURTHER INFORMATION CONTACT: may be found in ADAMS under use of regular mail may cause a Nadene G. Kennedy, Permit Office, Accession Number ML112060032. significant delay in the receipt of Office of Polar Programs, Rm. 755, Regulatory guides are not comments. For information about National Science Foundation, 4201 copyrighted, and NRC approval is not security procedures concerning the Wilson Boulevard, Arlington, VA 22230. required to reproduce them. delivery of materials by hand, express SUPPLEMENTARY INFORMATION: On FOR FURTHER INFORMATION CONTACT: delivery, messenger, or courier service, September 19, 2011, the National Richard Jervey, Regulatory Guide please contact the OSHA Docket Office Science Foundation published a notice Development Branch, Division of at (202) 693–2350, (TTY (877) 889– in the Federal Register of a permit Engineering, Office of Nuclear 5627). application received. The permit was Regulatory Research, U.S. Nuclear Comments and submissions are issued on October 20, 2011 to: Regulatory Commission, Washington, posted without change at http:// Sam Feola Permit No. 2012–008. DC 20555–0001, telephone: 301–215– www.regulations.gov. Therefore, OSHA 7404; e-mail: [email protected]. Nadene G. Kennedy, cautions commenters about submitting SUPPLEMENTARY INFORMATION: personal information, such as social Permit Officer. security numbers and dates of birth. [FR Doc. 2011–27549 Filed 10–24–11; 8:45 am] I. Introduction Although all submissions are listed in BILLING CODE 7555–01–P The NRC is issuing a revision to an the http://www.regulations.gov index, existing guide in the NRC’s ‘‘Regulatory some information (e.g., copyrighted Guide’’ series. This series was material) is not publicly available to NUCLEAR REGULATORY developed to describe and make read or download through this Web site. COMMISSION available to the public information such All submissions, including copyrighted [NRC–2011–0245] as methods that are acceptable to the material, are available for inspection NRC staff for implementing specific and copying at the OSHA Docket Office. Access Authorization Program for parts of the agency’s regulations, Information on using the http:// Nuclear Power Plants techniques that the staff uses in www.regulations.gov Web site to submit evaluating specific problems or comments and access the docket is AGENCY: Nuclear Regulatory postulated accidents, and data that the available at the Web site’s ‘‘User Tips’’ Commission. staff needs in its review of applications link. Contact the OSHA Docket Office ACTION: Regulatory guide; issuance. for permits and licenses. for information about materials not The NRC typically seeks public available through the Web site, and for SUMMARY: The U.S. Nuclear Regulatory comment on a draft version of a assistance in using the Internet to locate Commission (NRC) is issuing a revision regulatory guide by announcing its docket submissions. to Regulatory Guide 5.66, ‘‘Access availability for comment in the Federal Authorization Program for Nuclear V. Authority and Signature Register. However, the NRC may Power Plants.’’ This guide describes a directly issue a final regulatory guide David Michaels, PhD, MPH, Assistant method that NRC staff considers without a draft version or public Secretary of Labor for Occupational acceptable to implement the comment period if the changes to the Safety and Health, directed the requirements related to an access regulatory guide are non-substantive, preparation of this notice. The authority authorization program. including changes to the Regulatory for this notice is the Paperwork ADDRESSES: You can access publicly Position section of the regulatory guide. Reduction Act of 1995 (44 U.S.C. 3506 available documents related to this Issuance of regulatory guides using this et seq.) and Secretary of Labor’s Order regulatory guide using the following direct final process reduces processing No. 4–2010 (75 FR 55355). methods: time and review costs. A regulatory Signed at Washington, DC, on October 20, • NRC’s Public Document Room guide revised using this process is 2011. (PDR): The public may examine and called an Administratively Changed David Michaels, have copied, for a fee, publicly available Guide (ACG). Assistant Secretary of Labor for Occupational documents at the NRC’s PDR, O1–F21, Revision 2 of RG 5.66 is being issued Safety and Health. One White Flint North, 11555 Rockville directly as a final regulatory guide [FR Doc. 2011–27538 Filed 10–24–11; 8:45 am] Pike, Rockville, Maryland 20852. because the changes between Revision 2 • BILLING CODE 4510–26–P NRC’s Agencywide Documents and Revision 1 are non-substantive. Access and Management System Regulatory Guide (RG) 5.66 was written (ADAMS): Publicly available documents to provide guidance to licensees for the created or received at the NRC are access authorization programs required NATIONAL SCIENCE FOUNDATION available online in the NRC Library at by Title 10 of the Code of Federal Notice of Permit Modification Issued http://www.nrc.gov/reading-rm/ Regulations (10 CFR), section 73.56, Under the Antarctic Conservation Act adams.html. From this page, the public ‘‘Personnel Access Authorization of 1978 can gain entry into ADAMS, which Requirements for Nuclear Power provides text and image files of the Plants,’’ and 10 CFR part 26, ‘‘Fitness AGENCY: National Science Foundation. NRC’s public documents. If you do not for Duty Programs.’’ The RG was

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previously updated to include enhanced comments are welcome for all • Mail comments to: Cindy Bladey, requirements that had been provided in regulatory guides at any time. The input Chief, Rules, Announcements, and orders to nuclear power plant license from the public and stakeholders will be Directives Branch (RADB), Office of holders following the terrorist attacks of considered in planning resources for the Administration, Mail Stop: TWB–05– September 11, 2001. The access further update and enhancement of the B01M, U.S. Nuclear Regulatory authorization program required by the regulatory guide series. You may submit Commission, Washington, DC 20555– rule consists of a background comments by contacting Richard Jervey, 0001. investigation with periodic Regulatory Guide Development Branch, • Fax comments to: RADB at 301– reinvestigations, a psychological Division of Engineering, Office of 492–3446. assessment with periodic reassessments Nuclear Regulatory Research, U.S. SUPPLEMENTARY INFORMATION: for enumerated critical personnel, a Nuclear Regulatory Commission, behavior observation program that Submitting Comments and Accessing Washington, DC 20555–0001, telephone: Information includes self-reporting requirements, 301–215–7404; e-mail: RegulatoryGuide and determinations of trustworthiness [email protected]. Comments submitted in writing or in and reliability for contractors who electronic form will be posted on the Dated at Rockville, Maryland, this 6th day NRC Web site and on the Federal support licensees in meeting these rule of October, 2011. requirements. In 10 CFR 73.56, the NRC rulemaking Web site, http:// For the Nuclear Regulatory Commission. requires that each applicant for an www.regulations.gov. Because your operating license under the provisions Thomas H. Boyce, comments will not be edited to remove of 10 CFR Part 50, ‘‘Domestic Licensing Chief, Regulatory Guide Development Branch, any identifying or contact information, of Production and Utilization Division of Engineering, Office of Nuclear the NRC cautions you against including Regulatory Research. Facilities,’’ and each holder of a any information in your submission that combined license under the provisions [FR Doc. 2011–27462 Filed 10–24–11; 8:45 am] you do not want to be publicly of 10 CFR part 52, ‘‘Licenses, BILLING CODE 7590–01–P disclosed. Certifications, and Approvals for The NRC requests that any party Nuclear Power Plants,’’ establish, soliciting or aggregating comments NUCLEAR REGULATORY maintain, and implement, in part, the received from other persons for requirements of 10 CFR 73.56 before COMMISSION submission to the NRC inform those fuel is allowed on site (in a protected [Docket Nos.: 50–280 and 50–281; NRC– persons that the NRC will not edit their area). These requirements have been 2011–0242] comments to remove any identifying or established to provide high assurance contact information, and therefore, they that individuals granted unescorted Facility Operating License Amendment should not include any information in access and those certified for unescorted From Virginia Electric and Power their comments that they do not want access authorization are trustworthy and Company, Surry Power Station, Units 1 publicly disclosed. reliable and do not constitute an and 2 You can access publicly available unreasonable risk to public health and documents related to this document AGENCY: Nuclear Regulatory using the following methods: safety or the common defense and Commission. • security, including the potential to NRC’s Public Document Room ACTION: commit radiological sabotage. License amendment; request for (PDR): The public may examine and Access authorization programs are comment and hearing, and Order. have copied, for a fee, publicly available similar between nuclear power plants as documents at the NRC’s PDR, Room O1– DATES: there is a large transient workforce Submit comments by November F21, One White Flint North, 11555 requiring access between different 25, 2011. A request for a hearing must Rockville Pike, Rockville, Maryland power plant sites. In a joint effort be filed by December 27, 2011. Any 20852. between the NRC and the Nuclear potential party as defined in Title 10 of NRC’s Agencywide Documents Access Energy Institute (NEI), a program was the Code of Federal Regulations (10 and Management System (ADAMS): developed to provide consistency CFR) 2.4 who believes access to Publicly available documents created or between plant sites. NEI 03–01, Sensitive Unclassified Non-Safeguards received at the NRC are available online ‘‘Nuclear Power Plant Access Information (SUNSI) is necessary to in the NRC Library at http:// Authorization Program,’’ Revision 3, respond to this notice must request www.nrc.gov/reading-rm/adams.html. was issued in May 2009 as a standard document access by November 4, 2011. From this page, the public can gain model for license holders. Revision 1 to ADDRESSES: Please include Docket ID entry into ADAMS, which provides text RG 5.66 endorsed NEI 03–01 as an NRC–2011–0242 in the subject line of and image files of the NRC’s public acceptable approach to meet the your comments. For additional documents. If you do not have access to requirements of 10 CFR 73.56 and 10 instructions on submitting comments ADAMS or if there are problems in CFR Part 26. However, NEI 03–01, as and instructions on accessing accessing the documents located in well as an attachment to Revision 1 of documents related to this action, see ADAMS, contact the NRC’s PDR RG 5.66, contain security-related ‘‘Submitting Comments and Accessing reference staff at 1–800–397–4209, 301– information in accordance with 10 CFR Information’’ in the SUPPLEMENTARY 415–4737, or by e-mail to 2.390(d)(1), and therefore are not INFORMATION section of this document. [email protected]. The application publicly available. Revision 2 of RG 5.66 You may submit comments by any one for amendment, dated July 28, 2011, is is being issued to provide information to of the following methods: available electronically under ADAMS the public regarding the NRC’s guidance • Federal Rulemaking Web Site: Go to Accession No. ML11215A058. An for meeting the requirements of 10 CFR http://www.regulations.gov and search attachment to the application, dated 73.56 and 10 CFR part 26. for documents filed under Docket ID July 28, 2011, contains SUNSI and, NRC–2011–0242. Address questions accordingly, this portion is being II. Further Information about NRC dockets to Carol Gallagher, withheld from public disclosure. A Although Revision 2 of RG 5.66 was telephone: 301–492–3668; e-mail: redacted version of the attachment to not issued for public comment, [email protected]. the application, dated July 28, 2011, is

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available electronically under ADAMS inspection/repair criteria and the steam distributed load on the tubesheet due to the Accession No. ML11215A059. generator inspection reporting criteria does reactor coolant system pressure on the • Federal Rulemaking Web Site: not have a detrimental impact on the underside of the tubesheet. The resulting Public comments and supporting integrity of any plant structure, system, or bending action constrains the tubes in the materials related to this notice can be component that initiates an analyzed event. tubesheet thereby restricting primary to The proposed change will not alter the secondary leakage. Primary to secondary found at http://www.regulations.gov by operation of, or otherwise increase the failure leakage from tube degradation in the searching on Docket ID NRC–2011– probability of any plant equipment that tubesheet area during the limiting accident 0242. initiates an analyzed accident. Of the (i.e., a SLB) is limited by flow restrictions. FOR FURTHER INFORMATION CONTACT: applicable accidents previously evaluated, These restrictions result from the crack and Karen Cotton, Project Manager, Plant the limiting transients with consideration to tube-to-tubesheet contact pressures that the proposed change to the steam generator provide a restricted leakage path above the Licensing Branch 2–I, Division of tube inspection and repair criteria are the indications and also limit the degree of Operating Reactor Licensing, Office of steam generator tube rupture (SGTR) event potential crack face opening as compared to Nuclear Reactor Regulation, U.S. and the steam line break (SLB) postulated free span indications. Nuclear Regulatory Commission, accidents. As shown in Table 9–7 of WCAP–17092– Washington, DC 20555–0001; telephone: During the SGTR event, the required P, for Surry for a postulated SLB, a leakage 301–415–1438, e-mail: structural integrity margins of the steam factor of 1.80 has been calculated. For the [email protected]. generator tubes and the tube-to-tubesheet condition monitoring assessment, the joint over the H* distance will be component of leakage from the prior cycle I. Introduction maintained. Tube rupture in tubes with from below the H* distance will be The U.S. Nuclear Regulatory cracks within the tubesheet is precluded by multiplied by a factor of 1.80 and added to the constraint provided by the tube-to- the total leakage from any other source and Commission (NRC or the Commission) tubesheet joint. This constraint results from compared to the allowable accident induced is considering issuance of an the hydraulic expansion process, thermal leakage limit. For the operational assessment, amendment to Facility Operating expansion mismatch between the tube and the difference in the leakage between the License Nos. DRP–32 and DRP–37 tubesheet, and from the differential pressure allowable leakage and the accident induced issued to Virginia Electric and Power between the primary and secondary side. leakage from sources other than the tubesheet Company (the licensee) for operation of Based on this design, the structural margins expansion region will be divided by 1.80 and the Surry Power Station, Units 1 and 2, against burst, as discussed in Regulatory compared to the observed operational located in Surry County, Virginia. Guide (RG) 1.121, ‘‘Bases for Plugging leakage. The accident induced primary to The proposed amendment would Degraded PWR [Pressurized-Water Reactor] secondary leak rate limit is 470 gpd (0.33 gpm) per SG. The TS operational primary to permanently revise Technical Steam Generator Tubes,’’ are maintained for both normal and postulated accident secondary leak rate limit of 150 gpd (0.1 Specification (TS) 6.4.Q, ‘‘Steam conditions. gpm) times 1.80 provides significant margin Generator (SG) Program,’’ to exclude The proposed change has no impact on the between accident leakage and allowable portions of the SG tube below the top structural or leakage integrity of the portion operational leakage. of the SG tubesheet from periodic of the tube outside of the tubesheet. The Therefore, the proposed change does not inspections. proposed change maintains structural involve a significant increase in the Before issuance of the proposed integrity of the steam generator tubes and probability or consequences of an accident license amendment, the Commission does not affect other systems, structures, previously evaluated. will have made findings required by the components, or operational features. (2) Does the change create the possibility Atomic Energy Act of 1954, as amended Therefore, the proposed change results in no of a new or different kind of accident from significant increase in the probability of the any accident previously evaluated? (the Act), and the Commission’s occurrence of a SGTR accident. Response: No. regulations. At normal operating pressures, leakage The proposed change that alters the steam The Commission has made a from primary water stress corrosion cracking generator inspection/repair criteria and the proposed determination that the below the proposed limited inspection depth steam generator inspection reporting criteria amendment request involves no is limited by both the tube-to-tubesheet does not introduce any new equipment, significant hazards consideration. Under crevice and the limited crack opening create new failure modes for existing the Commission’s regulations in 10 CFR permitted by the tubesheet constraint. equipment, or create any new limiting single 50.92, this means that operation of the Consequently, negligible normal operating failures. Plant operation will not be altered, facility in accordance with the proposed leakage is expected from cracks within the and all safety functions will continue to amendment would not (1) involve a tubesheet region. The consequences of an perform as previously assumed in accident SGTR event are affected by the primary to analyses. significant increase in the probability or secondary leakage flow during the event. Therefore, the proposed change does not consequences of an accident previously However, primary to secondary leakage flow create the possibility of a new or different evaluated; (2) create the possibility of a through a postulated broken tube is not kind of accident from any accident new or different kind of accident from affected by the proposed changes since the previously evaluated. any accident previously evaluated; or tubesheet enhances the tube integrity in the (3) Does the change involve a significant (3) involve a significant reduction in a region of the hydraulic expansion by reduction in a margin of safety? margin of safety. As required by 10 CFR precluding tube deformation beyond its Response: No. 50.91(a), the licensee has provided its initial hydraulically expanded outside The proposed change that alters the steam analysis of the issue of no significant diameter. generator inspection/repair criteria and the Therefore, the proposed changes do not steam generator inspection reporting criteria hazards consideration, which is result in a significant increase in the maintains the required structural margins of presented below: consequences of a SGTR. the steam generator tubes for both normal (1) Does the proposed change involve a The probability of a SLB is unaffected by and accident conditions. NEI 97–06, Revision significant increase in the probability or the potential failure of a steam generator tube 2, ‘‘Steam Generator Program Guidelines,’’ consequences of an accident previously as the failure of the tube is not an initiator and RG 1.121 are used as the bases in the evaluated? for a SLB event. The consequences of a steam development of the limited tubesheet Response: No. line break (SLB) are also not significantly inspection depth methodology for The previously analyzed accidents are affected by the proposed changes. During a determining that steam generator tube initiated by the failure of plant structures, SLB accident, the reduction in pressure integrity considerations are maintained systems, or components. The proposed above the tubesheet on the shell side of the within acceptable limits. RG 1.121 describes change that alters the steam generator steam generator creates an axially uniformly a method acceptable to the NRC for meeting

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GDC 14, ‘‘Reactor Coolant Pressure prior to the expiration of either the application. The petition must include a Boundary,’’ GDC 15, ‘‘Reactor Coolant comment period or the notice period, it concise statement of the alleged facts or System Design,’’ GDC 31, ‘‘Fracture will publish in the Federal Register a expert opinions which support the Prevention of Reactor Coolant Pressure notice of issuance. Should the position of the requestor/petitioner and Boundary,’’ and GDC 32, ‘‘Inspection of Reactor Coolant Pressure Boundary,’’ by Commission make a final No Significant on which the requestor/petitioner reducing the probability and consequences of Hazards Consideration Determination, intends to rely at the hearing, together a SGTR. RG 1.121 concludes that by any hearing will take place after with references to the specific sources determining the limiting safe conditions for issuance. The Commission expects that and documents on which the requestor/ tube wall degradation the probability and the need to take this action will occur petitioner intends to rely. Finally, the consequences of a SGTR are reduced. This very infrequently. petition must provide sufficient RG uses safety factors on loads for tube burst information to show that a genuine II. Opportunity to Request a Hearing; that are consistent with the requirements of dispute exists with the applicant on a Petitions for Leave To Intervene Section III of the American Society of material issue of law or fact, including Mechanical Engineers (ASME) Code. Requirements for hearing requests and references to specific portions of the For axially oriented cracking located petitions for leave to intervene are within the tubesheet, tube burst is precluded application for amendment that the due to the presence of the tubesheet. For found in 10 CFR 2.309, ‘‘Hearing requestor/petitioner disputes and the circumferentially oriented cracking, the H* requests, Petitions to intervene, supporting reasons for each dispute, or, analysis, documented in Section 4.0 of the Requirements for standing, and if the requestor/petitioner believes that license amendment request, defines a length Contentions.’’ Interested persons should the application for amendment fails to of degradation free expanded tubing that consult 10 CFR 2.309, which is available contain information on a relevant matter provides the necessary resistance to tube at the NRC’s PDR, Room O1–F21, One as required by law, the identification of pullout due to the pressure induced forces, White Flint North, 11555 Rockville each failure and the supporting reasons with applicable safety factors applied. Pike, Rockville, MD 20852. You may for the requestor’s/petitioner’s belief. Application of the limited hot and cold leg also call the PDR at 1–800–397–4209 or tubesheet inspection criteria will preclude Each contention must be one which, if unacceptable primary to secondary leakage 301–415–4737. The NRC regulations are proven, would entitle the requestor/ during all plant conditions. The methodology accessible electronically from the NRC petitioner to relief. for determining leakage provides for large Web site at http://www.nrc.gov. Those permitted to intervene become margins between calculated and actual Any person whose interest may be parties to the proceeding, subject to any leakage values in the proposed limited affected by this proceeding and who limitations in the order granting leave to tubesheet inspection depth criteria. wishes to participate as a party in the intervene, and have the opportunity to Therefore, the proposed change does not proceeding must file a written petition participate fully in the conduct of the involve a significant reduction in any margin for leave to intervene. As required by 10 hearing with respect to resolution of of safety. CFR 2.309, a petition for leave to that person’s admitted contentions, The NRC staff has reviewed the intervene shall set forth with including the opportunity to present licensee’s analysis and, based on this particularity the interest of the evidence and to submit a cross- review, it appears that the three requestor/petitioner in the proceeding examination plan for cross-examination standards of 10 CFR 50.92(c) are and how that interest may be affected by of witnesses, consistent with the NRC satisfied. the results of the proceeding. The regulations, policies, and procedures. Therefore, the NRC staff proposes to petition must provide the name, The Atomic Safety and Licensing Board determine that the amendment request address, and telephone number of the (the Licensing Board) will set the time involves no significant hazards requestor or petitioner and specifically and place for any prehearing consideration. explain the reasons why the conferences and evidentiary hearings, The Commission is seeking public intervention should be permitted with and the appropriate notices will be comments on this proposed particular reference to the following provided. determination. Any comments received factors: (1) The nature of the requestor’s/ Non-timely petitions for leave to by November 25, 2011 will be petitioner’s right under the Act to be intervene and contentions, amended considered in making any final made a party to the proceeding; (2) the petitions, and supplemental petitions determination. You may submit nature and extent of the requestor’s/ will not be entertained absent a comments using any of the methods petitioner’s property, financial, or other determination by the Commission, the discussed in the ADDRESSES Section of interest in the proceeding; and (3) the Licensing Board or a Presiding Officer this document. possible effect of any decision or order that the petition should be granted and/ Normally, the Commission will not which may be entered in the proceeding or the contentions should be admitted issue the amendment until the on the requestor’s/petitioner’s interest. based upon a balancing of the factors expiration of 60 days after the date of A petition for leave to intervene must specified in 10 CFR 2.309(c)(1)(i)–(viii). publication of this notice. The also include a specification of the A State, county, municipality, Commission may issue the license contentions that the petitioner seeks to Federally-recognized Indian tribe, or amendment before expiration of the 60- have litigated in the hearing. For each agencies thereof, may submit a petition day period provided that its final contention, the requestor/petitioner to the Commission to participate as a determination is that the amendment must provide a specific statement of the party under 10 CFR 2.309(d)(2). The involves no significant hazards issue of law or fact to be raised or petition should state the nature and consideration. In addition, the controverted, as well as a brief extent of the petitioner’s interest in the Commission may issue the amendment explanation of the basis for the proceeding. The petition should be prior to the expiration of the 30-day contention. Additionally, the requestor/ submitted to the Commission by comment period should circumstances petitioner must demonstrate that the December 27, 2011. The petition must change during the 30-day comment issue raised by each contention is be filed in accordance with the filing period such that failure to act in a within the scope of the proceeding and instructions in section IV of this timely way would result, for example, is material to the findings the NRC must document, and should meet the in derating or shutdown of the facility. make to support the granting of a license requirements for petitions for leave to Should the Commission take action amendment in response to the intervene set forth in this section,

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except that State and Federally- To comply with the procedural considered complete at the time the recognized Indian tribes do not need to requirements of E-Filing, at least 10 documents are submitted through the address the standing requirements in 10 days prior to the filing deadline, the NRC’s E-Filing system. To be timely, an CFR 2.309(d)(1) if the facility is located participant should contact the Office of electronic filing must be submitted to within its boundaries. The entities listed the Secretary by e-mail at the E-Filing system no later than 11:59 above could also seek to participate in [email protected], or by telephone p.m. Eastern Time on the due date. a hearing as a nonparty pursuant to 10 at 301–415–1677, to request (1) a digital Upon receipt of a transmission, the E- CFR 2.315(c). identification (ID) certificate, which Filing system time-stamps the document Any person who does not wish, or is allows the participant (or its counsel or and sends the submitter an e-mail notice not qualified, to become a party to this representative) to digitally sign confirming receipt of the document. The proceeding may request permission to documents and access the E-Submittal E-Filing system also distributes an e- make a limited appearance pursuant to server for any proceeding in which it is mail notice that provides access to the the provisions of 10 CFR 2.315(a). A participating; and (2) advise the document to the NRC’s Office of the person making a limited appearance Secretary that the participant will be General Counsel and any others who may make an oral or written statement submitting a request or petition for have advised the Office of the Secretary of position on the issues, but may not hearing (even in instances in which the that they wish to participate in the otherwise participate in the proceeding. participant, or its counsel or proceeding, so that the filer need not A limited appearance may be made at representative, already holds an NRC- serve the documents on those any session of the hearing or at any issued digital ID certificate). Based upon participants separately. Therefore, prehearing conference, subject to such this information, the Secretary will applicants and other participants (or limits and conditions as may be establish an electronic docket for the their counsel or representative) must imposed by the Licensing Board. hearing in this proceeding if the apply for and receive a digital ID Persons desiring to make a limited Secretary has not already established an certificate before a hearing request/ appearance are requested to inform the electronic docket. petition to intervene is filed so that they Secretary of the Commission by Information about applying for a can obtain access to the document via December 27, 2011. digital ID certificate is available on the the E-Filing system. NRC’s public Web site at http:// A person filing electronically using If a hearing is requested, the www.nrc.gov/site-help/e-submittals/ the agency’s adjudicatory E-Filing Commission will make a final apply-certificates.html. System system may seek assistance by determination on the issue of no requirements for accessing the E- contacting the NRC Meta System Help significant hazards consideration. The Submittal server are detailed in the Desk through the ‘‘Contact Us’’ link final determination will serve to decide NRC’s ‘‘Guidance for Electronic located on the NRC Web site at http:// when the hearing is held. If the final Submission,’’ which is available on the www.nrc.gov/site-help/e- determination is that the amendment agency’s public Web site at http:// submittals.html, by e-mail at request involves no significant hazards www.nrc.gov/site-help/e- [email protected], or by a toll- consideration, the Commission may submittals.html. Participants may free call at 1–866–672–7640. The NRC issue the amendment and make it attempt to use other software not listed Meta System Help Desk is available immediately effective, notwithstanding on the Web site, but should note that the between 8 a.m. and 8 p.m., Eastern the request for a hearing. Any hearing NRC’s E-Filing system does not support Time, Monday through Friday, held would take place after issuance of unlisted software, and the NRC Meta excluding government holidays. the amendment. If the final System Help Desk will not be able to Participants who believe that they determination is that the amendment offer assistance in using unlisted have a good cause for not submitting request involves a significant hazards software. documents electronically must file an consideration, then any hearing held If a participant is electronically exemption request, in accordance with would take place before the issuance of submitting a document to the NRC in 10 CFR 2.302(g), with their initial paper any amendment. accordance with the E-Filing rule, the filing requesting authorization to III. Electronic Submissions (E-Filing) participant must file the document continue to submit documents in paper using the NRC’s online, Web-based format. Such filings must be submitted All documents filed in the NRC submission form. In order to serve by: (1) First class mail addressed to the adjudicatory proceedings, including a documents through the Electronic Office of the Secretary of the request for hearing, a petition for leave Information Exchange System, users Commission, U.S. Nuclear Regulatory to intervene, any motion or other will be required to install a Web Commission, Washington, DC 20555– document filed in the proceeding prior browser plug-in from the NRC Web site. 0001, Attention: Rulemaking and to the submission of a request for Further information on the Web-based Adjudications Staff; or (2) courier, hearing or petition to intervene, and submission form, including the express mail, or expedited delivery documents filed by interested installation of the Web browser plug-in, service to the Office of the Secretary, governmental entities participating is available on the NRC’s public Web Sixteenth Floor, One White Flint North, under 10 CFR 2.315(c), must be filed in site at http://www.nrc.gov/site-help/e- 11555 Rockville Pike, Rockville, accordance with the NRC E-Filing rule submittals.html. Maryland, 20852, Attention: (72 FR 49139, August 28, 2007). The Once a participant has obtained a Rulemaking and Adjudications Staff. E-Filing process requires participants digital ID certificate and a docket has Participants filing a document in this to submit and serve all adjudicatory been created, the participant can then manner are responsible for serving the documents over the internet, or in some submit a request for hearing or petition document on all other participants. cases to mail copies on electronic for leave to intervene. Submissions Filing is considered complete by first- storage media. Participants may not should be in Portable Document Format class mail as of the time of deposit in submit paper copies of their filings (PDF) in accordance with the NRC the mail, or by courier, express mail, or unless they seek an exemption in guidance available on the NRC public expedited delivery service upon accordance with the procedures Web site at http://www.nrc.gov/site- depositing the document with the described below. help/e-submittals.html. A filing is provider of the service. A presiding

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officer, having granted an exemption C. The requestor shall submit a letter or Affidavit, or Protective Order 2 setting request from using E-Filing, may require requesting permission to access SUNSI forth terms and conditions to prevent a participant or party to use E-Filing if to the Office of the Secretary, U.S. the unauthorized or inadvertent the presiding officer subsequently Nuclear Regulatory Commission, disclosure of SUNSI by each individual determines that the reason for granting Washington, DC 20555–0001, Attention: who will be granted access to SUNSI. the exemption from use of E-Filing no Rulemakings and Adjudications Staff, F. Filing of Contentions. Any longer exists. and provide a copy to the Associate contentions in these proceedings that Documents submitted in adjudicatory General Counsel for Hearings, are based upon the information received proceedings will appear in the NRC’s Enforcement and Administration, Office as a result of the request made for electronic hearing docket which is of the General Counsel, Washington, DC SUNSI must be filed by the requestor no available to the public at http:// 20555–0001. The expedited delivery or later than 25 days after the requestor is ehd1.nrc.gov/EHD/, unless excluded courier mail address for both offices is: granted access to that information. pursuant to an order of the Commission, U.S. Nuclear Regulatory Commission, However, if more than 25 days remain or the presiding officer. Participants are 11555 Rockville Pike, Rockville, between the date the petitioner is requested not to include personal Maryland 20852. The e-mail address for granted access to the information and privacy information, such as social the Office of the Secretary and the the deadline for filing all other security numbers, home addresses, or Office of the General Counsel are contentions (as established in the notice home phone numbers in their filings, [email protected] and of hearing or opportunity for hearing), 1 unless an NRC regulation or other law [email protected], respectively. the petitioner may file its SUNSI requires submission of such The request must include the following contentions by that later deadline. information. With respect to information: copyrighted works, except for limited (1) A description of the licensing G. Review of Denials of Access. excerpts that serve the purpose of the action with a citation to this Federal (1) If the request for access to SUNSI adjudicatory filings and would Register notice; is denied by the NRC staff either after constitute a Fair Use application, (2) The name and address of the a determination on standing and need participants are requested not to include potential party and a description of the for access, or after a determination on copyrighted materials in their potential party’s particularized interest trustworthiness and reliability, the NRC submission. that could be harmed by the action staff shall immediately notify the Petitions for leave to intervene must identified in C.(1); and requestor in writing, briefly stating the be filed no later than 60 days from (3) The identity of the individual or reason or reasons for the denial. October 25, 2011. Non-timely filings entity requesting access to SUNSI and (2) The requestor may challenge the will not be entertained absent a the requestor’s basis for the need for the NRC staff’s adverse determination by determination by the presiding officer information in order to meaningfully filing a challenge within 5 days of that the petition or request should be participate in this adjudicatory receipt of that determination with: (a) granted or the contentions should be proceeding. In particular, the request The presiding officer designated in this admitted, based on a balancing of the must explain why publicly-available proceeding; (b) if no presiding officer factors specified in 10 CFR versions of the information requested has been appointed, the Chief 2.309(c)(1)(i)–(viii). would not be sufficient to provide the Administrative Judge, or if he or she is Attorney for licensee: Lillian M. basis and specificity for a proffered unavailable, another administrative Cuoco, Esq., Senior Counsel, Dominion contention. judge, or an administrative law judge Resource Services, Inc., 120 Tredegar D. Based on an evaluation of the with jurisdiction pursuant to 10 CFR Street; Richmond, VA 23219. information submitted under paragraph 2.318(a); or (c) if another officer has C.(3) the NRC staff will determine Order Imposing Procedures for Access been designated to rule on information within 10 days of receipt of the request to Sensitive Unclassified Non- access issues, with that officer. whether: H. Review of Grants of Access. A Safeguards Information for Contention (1) There is a reasonable basis to party other than the requestor may Preparation believe the petitioner is likely to challenge an NRC staff determination A. This Order contains instructions establish standing to participate in this granting access to SUNSI whose release regarding how potential parties to this NRC proceeding; and proceeding may request access to (2) The requestor has established a would harm that party’s interest documents containing Sensitive legitimate need for access to SUNSI. independent of the proceeding. Such a Unclassified Non-Safeguards E. If the NRC staff determines that the challenge must be filed with the Chief Information (SUNSI). requestor satisfies both D.(1) and D.(2) Administrative Judge within 5 days of B. Within 10 days after publication of above, the NRC staff will notify the the notification by the NRC staff of its this notice of hearing and opportunity to requestor in writing that access to grant of access. petition for leave to intervene, any SUNSI has been granted. The written If challenges to the NRC staff potential party who believes access to notification will contain instructions on determinations are filed, these SUNSI is necessary to respond to this how the requestor may obtain copies of procedures give way to the normal notice may request such access. A the requested documents, and any other process for litigating disputes ‘‘potential party’’ is any person who conditions that may apply to access to concerning access to information. The intends to participate as a party by those documents. These conditions may availability of interlocutory review by demonstrating standing and filing an include, but are not limited to, the the Commission of orders ruling on admissible contention under 10 CFR signing of a Non-Disclosure Agreement such NRC staff determinations (whether 2.309. Requests for access to SUNSI submitted later than 10 days after 1 While a request for hearing or petition to 2 Any motion for Protective Order or draft Non- publication will not be considered intervene in this proceeding must comply with the Disclosure Affidavit or Agreement for SUNSI must filing requirements of the NRC’s ‘‘E-Filing Rule,’’ be filed with the presiding officer or the Chief absent a showing of good cause for the the initial request to access SUNSI under these Administrative Judge if the presiding officer has not late filing, addressing why the request procedures should be submitted as described in this yet been designated, within 30 days of the deadline could not have been filed earlier. paragraph. for the receipt of the written access request.

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granting or denying access) is governed standing and who have propounded For the Nuclear Regulatory Commission. by 10 CFR 2.311.3 contentions meeting the specificity and Annette L. Vietti-Cook, I. The Commission expects that the basis requirements in 10 CFR Part 2. Secretary of the Commission. NRC staff and presiding officers (and Attachment 1 to this Order summarizes any other reviewing officers) will the general target schedule for Attachment 1—General Target consider and resolve requests for access processing and resolving requests under Schedule for Processing and Resolving to SUNSI, and motions for protective these procedures. Requests for Access to Sensitive orders, in a timely fashion in order to It is so ordered. Unclassified Non-Safeguards minimize any unnecessary delays in Dated at Rockville, Maryland, this 19th day Information in this Proceeding identifying those petitioners who have of October 2011.

Day Event/Activity

0 ...... Publication of FEDERAL REGISTER notice of hearing and opportunity to petition for leave to intervene, including order with instructions for access requests. 10 ...... Deadline for submitting requests for access to Sensitive Unclassified Non-Safeguards Information (SUNSI) with informa- tion: Supporting the standing of a potential party identified by name and address; describing the need for the informa- tion in order for the potential party to participate meaningfully in an adjudicatory proceeding. 60 ...... Deadline for submitting petition for intervention containing: (i) Demonstration of standing; (ii) all contentions whose formu- lation does not require access to SUNSI (+25 Answers to petition for intervention; +7 petitioner/requestor reply). 20 ...... The Nuclear Regulatory Commission (NRC) staff informs the requester of the staff’s determination whether the request for access provides a reasonable basis to believe standing can be established and shows need for SUNSI. (The NRC staff also informs any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information.) If the NRC staff makes the finding of need for SUNSI and likelihood of standing, the NRC staff be- gins document processing (preparation of redactions or review of redacted documents). 25 ...... If the NRC staff finds no ‘‘need’’ or no likelihood of standing, the deadline for petitioner/requester to file a motion seeking a ruling to reverse the NRC staff’s denial of access; the NRC staff files copy of access determination with the presiding officer (or Chief Administrative Judge or other designated officer, as appropriate). If the NRC staff finds ‘‘need’’ for SUNSI, the deadline for any party to the proceeding whose interest independent of the proceeding would be harmed by the release of the information to file a motion seeking a ruling to reverse the NRC staff’s grant of access. 30 ...... Deadline for the NRC staff reply to motions to reverse NRC staff determination(s). 40 ...... (Receipt +30) If the NRC staff finds standing and need for SUNSI, deadline for the NRC staff to complete information processing and file motion for Protective Order and draft Non-Disclosure Affidavit. Deadline for applicant/licensee to file Non-Disclosure Agreement for SUNSI. A ...... If access granted: Issuance of presiding officer or other designated officer decision on motion for protective order for ac- cess to sensitive information (including schedule for providing access and submission of contentions) or decision re- versing a final adverse determination by the NRC staff. A + 3 ...... Deadline for filing executed Non-Disclosure Affidavits. Access provided to SUNSI consistent with decision issuing the pro- tective order. A + 28 ...... Deadline for submission of contentions whose development depends upon access to SUNSI. However, if more than 25 days remain between the petitioner’s receipt of (or access to) the information and the deadline for filing all other con- tentions (as established in the notice of hearing or opportunity for hearing), the petitioner may file its SUNSI contentions by that later deadline. A + 53 ...... (Contention receipt +25) Answers to contentions whose development depends upon access to SUNSI. A + 60 ...... (Answer receipt +7) Petitioner/Intervenor reply to answers. >A + 60 ...... Decision on contention admission.

[FR Doc. 2011–27547 Filed 10–24–11; 8:45 am] Week of October 24, 2011 Week of November 21, 2011—Tentative BILLING CODE 7590–01–P There are no meetings scheduled for There are no meetings scheduled for the week of October 24, 2011. the week of November 21, 2011. NUCLEAR REGULATORY Week of October 31, 2011—Tentative Week of November 28, 2011—Tentative COMMISSION Tuesday, November 1, 2011 9 a.m. Tuesday, November 29, 2011 9:30 Sunshine Federal Register Notice Briefing on the Fuel Cycle Oversight a.m. Meeting with the Advisory Program (Public Meeting) (Contact: Committee on Reactor Safeguards Margie Kotzalas, 301–492–3550) This AGENCY HOLDING THE MEETINGS: Nuclear (ACRS) (Public Meeting) (Contact: meeting will be webcast live at the Web Regulatory Commission, [NRC–2011– Tanny Santos, 301–415–7270) This address—http://www.nrc.gov. 0006]. meeting will be webcast live at the Web Week of November 7, 2011—Tentative address—http://www.nrc.gov. DATE: Weeks of October 24, 31, November 7, 14, 21, 28, 2011. There are no meetings scheduled for * * * * * the week of November 7, 2011. PLACE: Commissioners’ Conference The schedule for Commission Room, 11555 Rockville Pike, Rockville, Week of November 14, 2011—Tentative meetings is subject to change on short Maryland. notice. To verify the status of meetings, There are no meetings scheduled for call (recording)—(301) 415–1292. STATUS: Public and Closed. the week of November 14, 2011.

3 Requestors should note that the filing staff determinations (because they must be served applicable), but not to the initial SUNSI request requirements of the NRC’s E-Filing Rule (72 FR on a presiding officer or the Commission, as submitted to the NRC staff under these procedures. 49139; August 28, 2007) apply to appeals of NRC

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Contact person for more information: Title and purpose of information Charles Mierzwa, the agency clearance Rochelle Bavol, (301) 415–1651. collection: officer at (312) 751–3363 or * * * * * [email protected]. Student Beneficiary Monitoring; OMB Comments regarding the information The NRC Commission Meeting 3220–0123 Schedule can be found on the Internet collection should be addressed to at: http://www.nrc.gov/public-involve/ Under provisions of the Railroad Patricia Henaghan, Railroad Retirement public-meetings/schedule.html. Retirement Act (RRA), there are two Board, 844 North Rush Street, Chicago, types of benefits whose payment is * * * * * Illinois, 60611–2092 or The NRC provides reasonable based upon the status of a child being [email protected] and to accommodation to individuals with in full-time elementary or secondary the OMB Desk Officer for the RRB, Fax: school attendance at age 18–19; a 202–395–6974, E-mail address: disabilities where appropriate. If you _ need a reasonable accommodation to survivor child’s annuity benefit under OIRA [email protected]. Section 2(d)(2)(iii) and an increase in participate in these public meetings, or Charles Mierzwa, need this meeting notice or the the employee retirement annuity under the Special Guaranty computation as Clearance Officer. transcript or other information from the [FR Doc. 2011–27488 Filed 10–24–11; 8:45 am] public meetings in another format (e.g. prescribed in section 3(f)(3). The survivor student annuity is BILLING CODE 7905–01–P braille, large print), please notify Bill usually paid by direct deposit at a Dosch, Chief, Work Life and Benefits financial institution to the student’s Branch, at 301–415–6200, TDD: 301– checking or savings account or a joint SECURITIES AND EXCHANGE 415–2100, or by e-mail at bank account with the parent. The COMMISSION [email protected]. Determinations requirements for eligibility as a student on requests for reasonable [Investment Company Act Release No. are prescribed in 20 CFR 216.74, and accommodation will be made on a case- 29840; 812–13755] include students in independent study by-case basis. or home schooling. RiverPark Advisors, LLC, et al.; Notice * * * * * The RRB requires evidence of full- of Application This notice is distributed time school attendance in order to electronically to subscribers. If you no determine that a child is entitled to October 19, 2011. longer wish to receive it, or would like student benefits. The RRB utilizes the AGENCY: Securities and Exchange to be added to the distribution, please following forms to conduct its student Commission (‘‘Commission’’). contact the Office of the Secretary, monitoring program. Form G–315, ACTION: Notice of an application for an Washington, DC 20555 (301–415–1969), Student Questionnaire, obtains order under section 6(c) of the or send an e-mail to darlene.wright@nrc. certification of a student’s full-time Investment Company Act of 1940 gov. school attendance. It also obtains (‘‘Act’’) for an exemption from sections October 20, 2011. information on a student’s marital 2(a)(32), 5(a)(1), 22(d) and 22(e) of the Rochelle Bavol, status, Social Security benefits, and Act and rule 22c–1 under the Act, under Policy Coordinator, Office of the Secretary. employment which are needed to sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and [FR Doc. 2011–27684 Filed 10–21–11; 4:15 pm] determine entitlement or continued (a)(2) of the Act, and under section BILLING CODE 7590–01–P entitlement to benefits under the RRA. Form G–315a, Statement of School 12(d)(1)(J) of the Act for an exemption Official, is used to obtain verification from sections 12(d)(1)(A) and (B) of the Act. RAILROAD RETIREMENT BOARD from a school that a student attends school full-time and provides their APPLICANTS: RiverPark Advisors, LLC expected graduation date. Form G– Proposed Collection; Comment (‘‘RiverPark’’), RiverPark Funds Trust 315a.1, School Officials Notice of Request (the ‘‘Trust’’) and ALPS Distributors, Cessation of Full-Time Attendance, is Inc. (the ‘‘Distributor’’). In accordance with the requirement of used by a school to notify the RRB that SUMMARY OF APPLICATION: Section 3506 (c)(2)(A) of the Paperwork a student has ceased full-time school Applicants Reduction Act of 1995 which provides attendance. Completion is required to request an order that permits: (a) Series opportunity for public comment on new obtain or retain benefits. The RRB of certain actively managed open-end management investment companies to or revised data collections, the Railroad proposes no changes to the forms. Retirement Board (RRB) will publish The estimated annual respondent issue exchange-traded shares (‘‘Shares’’) periodic summaries of proposed data burden is as follows: redeemable in large aggregations only collections. Form(s): G–315, G–315a and G– (‘‘Creation Units’’); (b) secondary market Comments are invited on: (a) Whether 315a.1. transactions in Shares to occur at the proposed information collection is Estimate of Annual Responses: 900 negotiated market prices; (c) certain necessary for the proper performance of (860 Form G–315’s, 20 Form G–315a’s series to pay redemption proceeds, the functions of the agency, including and 20 Form G–315a.1’s). under certain circumstances, more than whether the information has practical Estimated Completion Time: The seven days from the tender of Shares for utility; (b) the accuracy of the RRB’s completion time for Form G–315 is redemption; (d) certain affiliated estimate of the burden of the collection estimated at 15 minutes per response. persons of the series to deposit of the information; (c) ways to enhance The completion time for Form G–315a securities into, and receive securities the quality, utility, and clarity of the is estimated at 3 minutes per response. from, the series in connection with the information to be collected; and (d) The completion time for Form G–315a.1 purchase and redemption of Creation ways to minimize the burden related to is estimated at 2 minutes. Units; and (e) certain registered the collection of information on Estimated Annual Burden: 217 hours. management investment companies and respondents, including the use of Additional Information or Comments: unit investment trusts outside of the automated collection techniques or Copies of the forms and supporting same group of investment companies as other forms of information technology. documents can be obtained from the series to acquire Shares.

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FILING DATES: The application was filed investment objective of RiverPark Short the Funds. ALPS Distributors, Inc. will on February 17, 2010, and amended on Term High Yield ETF will be to seek serve as the initial Distributor. July 29, 2010, December 22, 2010, high current income and capital 4. Applicants anticipate that a March 1, 2011, April 26, 2011, appreciation consistent with the Creation Unit will consist of at least September 30, 2011 and October 18, preservation of capital. 50,000 Shares and that the price of a Share will range from $20 to $200. All 2011. 2. Applicants request that the order orders to purchase Creation Units must HEARING OR NOTIFICATION OF HEARING: An apply to the Initial Funds and any be placed with the Distributor by or order granting the requested relief will future series of the Trust and other through a party that has entered into a be issued unless the Commission orders future open-end management participant agreement with the a hearing. Interested persons may companies or series thereof that may request a hearing by writing to the Distributor and the transfer agent of the utilize active management investment Trust (‘‘Authorized Participant’’) with Commission’s Secretary and serving strategies (‘‘Future Funds’’). Any Future applicants with a copy of the request, respect to the creation and redemption Fund will (a) Advised by RiverPark or of Creation Units. An Authorized personally or by mail. Hearing requests an entity controlling, controlled by, or should be received by the Commission Participant is either: (a) A broker or under common control with RiverPark dealer registered under the Exchange by 5:30 p.m. on November 14, 2011, and (together with RiverPark, an ‘‘Advisor’’), should be accompanied by proof of Act (‘‘Broker’’) or other participant in and (b) comply with the terms and the Continuous Net Settlement System service on applicants, in the form of an 1 conditions of the application. The of the National Securities Clearing affidavit or, for lawyers, a certificate of Initial Funds and Future Funds together service. Hearing requests should state Corporation, a clearing agency are the ‘‘Funds’’. Each Fund will consist registered with the Commission and the nature of the writer’s interest, the of a portfolio of securities (including reason for the request, and the issues affiliated with the Depository Trust fixed income securities and/or equity contested. Persons who wish to be Company (‘‘DTC’’), or (b) a participant securities) and/or currencies (‘‘Portfolio notified of a hearing may request in the DTC (such participant, ‘‘DTC Instruments’’).2 Funds may also invest notification by writing to the Participant’’). The Initial Funds and in ‘‘Depositary Receipts’’.3 A Fund will Commission’s Secretary. most Future Funds will generally be not invest in any Depositary Receipts purchased in Creation Units in ADDRESSES: Secretary, U.S. Securities that the Advisor deems to be illiquid or and Exchange Commission, 100 F exchange for the ‘‘in-kind’’ deposit of for which pricing information is not specified instruments (‘‘Deposit Street, NE., Washington, DC 20549– readily available. Each Fund will 1090. Applicants: RiverPark and the Instruments’’) and will generally be operate as an actively managed redeemed in-kind for specified Portfolio Trust, 156 West 56th Street, New York, exchange-traded fund (‘‘ETF’’). The NY 10019; the Distributor, c/o Thomas Instruments (‘‘Redemption Future Funds might include one or Instruments’’). In-kind purchases and A. Carter, 1290 Broadway #1100, more ETFs which invest in other open- Denver, CO . in-kind redemptions will be end and/or closed-end investment accompanied by an amount of cash FOR FURTHER INFORMATION CONTACT: companies and/or ETFs. specified by the Advisor (‘‘Cash Bruce R. MacNeil, Senior Counsel, at Balancing Amount’’). The Deposit (202) 551–6817 or Janet M. Grossnickle, 3. RiverPark, a Delaware corporation, Instruments and the Cash Balancing Assistant Director, at (202) 551–6821 will be the investment advisor to the Amount collectively are referred to as (Division of Investment Management, Initial Funds. Each Advisor is or will be registered as an ‘‘investment adviser’’ the ‘‘Creation Deposit.’’ The Cash Office of Investment Company Balancing Amount is a cash payment Regulation). under the Investment Advisers Act of 1940 (the ‘‘Advisers Act’’). The Advisor designed to ensure that the net asset SUPPLEMENTARY INFORMATION: The may retain investment advisers as sub- value of a Creation Deposit is identical following is a summary of the advisers in connection with the Funds to the net asset value of the Creation application. The complete application (each, a ‘‘Subadvisor’’). Any Subadvisor Unit it is used to purchase. Certain may be obtained via the Commission’s will be registered under the Advisers Future Funds may be purchased entirely Web site by searching for the file Act. A registered broker-dealer under for cash (‘‘All-Cash Payment’’) and will number, or an applicant using the the Securities Exchange Act of 1934 generally be redeemed in-kind.4 Company name box, at http:// (‘‘Exchange Act’’), which may be an However, the Trust reserves the right to www.sec.gov/search/search.htm or by affiliate of the Advisor, will act as the accept and deliver Creation Units of calling (202) 551–8090. distributor and principal underwriter of such Future Funds by means of an in- kind tender of specified Deposit Applicants’ Representations 1 All entities that currently intend to rely on the Instruments) and to permit cash 5 1. The Trust is registered as an open- order are named as applicants. Any other entity that redemptions for any Fund. end management investment company relies on the order in the future will comply with under the Act and is a statutory trust the terms and conditions of the application. An 4 On each Business Day (as defined below), prior organized under the laws of Delaware. Investing Fund (as defined below) may rely on the to the opening of trading on the Stock Exchange (as The Trust will initially create and order only to invest in Funds and not in any other defined below), the estimated All-Cash Payment for registered investment company. Each Fund will each Fund or a list of the required Deposit operate four series of actively-managed comply with the disclosure requirements adopted Instruments to be included in the Creation Deposit portfolios that offer Shares: RiverPark by the Commission in Investment Company Act for each Fund, as applicable, the previous day’s Large Growth ETF, RiverPark/ Release No. 28584 (Jan. 13, 2009). Cash Balancing Amount, and the estimated Cash Wedgewood ETF, RiverPark Small Cap 2 Neither the Initial Funds nor any Future Fund Balancing Amount for the current day, will be made will invest in options contracts, futures contracts or available. The Stock Exchange will disseminate Growth ETF and RiverPark Short Term swap agreements. every 15 seconds throughout the trading day High Yield ETF (together, the ‘‘Initial 3 Depositary Receipts are typically issued by a through the facilities of the Consolidated Tape Funds’’). The investment objectives of financial institution, a ‘‘depositary’’, and evidence Association an amount representing, on a per Share RiverPark Large Growth ETF, RiverPark/ ownership in a security or pool of securities that basis, the sum of the current value of the Portfolio have been deposited with the depositary. No Instruments. Wedgewood ETF and RiverPark Small affiliated persons of applicants will serve as the 5 Applicants state that in determining whether a Cap Growth ETF will be to seek long- depositary bank for any Depositary Receipts held by particular Fund will be selling or redeeming term capital appreciation. The a Fund. Continued

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5. An investor purchasing or and retail investors.8 Applicants expect Redemption Instruments and a true pro redeeming a Creation Unit from a Fund that arbitrage opportunities created by rata slice of a Fund’s portfolio solely may be charged a fee (‘‘Transaction the ability to continually purchase or when (a) It is impossible to break up Fee’’) to protect existing shareholders of redeem Creation Units at their net asset bonds beyond certain minimum sizes the Funds from the dilutive costs value should ensure that the Shares will needed for transfer and settlement or, associated with the purchase and not trade at a material discount or (b) in the case of equity securities, redemption of Creation Units.6 All premium in relation to net asset value rounding is necessary to eliminate orders to purchase Creation Units will per individual share (‘‘NAV’’). fractional shares or lots that are not be placed with the Distributor and the 8. Shares may be redeemed only if tradeable round lots. With respect to the Distributor will transmit all purchase tendered in Creation Units. Redemption Funds that hold short positions, Deposit orders to the relevant Fund. The requests must be placed by or through Instruments and Redemption Distributor will be responsible for an Authorized Participant. Applicants Instruments will correspond pro rata to delivering a prospectus (‘‘Prospectus’’) currently contemplate that Creation the long Portfolio Securities of the to those persons purchasing Creation Units of the Initial Funds will be relevant Fund. There may be minor Units and for maintaining records of redeemed principally in-kind (together differences between a basket of Deposit both the orders placed with it and the with a Cash Balancing Amount).9 To the Instruments or Redemption Instruments confirmations of acceptance furnished extent a Fund utilizes in-kind and a true pro rata slice of the long by it. redemptions, Shares in Creation Units Portfolio Securities solely to the extent 6. Shares will be listed and traded at will be redeemable on any Business necessary (a) Because it is impossible to negotiated prices on a national Day, which is defined to include any break up bonds beyond certain securities exchange as defined in day that the Trust is open for business minimum sizes needed for transfer and section 2(a)(26) of the Act (the ‘‘Stock as required by section 22(e) of the Act, settlement, or (b) because, in the case of Exchange’’) and traded in the secondary for the Redemption Instruments, which equity securities, rounding is necessary market. Applicants expect that exchange will be the same as the Deposit to eliminate fractional shares or lots that market makers (‘‘Exchange Market Instruments deposited by investors are not tradable round lots.11 Because Makers’’) will be assigned to Shares. purchasing Creation Units on the same they cannot be transferred in-kind, short The price of Shares trading on the Stock day, except for the limited exceptions positions will not be included in the Exchange will be based on a current noted below. The redeeming investor Deposit Securities and Redemption bid/offer market. Transactions involving will also usually pay to the Fund a Securities for a Fund. the purchases and sales of Shares on the Transaction Fee. Stock Exchange will be subject to 9. Applicants state that in accepting 10. Neither the Trust nor any Fund customary brokerage commissions and Deposit Instruments and satisfying will be marketed or otherwise held out charges. redemptions with Redemption as a ‘‘mutual fund.’’ Instead, each Fund 7. Applicants expect that purchasers Instruments, the Funds must comply will be marketed as an ‘‘actively- of Creation Units will include with the federal securities laws, managed exchange-traded fund.’’ Any arbitrageurs. Exchange Market Makers, including that the Deposit Instruments advertising material where features of acting in their unique role to provide a and Redemption Instruments are sold in obtaining, buying or selling Creation fair and orderly secondary market for transactions that would be exempt from Units are described or where there is Shares, also may purchase Creation registration under the Securities Act.10 reference to redeemability will Units for use in their own market To the extent in-kind purchases and prominently disclose that Shares are not making activities.7 Applicants expect redemptions are utilized, the Deposit individually redeemable and that that secondary market purchasers of Instruments and Redemption owners of Shares may acquire Shares Shares will include both institutional Instruments will correspond pro rata to from a Fund and tender those Shares for the Fund portfolio, except that there redemption to a Fund in Creation Units Creation Units on a cash or in-kind basis, the key may be minor differences between a only. consideration will be the benefit which would basket of Deposit Instruments or 11. The Funds’ Web site, which will accrue to Fund investors. In many cases, particularly to the extent the Deposit Instruments be publicly available prior to the public are less liquid, investors may benefit by the use of 8 Shares will be registered in book-entry form offering of Shares, will include the all cash creations because the Advisor would only. DTC or its nominee will be the record or Prospectus and additional quantitative execute trades rather than Exchange Market Makers registered owner of all outstanding Shares. (as defined below). Applicants believe that the Beneficial ownership of Shares will be shown on information updated on a daily basis, Advisor may be able to obtain better execution for the records of DTC or DTC Participants. including, on a per Share basis for each certain Portfolio Instruments due to its size, 9 To the extent consistent with other investment Fund, the prior Business Day’s NAV and experience and relationships in the markets. With limitations, the Funds may invest in mortgage- or the market closing price or mid-point of respect to redemptions, tax considerations may asset-backed securities, including a ‘‘to-be- warrant in-kind redemptions which do not result in announced transaction’’ or ‘‘TBA Transactions’’. the bid/ask spread at the time of the a taxable event for the Fund. Each Fund intends to substitute a cash-in-lieu calculation of such NAV (‘‘Bid/Ask 6 Where a Fund permits an in-kind purchaser to amount to replace any Deposit Instrument or Price’’), and a calculation of the substitute cash in lieu of depositing one or more Redemption Instrument that is a TBA Transaction. premium or discount of the market Deposit Instruments, the purchaser may be assessed A TBA Transaction is a method of trading mortgage- a higher Transaction Fee to offset the cost to the backed securities. In a TBA Transaction, the buyer closing price or Bid/Ask Price against Fund of buying those particular Deposit and seller agree upon general trade parameters such such NAV. On each Business Day, Instruments. as agency, settlement date, par amount and price. before commencement of trading in 7 Applicants state that unlike other Stock The actual pools delivered generally are determined Shares on the Stock Exchange, the Fund Exchanges where a lead market maker may oversee two days prior to the settlement date. The amount trading in Shares, on NASDAQ, numerous of substituted cash in the case of TBA Transactions will disclose on its Web site the Exchange Market Makers may buy and sell shares will be equivalent to the value of the TBA identities and quantities of the Portfolio for their own account. If Shares are listed on Transaction listed as a Deposit Instrument or Instruments and other assets held by the NASDAQ, and no designated liquidity provider has Redemption Instrument. Fund that will form the basis for the been selected, then under NASDAQ’s listing 10 In accepting Deposit Instruments and satisfying requirements, two or more Exchange Market Makers redemptions with Redemption Instruments that are will be registered in Shares and required to make restricted securities eligible for resale pursuant to 11 A tradeable round lot for an equity security will a continuous, two-sided market or face regulatory rule 144A under the Securities Act, the Funds will be the standard unit of trading in that particular sanctions. comply with the conditions of Rule 144A. type of security in its primary market.

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Fund’s calculation of NAV at the end of applicants request an order that would involve the Funds as parties and cannot the Business Day.12 permit the Trust to register as an open- result in dilution of an investment in end management investment company Shares, and (b) to the extent different Applicants’ Legal Analysis and redeem Shares in Creation Units prices exist during a given trading day, 1. Applicants request an order under only. Applicants state that investors or from day to day, such variances occur section 6(c) of the Act for an exemption may purchase Shares in Creation Units as a result of third-party market forces, from sections 2(a)(32), 5(a)(1), 22(d) and from each Fund and redeem Creation such as supply and demand. Therefore, 22(e) of the Act and rule 22c–1 under Units from each Fund. Applicants applicants assert that secondary market the Act, under sections 6(c) and 17(b) of further state that because the market transactions in Shares will not lead to the Act for an exemption from sections price of Creation Units will be discrimination or preferential treatment 17(a)(1) and 17(a)(2) of the Act, and disciplined by arbitrage opportunities, among purchasers. Finally, applicants under section 12(d)(1)(J) of the Act for investors should be able to sell Shares contend that the proposed distribution an exemption from sections 12(d)(1)(A) in the secondary market at prices that system will be orderly because arbitrage and (B) of the Act. do not vary substantially from their activity should ensure that the 2. Section 6(c) of the Act provides that NAV. difference between the market price of the Commission may exempt any Shares and their NAV remains narrow. Section 22(d) of the Act and Rule person, security or transaction, or any 22c–1 Under the Act Section 22(e) of the Act class of persons, securities or transactions, from any provisions of the 4. Section 22(d) of the Act, among 7. Section 22(e) of the Act generally Act, if and to the extent that such other things, prohibits a dealer from prohibits a registered investment exemption is necessary or appropriate selling a redeemable security that is company from suspending the right of in the public interest and consistent currently being offered to the public by redemption or postponing the date of with the protection of investors and the or through a principal underwriter, payment of redemption proceeds for purposes fairly intended by the policy except at a current public offering price more than seven days after the tender of and provisions of the Act. Section 17(b) described in the prospectus. Rule a security for redemption. Applicants of the Act authorizes the Commission to 22c–1 under the Act generally requires observe that settlement of redemptions exempt a proposed transaction from that a dealer selling, redeeming, or of Creation Units of Funds holding non- section 17(a) of the Act if evidence repurchasing a redeemable security do U.S. investments (‘‘Global Funds’’) is establishes that the terms of the so only at a price based on its NAV. contingent not only on the settlement transaction, including the consideration Applicants state that secondary market cycle of the U.S. securities markets but to be paid or received, are reasonable trading in Shares will take place at also on the delivery cycles present in and fair and do not involve negotiated prices, not at a current foreign markets in which those Funds overreaching on the part of any person offering price described in the invest. Applicants have been advised concerned, and the proposed Prospectus, and not at a price based on that, under certain circumstances, the transaction is consistent with the NAV. Thus, purchases and sales of delivery cycles for transferring Portfolio policies of the registered investment Shares in the secondary market will not Instruments to redeeming investors, company and the general provisions of comply with section 22(d) of the Act coupled with local market holiday the Act. Section 12(d)(1)(J) of the Act and rule 22c–1 under the Act. schedules, will require a delivery provides that the Commission may Applicants request an exemption under process of up to 14 calendar days. exempt any person, security, or section 6(c) from these provisions. Applicants therefore request relief from transaction, or any class or classes of 5. Applicants assert that the concerns section 22(e) in order to provide sought to be addressed by section 22(d) persons, securities or transactions, from payment or satisfaction of redemptions of the Act and rule 22c–1 under the Act any provision of section 12(d)(1) if the within the maximum number of with respect to pricing are equally exemption is consistent with the public calendar days required for such satisfied by the proposed method of interest and the protection of investors. payment or satisfaction in the principal pricing Shares. Applicants maintain that local markets where transactions in the Sections 5(a)(1) and 2(a)(32) of the Act while there is little legislative history Portfolio Instruments of each Global 3. Section 5(a)(1) of the Act defines an regarding section 22(d), its provisions, Fund customarily clear and settle, but in ‘‘open-end company’’ as a management as well as those of rule 22c–1, appear to all cases no later than 14 calendar days investment company that is offering for have been designed to (a) Prevent following the tender of a Creation Unit. sale or has outstanding any redeemable dilution caused by certain riskless- With respect to Future Funds that are security of which it is the issuer. trading schemes by principal Global Funds, applicants seek the same Section 2(a)(32) of the Act defines a underwriters and contract dealers, relief from section 22(e) only to the redeemable security as any security, (b) prevent unjust discrimination or extent that circumstances exist similar other than short-term paper, under the preferential treatment among buyers to those described in the application. terms of which the holder, upon its resulting from sales at different prices, Except as disclosed in the SAI for a presentation to the issuer, is entitled to and (c) assure an orderly distribution Fund, deliveries of redemption proceeds receive approximately a proportionate system of investment company shares for Global Funds are expected to be 13 share of the issuer’s current net assets, by eliminating price competition from made within seven days. or the cash equivalent. Because Shares Brokers offering shares at less than the 8. Applicants submit that Congress will not be individually redeemable, published sales price and repurchasing adopted section 22(e) to prevent shares at more than the published unreasonable, undisclosed or 12 Applicants note that under accounting redemption price. unforeseen delays in the actual payment procedures followed by the Funds, trades made on 6. Applicants believe that none of the prior Business Day (‘‘T’’) will be booked and these purposes will be thwarted by 13 Rule 15c6–1 under the Exchange Act requires reflected in NAV on the current Business Day permitting Shares to trade in the that most securities transactions be settled within (‘‘T+1’’). Accordingly, the Funds will be able to three business days of the trade date. Applicants disclose at the beginning of the Business Day the secondary market at negotiated prices. acknowledge that no relief obtained from the portfolio that will form the basis for the NAV Applicants state that (a) Secondary requirements of section 22(e) will affect any calculation at the end of the Business Day. market trading in Shares does not obligations that they have under rule 15c6–1.

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of redemption proceeds. Applicants Fund (such management investment in the aggregate) controlling a Fund state that allowing redemption companies are referred to herein as within the meaning of section 2(a)(9) of payments for Creation Units of a Fund ‘‘Investing Management Companies,’’ the Act. The same prohibition would to be made within a maximum of 14 such unit investment trusts are referred apply to any Investing Fund Sub- calendar days would not be inconsistent to herein as ‘‘Investing Trusts,’’ and Advisor, any person controlling, with the spirit and intent of section Investing Management Companies and controlled by, or under common control 22(e). Applicants state the SAI will Investing Trusts together are referred to with the Investing Fund Sub-Advisor, disclose those local holidays (over the herein as ‘‘Investing Funds’’).14 and any investment company or issuer period of at least one year following the Investing Funds do not include the that would be an investment company date of the SAI), if any, that are Funds. Each Investing Trust will have a but for sections 3(c)(1) or 3(c)(7) of the expected to prevent the delivery of sponsor (‘‘Sponsor’’) and each Investing Act (or portion of such investment redemption proceeds in seven calendar Management Company will have an company or issuer) advised or days and the maximum number of days investment adviser within the meaning sponsored by the Investing Fund Sub- needed to deliver the proceeds for each of section 2(a)(20)(A) of the Act Advisor or any person controlling, affected Global Fund. (‘‘Investing Fund Advisor’’) that does controlled by or under common control 9. Applicants are not seeking relief not control, is not controlled by or with the Investing Fund Sub-Advisor from section 22(e) with respect to Global under common control with the (‘‘Investing Fund’s Sub-Advisory Funds that do not effect creations or Advisor. Each Investing Management Group’’). redemptions in-kind. Company may also have one or more 14. Applicants propose other conditions to limit the potential for an Section 12(d)(1) of the Act investment advisers within the meaning of section 2(a)(20)(B) of the Act (each, Investing Fund and certain affiliates of 10. Section 12(d)(1)(A) of the Act an ‘‘Investing Fund Sub-Advisor’’). Each an Investing Fund (including prohibits a registered investment Investing Fund Advisor and any Underwriting Affiliates) to exercise company from acquiring shares of an Investing Fund Sub-Advisor will be undue influence over a Fund and investment company if the securities registered as an investment adviser certain of its affiliates, including that no represent more than 3% of the total under the Advisers Act. Investing Fund or Investing Fund outstanding voting stock of the acquired 12. Applicants submit that the Affiliate (except to the extent it is acting company, more than 5% of the total proposed conditions to the requested in its capacity as an investment adviser assets of the acquiring company, or, relief are designed to address the to a Fund) will cause a Fund to together with the securities of any other concerns underlying the limits in purchase a security in an offering of investment companies, more than 10% section 12(d)(1), which include securities during the existence of an of the total assets of the acquiring concerns about undue influence, underwriting or selling syndicate of company. Section 12(d)(1)(B) of the Act excessive layering of fees and overly which a principal underwriter is an prohibits a registered open-end complex structures. Underwriting Affiliate (‘‘Affiliated investment company, its principal 13. Applicants propose a condition to Underwriting’’). An ‘‘Underwriting underwriter, or any other broker or prohibit an Investing Fund or Investing Affiliate’’ is a principal underwriter in dealer from selling its shares to another Fund Affiliate 15 from causing an any underwriting or selling syndicate investment company if the sale will investment by an Investing Fund in a that is an officer, director, member of an cause the acquiring company to own Fund to influence the terms of services advisory board, Investing Fund Advisor, more than 3% of the acquired or transactions between an Investing Investing Fund Sub-Advisor, employee company’s voting stock, or if the sale Fund or an Investing Fund Affiliate and or Sponsor of the Investing Fund, or a will cause more than 10% of the the Fund or Fund Affiliate. Applicants person of which any such officer, acquired company’s voting stock to be propose a condition to limit the ability director, member of an advisory board, owned by investment companies of the Investing Fund Advisor, or Investing Fund Advisor or Investing generally. Sponsor, any person controlling, Fund Sub-Advisor, employee or 11. Applicants request relief to permit controlled by or under common control Sponsor is an affiliated person. An Investing Funds (as defined below) to with such Advisor or Sponsor, and any Underwriting Affiliate does not include acquire Shares in excess of the limits in investment company or issuer that any person whose relationship to the section 12(d)(1)(A) of the Act and to would be an investment company but Fund is covered by section 10(f) of the permit the Funds, their principal for sections 3(c)(1) or 3(c)(7) of the Act Act. underwriters and any Brokers to sell that is advised or sponsored by the 15. Applicants propose several Shares to Investing Funds in excess of Investing Fund Advisor, the Sponsor, or conditions to address the concerns the limits in section 12(d)(1)(B) of the any person controlling, controlled by, or regarding layering of fees and expenses. Act. Applicants request that these under common control with such Applicants note that the board of exemptions apply to: (a) Any Fund that Advisor or Sponsor (‘‘Investing Fund’s directors or trustees of any Investing is currently or subsequently part of the Advisory Group’’) from (individually or Management Company, including a same ‘‘group of investment companies’’ majority of the directors or trustees who as the Initial Funds within the meaning are not ‘‘interested persons’’ within the 14 Applicants anticipate that there may be of section 12(d)(1)(G)(ii) of the Act as Investing Funds that are not part of the same group meaning of section 2(a)(19) of the Act well as any principal underwriter for of investment companies as the Funds but may be (‘‘disinterested directors or trustees’’), the Funds and any Brokers selling subadvised by an Advisor. will be required to find that the advisory Shares of a Fund to an Investing Fund; 15 An ‘‘Investing Fund Affiliate’’ is defined as the fees charged under the contract are Investing Fund Advisor, Investing Fund Sub- and (b) each management investment Advisor, Sponsor, promoter and principal based on services provided that will be company or unit investment trust underwriter of an Investing Fund, and any person in addition to, rather than duplicative registered under the Act that is not part controlling, controlled by or under common control of, services provided under the advisory of the same ‘‘group of investment with any of these entities. A ‘‘Fund Affiliate’’ is contract of any Fund in which the defined as an investment adviser, promoter or companies’’ as the Funds and that principal underwriter of a Fund and any person Investing Management Company may enters into a FOF Participation controlling, controlled by or under common control invest. In addition, an Investing Fund Agreement (as defined below) with a with any of these entities. Advisor, trustee of an Investing Trust

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(‘‘Trustee’’) or Sponsor, as applicable, under common control with, the other correspond pro rata to the Fund’s will waive fees otherwise payable to it person. Section 2(a)(9) of the Act portfolio instruments. Both the deposit by the Investing Fund in an amount at defines ‘‘control’’ as the power to procedures for in-kind purchases of least equal to any compensation exercise a controlling influence over the Creation Units and the redemption (including fees received pursuant to any management or policies of a company procedures for in-kind redemptions will plan adopted by a Fund under rule 12b– and provides that a control relationship be effected in exactly the same manner 1 under the Act) received from a Fund will be presumed where one person for all purchases and redemptions. by the Investing Fund Advisor, Trustee owns more than 25% of another Deposit Instruments and Redemption or Sponsor or an affiliated person of the person’s voting securities. Each Fund Instruments will be valued in the same Investing Fund Advisor, Trustee or may be deemed to be controlled by an manner as those Portfolio Instruments Sponsor, other than any advisory fees Advisor and hence affiliated persons of currently held by the relevant Funds. paid to the Investing Fund Advisor, each other. In addition, the Funds may Therefore, applicants state that the in- Trustee or Sponsor or its affiliated be deemed to be under common control kind purchases and redemptions create person by a Fund, in connection with with any other registered investment no opportunity for affiliated persons or the investment by the Investing Fund in company (or series thereof) advised by the Applicants to effect a transaction the Fund. Applicants also propose a an Advisor (an ‘‘Affiliated Fund’’). detrimental to other holders of Shares of condition to prevent any sales charges 19. Applicants request an exemption that Fund. Applicants do not believe or service fees on shares of an Investing under sections 6(c) and 17(b) of the Act that in-kind purchases and redemptions Fund from exceeding the limits from sections 17(a)(1) and 17(a)(2) of the will result in abusive self-dealing or applicable to a fund of funds set forth Act to permit in-kind purchases and overreaching of the Fund. in NASD Conduct Rule 2830.16 redemptions of Creation Units by 21. Applicants also submit that the 16. Applicants submit that the persons that are affiliated persons or sale of Shares to and redemption of proposed arrangement will not create an second tier affiliates of the Funds solely Shares from an Investing Fund meets overly complex fund structure. by virtue of one or more of the the standards for relief under sections Applicants note that a Fund will be following: (a) Holding 5% or more, or in 17(b) and 6(c) of the Act. Applicants prohibited from acquiring securities of excess of 25% of the outstanding Shares note that any consideration paid for the any investment company or company of one or more Funds; (b) having an purchase or redemption of Shares relying on sections 3(c)(1) or 3(c)(7) of affiliation with a person with an directly from a Fund will be based on the Act in excess of the limits contained ownership interest described in (a); or the NAV of the Fund in accordance with in section 12(d)(1)(A) of the Act, except (c) holding 5% or more, or more than policies and procedures set forth in the 19 to the extent permitted by exemptive 25% of the Shares of one or more Fund’s registration statement. Absent relief from the Commission permitting Affiliated Funds.17 Applicants also the unusual circumstances discussed in the Fund to purchase shares of other request an exemption in order to permit the application, the Deposit Instruments investment companies for short-term a Fund to sell its Shares to and redeem and Redemption Instruments available cash management purposes. its Shares from, and engage in the in- for a Fund will be the same for all 17. To ensure that the Investing Funds kind transactions that would purchases and redeemers, respectively, understand and comply with the terms accompany such sales and redemptions and will correspond pro rata to the and conditions of the requested order, with, certain Investing Funds of which Fund’s portfolio instruments. any Investing Fund that intends to the Funds are affiliated persons or a Applicants also state that the proposed transactions are consistent with the invest in a Fund in reliance on the second-tier affiliates.18 general purposes of the Act and requested order will be required to enter 20. Applicants assert that no useful appropriate in the public interest. into a participation agreement (‘‘FOF purpose would be served by prohibiting Participation Agreement’’) with the such affiliated persons from making in- Applicants’ Conditions: Fund. The FOF Participation Agreement kind purchases or in-kind redemptions Applicants agree that any order of the will include an acknowledgment from of Shares of a Fund in Creation Units. Commission granting the requested the Investing Fund that it may rely on Absent the unusual circumstances relief will be subject to the following the order only to invest in the Funds discussed in the application, the conditions: and not in any other investment Deposit Instruments and Redemption company. Instruments available for a Fund will be A. Actively-Managed Exchange-Traded Fund Relief Sections 17(a)(1) and (2) of the Act the same for all purchases and redeemers, respectively, and will 1. As long as a Fund operates in 18. Section 17(a) of the Act generally reliance on the requested order, the prohibits an affiliated person of a 17 Applicants are not seeking relief from section Shares of the Fund will be listed on a registered investment company, or an 17(a) for, and the requested relief will not apply to, transactions where a Fund could be deemed an Stock Exchange. affiliated person of such a person 2. Neither the Trust nor any Fund will (‘‘second tier affiliate’’), from selling any affiliated person, or an affiliated person of an affiliated person, of an Investing Fund because an be advertised or marketed as an open- security to or purchasing any security investment adviser to the Funds is also an end investment company or a mutual from the company. Section 2(a)(3) of the investment adviser to an Investing Fund. fund. Any advertising material that 18 Act defines ‘‘affiliated person’’ to Applicants expect most Investing Funds will describes the purchase or sale of include any person directly or indirectly purchase Shares in the secondary market and will not purchase Creation Units directly from a Fund. owning, controlling, or holding with To the extent that purchases and sales of Shares 19 Applicants acknowledge that the receipt of power to vote, 5% or more of the occur in the secondary market and not through compensation by (a) An affiliated person of an outstanding voting securities of the principal transactions directly between an Investing Investing Fund, or an affiliated person of such other person and any person directly or Fund and a Fund, relief from section 17(a) would person, for the purchase by the Investing Fund of not be necessary. However, the requested relief Shares of the Fund or (b) an affiliated person of a indirectly controlling, controlled by, or would apply to direct sales of Shares in Creation Fund, or an affiliated person of such person, for the Units by a Fund to an Investing Fund and sale by the Fund of its Shares to an Investing Fund, 16 Any references to NASD Conduct Rule 2830 redemptions of those Shares. The requested relief may be prohibited by section 17(e)(1) of the Act. include any successor or replacement rule to NASD is also intended to cover the in-kind transactions The FOF Participation Agreement also will include Conduct Rule that may be adopted by FINRA. that may accompany such sales and redemptions. this acknowledgment.

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Creation Units or refers to redeemability 2. No Investing Fund or Investing amount at least equal to any will prominently disclose that the Fund Affiliate will cause any existing or compensation received from a Fund by Shares are not individually redeemable potential investment by the Investing the Investing Fund Sub-Advisor, or an and that owners of the Shares may Fund in a Fund to influence the terms affiliated person of the Investing Fund acquire those Shares from the Fund and of any services or transactions between Sub-Advisor, other than any advisory tender those Shares for redemption to the Investing Fund or an Investing Fund fees paid to the Investing Fund Sub- the Fund in Creation Units only. Affiliate and the Fund or a Fund Advisor or its affiliated person by the 3. The Web site for the Funds, which Affiliate. Fund, in connection with the is and will be publicly accessible at no 3. The board of directors or trustees of investment by the Investing charge, will contain, on a per Share an Investing Management Company, Management Company in the Fund basis, for each Fund the prior Business including a majority of the disinterested made at the direction of the Investing Day’s NAV and the market closing price directors or trustees, will adopt Fund Sub-Advisor. In the event that the or Bid/Ask Price, and a calculation of procedures reasonably designed to Investing Fund Sub-Advisor waives the premium or discount of the market assure that the Investing Fund Advisor fees, the benefit of the waiver will be closing price or Bid/Ask Price against and any Investing Fund Sub-Advisor are passed through to the Investing such NAV. conducting the investment program of Management Company. 4. On each Business Day, before the Investing Management Company 6. No Investing Fund or Investing commencement of trading in Shares on without taking into account any Fund Affiliate (except to the extent it is the Stock Exchange, the Fund will consideration received by the Investing acting in its capacity as an investment disclose on its Web site the identities Management Company or an Investing adviser to a Fund) will cause a Fund to and quantities of the Portfolio Fund Affiliate from a Fund or a Fund purchase a security in an Affiliated Instruments and other assets held by the Affiliate in connection with any services Underwriting. Fund that will form the basis for the or transactions. 7. The Board of the Fund, including Fund’s calculation of NAV at the end of 4. Once an investment by an Investing a majority of the disinterested Board the Business Day. Fund in Shares of a Fund exceeds the members, will adopt procedures 5. The Advisor or any Subadvisor, limit in section 12(d)(1)(A)(i) of the Act, reasonably designed to monitor any directly or indirectly, will not cause any the Board of a Fund, including a purchases of securities by the Fund in Authorized Participant (or any investor majority of the disinterested Board an Affiliated Underwriting, once an on whose behalf an Authorized members, will determine that any investment by an Investing Fund in the Participant may transact with the Fund) consideration paid by the Fund to the securities of the Fund exceeds the limit to acquire any Deposit Instrument for Investing Fund or an Investing Fund of section 12(d)(1)(A)(i) of the Act, the Fund through a transaction in which Affiliate in connection with any services including any purchases made directly the Fund could not engage directly. or transactions: (a) Is fair and reasonable from an Underwriting Affiliate. The 6. The requested relief to permit ETF in relation to the nature and quality of Board will review these purchases operations will expire on the effective the services and benefits received by the periodically, but no less frequently than date of any Commission rule under the Fund; (b) is within the range of annually, to determine whether the Act that provides relief permitting the consideration that the Fund would be purchases were influenced by the operation of actively-managed required to pay to another unaffiliated investment by the Investing Fund in the exchange-traded funds. entity in connection with the same Fund. The Board will consider, among B. Section 12(d)(1) Relief services or transactions; and (c) does not other things: (a) Whether the purchases involve overreaching on the part of any were consistent with the investment 1. The members of the Investing person concerned. This condition does objectives and policies of the Fund; (b) Fund’s Advisory Group will not control not apply with respect to any services how the performance of securities (individually or in the aggregate) a Fund or transactions between a Fund and its purchased in an Affiliated Underwriting within the meaning of section 2(a)(9) of investment adviser(s), or any person compares to the performance of the Act. The members of the Investing controlling, controlled by or under comparable securities purchased during Fund’s Sub-Advisory Group will not common control with such investment a comparable period of time in control (individually or in the aggregate) adviser(s). underwritings other than Affiliated a Fund within the meaning of section 5. The Investing Fund Advisor, or Underwritings or to a benchmark such 2(a)(9) of the Act. If, as a result of a Trustee or Sponsor, as applicable, will as a comparable market index; and (c) decrease in the outstanding voting waive fees otherwise payable to it by the whether the amount of securities securities of a Fund, the Investing Investing Fund in an amount at least purchased by the Fund in Affiliated Fund’s Advisory Group or the Investing equal to any compensation (including Underwritings and the amount Fund’s Sub-Advisory Group, each in the fees received pursuant to any plan purchased directly from an aggregate, becomes a holder of more adopted by a Fund under rule 12b–1 Underwriting Affiliate have changed than 25 percent of the outstanding under the Act) received from a Fund by significantly from prior years. The voting securities of a Fund, it will vote the Investing Fund Advisor, or Trustee Board will take any appropriate actions its Shares of the Fund in the same or Sponsor, or an affiliated person of the based on its review, including, if proportion as the vote of all other Investing Fund Advisor, or Trustee or appropriate, the institution of holders of the Fund’s Shares. This Sponsor, other than any advisory fees procedures designed to assure that condition does not apply to the paid to the Investing Fund Advisor, or purchases of securities in Affiliated Investing Fund’s Sub-Advisory Group Trustee, or Sponsor, or its affiliated Underwritings are in the best interest of with respect to a Fund for which the person by the Fund, in connection with shareholders. Investing Fund Sub-Advisor or a person the investment by the Investing Fund in 8. Each Fund will maintain and controlling, controlled by or under the Fund. Any Investing Fund Sub- preserve permanently in an easily common control with the Investing Advisor will waive fees otherwise accessible place a written copy of the Fund Sub-Advisor acts as the payable to the Investing Fund Sub- procedures described in the preceding investment adviser within the meaning Advisor, directly or indirectly, by the condition, and any modifications to of section 2(a)(20)(A) of the Act. Investing Management Company in an such procedures, and will maintain and

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preserve for a period of not less than six 12. No Fund relying on this section SECURITIES AND EXCHANGE years from the end of the fiscal year in 12(d)(1) relief will acquire securities of COMMISSION which any purchase in an Affiliated any investment company or company Underwriting occurred, the first two relying on section 3(c)(1) or 3(c)(7) of [Securities Exchange Act of 1934 Release years in an easily accessible place, a the Act in excess of the limits contained No. 65592; File No. SR–BX–2011–046] written record of each purchase of in section 12(d)(1)(A) of the Act, except securities in Affiliated Underwritings to the extent permitted by exemptive In the Matter of NASDAQ OMX BX, Inc.: once an investment by an Investing relief from the Commission permitting Order Denying NASDAQ OMX BX, Fund in the securities of the Fund the Fund to purchase shares of other Inc.’s Petition for Review of Division of exceeds the limit of section investment companies for short-term Trading and Markets Suspension of 12(d)(1)(A)(i) of the Act, setting forth cash management purposes. and Institution of Proceedings by from whom the securities were Delegated Authority of SR–BX–2011– acquired, the identity of the For the Commission, by the Division of 046; Lifting the Automatic Stay; and underwriting syndicate’s members, the Investment Management, under delegated Notice of Designation of a Longer terms of the purchase, and the authority. Comment Period for the Proceedings information or materials upon which Kevin M. O’Neill, the Board’s determinations were made. Deputy Secretary. Before the Securities and Exchange 9. Before investing in a Fund in Commission October 19, 2011. [FR Doc. 2011–27531 Filed 10–24–11; 8:45 am] excess of the limits in section Pursuant to Rule 431(b)(2) of the 12(d)(1)(A), an Investing Fund will BILLING CODE 8011–01–P Rules of Practice,1 It is ordered that the execute a FOF Participation Agreement petition 2 of Boston Options Exchange with the Fund stating that their SECURITIES AND EXCHANGE respective boards of directors or trustees Group LLC, an options trading facility of and their investment advisers, or COMMISSION NASDAQ OMX BX, Inc., (‘‘BOX’’) for Trustee and Sponsor, as applicable, review of the temporary suspension and Sunshine Act Meeting understand the terms and conditions of institution of proceedings by the the order, and agree to fulfill their Division of Trading and Markets (the Notice is hereby given, pursuant to responsibilities under the order. At the ‘‘Division’’) by delegated authority of the provisions of the Government in the 3 time of its investment in shares of a SR–BX–2011–046 is hereby denied. It Fund in excess of the limit in section Sunshine Act, Public Law 94–409, that is further ordered that the automatic 12(d)(1)(A)(i), an Investing Fund will the Securities and Exchange stay of delegated action pursuant to 4 notify the Fund of the investment. At Commission Advisory Committee on Rule 431(e) of the Rules of Practice is such time, the Investing Fund will also Small and Emerging Companies will hereby lifted. transmit to the Fund a list of the names hold an Open Meeting on Monday, The Commission hereby is also of each Investing Fund Affiliate and October 31, 2011, in the Multipurpose extending the length of the period for Underwriting Affiliate. The Investing Room, L–006. The meeting will begin at market participants to submit comments Fund will notify the Fund of any 9 a.m. and will be open to the public. related to SR–BX–2011–046 until changes to the list as soon as reasonably Seating will be on a first-come, first- November 17, 2011 and the length of the practicable after a change occurs. The served basis. Doors will open at 8:30 period for submission of rebuttal Fund and the Investing Fund will a.m. Visitors will be subject to security comments until December 14, 2011. maintain and preserve a copy of the checks. On July 15, 2011, NASDAQ OMX BX, order, the FOF Participation Agreement, On October 7, 2011, the Commission Inc. filed, pursuant to Section 19(b)(1) of and the list with any updated published notice of the Committee the Exchange Act 5 and Rule 19b–4 information for the duration of the meeting (Release No. 33–9266), thereunder, 6 a proposed rule change investment and for a period of not less that amended the BOX Fee Schedule to than six years thereafter, the first two indicating that the meeting is open to the public and inviting the public to increase the credits and fees for certain years in an easily accessible place. transactions in the BOX Price 10. Before approving any advisory submit written comments to the Improvement Period (‘‘PIP’’).7 contract under section 15 of the Act, the Committee. This Sunshine Act notice is board of directors or trustees of each being issued because a majority of the Investing Management Company, Commission may attend the meeting. 1 17 CFR 201.431(b)(2). 2 Petition for Review of Action by Delegated including a majority of the disinterested The agenda for the meeting includes Authority from BOX, dated September 27, 2011 directors or trustees, will find that the opening remarks, introduction of (‘‘BOX Petition’’). advisory fees charged under such Committee members, discussion of the 3 See Securities Exchange Act Release No. 65330 (September 13, 2011), 76 FR 58065 (September 19, contract are based on services provided Committee’s agenda and organization, that will be in addition to, rather than 2011) (‘‘Suspension Order’’). and discussion of capital formation 4 duplicative of, the services provided 17 CFR 201.431(e). issues relevant to small and emerging 5 15 U.S.C. 78s(b)(1). under the advisory contract(s) of any companies. 6 17 CFR 240.19b–4. Fund in which the Investing 7 The PIP is a mechanism in which members Management Company may invest. For further information, please submit an agency order on behalf of a customer for These findings and their basis will be contact the Office of the Secretary at price improvement over the BOX BBO, paired with recorded fully in the minute books of (202) 551–5400. a contra-order guaranteeing execution of the agency order at or better than the NBBO. The contra-order the appropriate Investing Management October 21, 2011. could be for the account of the member, or an order Company. Elizabeth M. Murphy, solicited from someone else. The agency order is 11. Any sales charges and/or service exposed for a 1-second auction in which members fees charged with respect to shares of an Secretary. may submit competing interest at the same price or [FR Doc. 2011–27750 Filed 10–21–11; 4:15 pm] better. The initiating member is guaranteed 40% of Investing Fund will not exceed the the order (after public customers) at the final price limits applicable to a fund of funds as BILLING CODE 8011–01–P for the PIP order, assuming it is at the best price. set forth in NASD Conduct Rule 2830. See Chapter V, Section 18 of the BOX Rules.

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The Division, pursuant to delegated statutory requirements applicable to a (B) A conclusion of law that is authority,8 published BOX’s proposed national securities exchange under the erroneous; or rule change for notice and comment on Act,14 in particular the standards (C) An exercise of discretion or August 3, 2011.9 The Commission requiring, among other things, that decision of law or policy that is received four comment letters on the exchange rules provide for the equitable important and that the Commission proposal, three urging the Commission allocation of reasonable fees among should review. to suspend the proposal and institute members, issuers, and other persons For the reasons discussed below, the proceedings, and one urging the using its facilities; not be designed to Commission finds that BOX has not Commission not to take such action.10 permit unfair discrimination between made a reasonable showing that the BOX filed a response to comments.11 As customers, issuers, brokers, or dealers; Division committed a prejudicial error evidenced by these letters, market and do not impose any burden on or that the Division’s delegated action participants have differing views on the competition not necessary or involved an error of fact or law that impact of the proposal and whether it is appropriate in furtherance of the would provide an appropriate basis for consistent with the Act. In recognition purposes of the Exchange Act.15 The Commission review. of the issues raised by commenters and Suspension Order finds that it is First, the BOX Petition does not allege in view of the significant legal and appropriate in the public interest, for that the Division committed any policy issues raised by the proposal, on the protection of investors, and prejudicial error in the conduct of the September 13, 2011, the Division, otherwise in furtherance of the purposes proceedings, including the decision to pursuant to delegated authority,12 of the Act to temporarily suspend the temporarily suspend and institute temporarily suspended BOX’s proposal proposed rule change and that it is proceedings to determine whether to and simultaneously instituted appropriate in the public interest to approve or disapprove the proposal. The proceedings to determine whether to institute disapproval proceedings in Commission recognizes the issues raised approve or disapprove the proposal.13 view of the significant legal and policy as to the impact of the fee change and In the Suspension Order, the Division, issues raised by the proposal.16 the differing views of market pursuant to delegated authority, states On September 20, 2011, BOX filed a participants outlined in the comments its belief that it is appropriate to notice of intention to petition for review received. The Division’s action through evaluate the effect of the proposed rule from BOX stating that, pursuant to the the Suspension Order provides an change on competition among different Commission Rule of Practice 430(b),17 opportunity for the Commission to types of market participants and on BOX appeals to the Commission the receive more focused comment and data market quality, and that it intends to Division’s action to institute on the issues raised, as well as an assess whether the potential fee proceedings by delegated authority. opportunity for the Commission to more disparity between BOX Participants Pursuant to Rule of Practice 431(e), a fully assess the issues raised and who initiate a PIP auction (‘‘PIP notice of intention to petition for review whether the filing is consistent with the Initiators’’) and BOX Participants who results in an automatic stay of the action Act. Based on the proposed rule change respond to a PIP auction (‘‘PIP by delegated authority.18 On September as filed, the comments received, and Responders’’) is consistent with the 27, 2011, BOX filed a petition to review BOX’s response to comments, the the Division’s action by delegated 8 Commission finds that the Division 17 CFR 200.30–3(a)(12). authority instituting proceedings to 9 See Securities Exchange Act Release No. 64981 acted appropriately in finding that it is (July 28, 2011), 76 FR 46858 (August 3, 2011). determine whether to approve or appropriate in the public interest, for 19 10 See letters to Elizabeth Murphy, Secretary, disapprove the filing. the protection of investors, and Commission, from John C. Nagel, Managing Director In considering whether to accept or otherwise in furtherance of the purposes and General Counsel, Citadel Securities LLC reject the BOX Petition, Rule 411(b)(2) (‘‘Citadel’’), dated August 12, 2011 (‘‘Citadel of the Act to temporarily suspend the 20 21 Letter’’); Andrew Stevens, Legal Counsel, IMC of the Rules of Practice requires that filing. Accordingly, the Commission Financial Markets (‘‘IMC’’), dated August 15, 2011 the Commission determine whether: finds that the Division did not commit (‘‘IMC Letter’’); Michael J. Simon, Secretary, (i) A prejudicial error was committed any prejudicial error in temporarily International Securities Exchange (‘‘ISE’’), dated by the Division in the conduct of the suspending and instituting proceedings August 22, 2011 (‘‘ISE Letter’’), and Christopher proceeding; or Nagy, Managing Director Order Strategy, TD with respect to BOX’s proposed rule Ameritrade, Inc. (‘‘TD Ameritrade’’), dated (ii) The Division’s decision embodies: change. (A) A finding or conclusion of September 12, 2011 (‘‘TD Ameritrade Letter’’). Second, the Division’s action to 11 See letter to Elizabeth Murphy, Secretary, material fact that is clearly erroneous; or Commission, from Anthony D. McCormick, Chief suspend the filing and institute proceedings is an interim step in the Executive Officer, BOX, dated September 9, 2011 14 See Suspension Order, supra note 3, at 58067. (‘‘BOX Letter’’). BOX filed its response to comments Under the proposed rule change, the Exchange Commission’s consideration of on Friday, September 9, 2011, two business days would charge both the PIP Initiator and the PIP substantive issues raised by the filing, prior to the end of the 60 day period during which Responder the same fee for executing an order in the Commission could act to suspend the filing and and one that did not embody a finding the PIP. However, if the PIP Initiator also submits institute proceedings, and 16 days after the close of of material fact. The Suspension Order the agency order into the PIP, the PIP Initiator the original comment period for the filing. receives the rebate paid to the agency order that is therefore is incapable of embodying a 12 17 CFR 200.30–3(a)(57) and (58). auctioned in the PIP. As a result, if the fee the PIP finding or conclusion of material fact 13 See Suspension Order, supra note 3. Section Initiator pays is aggregated with the rebate the PIP that is erroneous. Although BOX notes 19(b)(3)(C) of the Act, 15 U.S.C. 78s(b)(3)(C), Initiator receives for the agency order (i.e., a ‘‘net’’ that it provided the Division with data provides the statutory standard by which the fee), the PIP Initiator would pay a lower net fee Commission may temporarily suspend an compared to PIP Responders. The disparity between relating to six weeks of trading in the immediately effective proposed rule change. the net fees charged to a PIP Initiator and those BOX PIP that BOX believes supports a Specifically, Section 19(b)(3)(C) provides that the charged to a PIP Responder could be as high at finding that its fees are consistent with Commission may take such action ‘‘if it appears to $0.90 per contract. See id. at 58066–58067. the Commission that such action is necessary or 15 See id. at 58067. appropriate in the public interest, for the protection 21 Pursuant to the provisions of Section 16 See id. of investors, or otherwise in furtherance of the 19(b)(3)(C) of the Act, the Commission must 17 purposes of [the Act].’’ 15 U.S.C. 78s(b)(3)(C). If the 17 CFR 201.430(b). institute proceedings to determine whether to Commission temporarily suspends a rule change, it 18 17 CFR 201.431(e). approve or disapprove an immediately effective must institute proceedings under Section 19 See BOX Petition, supra note 2. rule change if it suspends such rule change. See 15 19(b)(2)(B) of the Act. See 15 U.S.C. 78s(b)(3)(C). 20 17 CFR 201.411(b)(2). U.S.C. 78s(b)(3)(C).

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the Act,22 the Division also received Order, the Commission does not believe SECURITIES AND EXCHANGE data from a commenter purporting to that the act of suspending and COMMISSION show a decline in average price instituting proceedings in this filing improvement and average percentage of embodies an exercise of discretion or a [Release No. 34–65590; File No. SR– 23 contracts price improved in the PIP. decision of law or policy that is NYSEAmex–2011–80] The Suspension Order states that the important and that the Commission Commission has not reached any should review. The Commission Self-Regulatory Organizations; NYSE conclusions with respect to the issues believes that the Division acted Amex LLC; Notice of Filing and 24 involved. To the contrary, the appropriately, based on the record, in Immediate Effectiveness of Proposed Suspension Order seeks additional determining that the underlying BOX Rule Change to Retire a Pilot Program comment and data with respect to the proposed rule change does merit 25 and Harmonize the Exchange’s rules issues raised by the filing, and the additional opportunity for comment and Regarding Listing Expirations with the institution of proceedings will provide Commission consideration. The Existing Rules of Other Exchanges the Commission the opportunity to Division’s Suspension Order is the more fully assess the issues raised, proper statutory mechanism to October 19, 2011. including a further assessment of the commence that process and conduct facts underlying the issues. Pursuant to Section 19(b)(1) of the Third, the Division’s action pursuant such review. Securities Exchange Act of 1934 to delegated authority to suspend the Finally, in its petition, BOX requests, (‘‘Act’’)1 and Rule 19b–4 thereunder,2 filing and institute proceedings is an if the Commission does determine to notice is hereby given that, on October interim step that does not involve a institute proceedings to determine 13, 2011, NYSE Amex LLC (the conclusion of law that is clearly whether to approve or disapprove the ‘‘Exchange’’ or ‘‘NYSE Amex’’) filed erroneous. The Suspension Order states proposal, that the Commission not stay with the Securities and Exchange that the Commission has not reached the effectiveness of the PIP fee during Commission (the ‘‘Commission’’) the any conclusions with respect to the the course of the proceedings.28 BOX proposed rule change as described in issues involved,26 and no finding as to notes its belief that the proposed fees Items I and II below, which Items have whether the proposed rule change is allow it to compete with larger options been prepared by the Exchange. The consistent with the Act was made in the exchanges that charge payment for order Commission is publishing this notice to Suspension Order. To the contrary, the flow fees that, in BOX’s view, are solicit comments on the proposed rule Suspension Order seeks additional substantially similar to the proposed change from interested persons. comment and data with respect to the fees and that suspension of the fees issues raised by the filing, which will would cause unfair harm to BOX.29 I. Self-Regulatory Organization’s help the Commission further assess the However, under Section 19(b)(3)(C) of Statement of the Terms of Substance of proposed rule change and inform its the Act,30 the Commission cannot the Proposed Rule Change ultimate decision as to whether the institute proceedings to determine proposed rule change is consistent with The Exchange proposes to amend whether to approve or disapprove an NYSE Amex Options Rule 903 (Series of the Act. Based on the proposed rule immediately effective rule change change as filed, the comments received, Options Open for Trading) and unless it first suspends the rule change. and BOX’s response to comments, the Commentary .11 thereto to retire a pilot The Commission does not find a Commission finds that the Division program and harmonize the Exchange’s sufficient basis in the BOX Petition to acted appropriately in finding that it is rules regarding listing expirations with appropriate in the public interest, for diverge from the process contemplated the existing rules of other exchanges. the protection of investors, and in the statute in this case by lifting the The text of the proposed rule change is otherwise in furtherance of the purposes suspension of the BOX PIP fee while it available at the Exchange, at http:// of the Act to temporarily suspend the conducts the proceedings to determine www.nyse.com, at the Commission’s filing.27 whether to approve or disapprove Public Reference Room, and at the Fourth, the BOX Petition does not BOX’s proposed rule change. Commission’s Web site at http:// specifically allege that the Division’s Importantly, commenters have raised www.sec.gov. action pursuant to delegated authority material concerns (including one who was an exercise of discretion or decision presented supporting data) that call into II. Self-Regulatory Organization’s of law or policy that is important and question whether BOX’s proposal Statement of the Purpose of, and that the Commission should review unduly burdens competition and Statutory Basis for, the Proposed Rule pursuant to the standard of Rule whether it is consistent with the Act. Change 431(b)(2). For purposes of determining Among other things, the Commission whether to grant de novo review of the will consider these issues, as well as In its filing with the Commission, the Division’s exercise of delegated BOX’s assertion that its proposed fees self-regulatory organization included authority with respect to the Suspension are comparable to fees in effect at other statements concerning the purpose of, options exchanges, during the conduct and basis for, the proposed rule change 22 The Division noted this data in the Suspension of the proceedings on BOX’s proposal. and discussed any comments it received Order. See Suspension Order, supra note 3, at on the proposed rule change. The text 58067. By the Commission. of those statements may be examined at 23 See Citadel Letter, supra note 10, at 3. Elizabeth M. Murphy, the places specified in Item IV below. 24 See Suspension Order, supra note 3, at 58067. Secretary. 25 See id. at 58067–68. The Exchange has prepared summaries, 26 See id. at 58067. [FR Doc. 2011–27517 Filed 10–24–11; 8:45 am] set forth in sections A, B, and C below, 27 Pursuant to the provisions of Section BILLING CODE 8011–01–P of the most significant parts of such 19(b)(3)(C) of the Act, the Commission must statements. institute proceedings to determine whether to approve or disapprove an immediately effective 28 See BOX Petition, supra note 2, at 10. rule change if it suspends such rule change. See 15 29 See id. at 9–10. 1 15 U.S.C.78s(b)(1). U.S.C. 78s(b)(3)(C). 30 See 15 U.S.C. 78s(b)(3)(C). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s Chapter IV, Sections 6 and 8 of NOM.’’9 the Exchange. To effect this change, the Statement of the Purpose of, and the Since PHLX’s rules did not hard code an Exchange is proposing to amend the text Statutory Basis for, the Proposed Rule upper limit on the maximum number of of Rule 903(b) and (c) to track the rule Change expirations that could be listed per text of NOM Chapter IV, Section 6 and class, ISE believed that PHLX (and PHLX Rule 1012. 1. Purpose NOM) had the ability to list expirations Finally, the Exchange is proposing to The purpose of the proposed rule that ISE would not be able to then list slightly modify Rule 903 regarding the change is to retire the Additional under its rules. As a result, ISE opening of additional series. Expiration Months Pilot Program (‘‘Pilot amended its rules by adding new Specifically, the Exchange proposes to Program’’) and to amend the Exchange’s Supplementary Material .10 to ISE Rule amend Rule 903(c) to permit the listing rules regarding listing expirations. This 504 and Supplementary Material .04 to of additional series when (among other filing is based on the existing rules of ISE Rule 2009 to permit ISE to list reasons) the market price of the the NASDAQ Options Market additional expiration months on options underlying stock moves more than five (‘‘NOM’’) 3 and NASDAQ OMX PHLX classes opened for trading on ISE if such strike prices from the initial exercise LLC (‘‘PHLX’’).4 expiration months are opened for price or prices.14 Currently, Rule 903(c) NYSE Amex Options Rules Governing trading on at least one other national permits the listing of additional series Listing of Expirations securities exchange.10 when the market price of the underlying Pursuant to NYSE Amex Rule 903, the Because the Exchange had adopted a stock moves substantially from the Exchange typically opens four Pilot Program similar to ISE’s, the initial exercise price or prices. This expiration months for each class of Exchange adopted new Commentary .14 proposed rule change again tracks PHLX options open for trading on the to Rule 903 that permits the Exchange and NOM’s existing rule text. Exchange: The first two being the two to list additional expiration months on The Exchange believes the proposed nearest months, regardless of the options classes opened for trading on rule change is proper, and indeed quarterly cycle on which that class the Exchange if such expiration months necessary, in light of the need to have trades, and the third and fourth being are opened for trading on at least one rules that do not put the Exchange at a the next two months of the quarterly other national securities exchange.11 competitive disadvantage. The cycle previously designated by the Retire Additional Expiration Months Exchange’s proposal puts the Exchange Exchange for that specific class. For Pilot and Adopt Amended Rules in the same position as PHLX and NOM competitive reasons, in 2010 the and provides the Exchange with the Exchange established the Pilot Program The Exchange established the Pilot same ability to initiate and match pursuant to which it could list up to an Program for competitive reasons. Now identical expirations across exchanges additional two expiration months, for a that the Exchange has the ability to for products that are multiply-listed and total of six expiration months for each match the expiration listings of other 12 fungible with one another. The class of options open for trading on the exchanges (that may exceed six Exchange believes that the proposed Exchange.5 The filing to establish the expirations and may occur on a regular rule change should encourage Pilot Program was substantially similar basis) the Exchange believes that the competition and be beneficial to traders in all material respects to a proposal of Pilot Program is no longer necessary and and market participants by providing the International Securities Exchange, is proposing to retire it. To effect this them with a means to trade on the 6 change, the Exchange is proposing to LLC (‘‘ISE’’). Exchange securities that are initiated by delete the text of Commentary .11 to After NYSE Amex and ISE established the Exchange and listed and traded on Rule 903, which sets forth the terms of their respective Pilot Programs, ISE other exchanges. submitted a filing in response to a PHLX the Pilot Program, which is currently filing regarding the listing of scheduled to expire on October 31, 2. Statutory Basis 13 expirations.7 In the PHLX filing, PHLX 2011. The Exchange believes that the amended its rules that so that it could As noted, the Exchange’s ability to proposed rule change is consistent with open ‘‘at least one expiration month’’ for match the expirations listed by other Section 6(b) of the Act,15 in general, and each class of standard options open for exchanges is set forth in Commentary furthers the objectives of Section 6(b)(5) trading on PHLX.8 PHLX stated in its .14 to Rule 903. This provision, of the Act,16 in particular, because it is filing that this amendment was ‘‘based however, only provides the Exchange designed to promote just and equitable directly on the recently approved rules with the ability to match expirations principles of trade, remove of another options exchange, namely initiated by other options exchanges. To impediments to and perfect the encourage competition and to place the mechanisms of a free and open market 3 See NOM Chapter IV, Section 6 (Series of Exchange on a level playing field, the and a national market system and, in Options Contracts Open for Trading). See also Exchange should have the same ability general, to protect investors and the Securities Exchange Act Release No. 57478 (March as PHLX and NOM to initiate public interest. In particular, the 12, 2008), 73 FR 14521 (March 18, 2008) (SR– expirations. Therefore, the Exchange is NASDAQ–2007–004 and SR–NASDAQ–2007–080). proposed rule change would permit the 4 See PHLX Rule 1012 (Series of Options Open for proposing to harmonize its rules with Exchange to accommodate requests Trading). See also Securities Exchange Act Release the rules of PHLX and NOM by made by ATP Holders and other market No. 63700 (January 11, 2011), 76 FR 2931 (January clarifying that NYSE Amex will open at 18, 2011) (SR–Phlx–2011–04). The PHLX filing was participants to list additional expiration least one expiration month and one months and thus encourages based on NOM’s existing rules. series for each class open for trading on 5 See Securities Exchange Act Release No. 63170 (October 25, 2010), 75 FR 66818 (October 29, 2010) 14 Rule 903(d) also permits the Exchange to add (SR–NYSEAmex–2010–99). 9 Id. additional series of options of the same class when 6 See Securities Exchange Act Release No. 63104 10 See supra note 7 at 24547. the Exchange deems it necessary to maintain an (October 14, 2010), 75 FR 64773 (October 20, 2010) 11 See Securities Exchange Act Release No. 64519 orderly market and to meet customer demand. (SR–ISE–2010–91). (May 19, 2011), 76 FR 30411 (May 25, 2011) (SR– These ‘‘additional series’’ provisions are similar to 7 See Securities Exchange Act Release No. 64343 NYSEAmex–2011–33). existing provisions in NOM Chapter IV, Section 6 (April 26, 2011), 76 FR 24546 (May 2, 2011) (SR– 12 See Commentary .14 to Rule 903. and PHLX Rule 1012. ISE–2011–26). See also supra note 4. 13 The Exchange proposes to mark Commentary 15 15 U.S.C. 78f(b). 8 See supra note 4 at 2932. .11 to Rule 903 as ‘‘Reserved.’’ 16 15 U.S.C. 78f(b)(5).

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competition without harming investors investors, or otherwise in furtherance of For the Commission, by the Division of or the public interest. the purposes of the Act. Trading and Markets, pursuant to delegated authority.20 B. Self-Regulatory Organization’s IV. Solicitation of Comments Kevin M. O’Neill, Statement on Burden on Competition Interested persons are invited to Deputy Secretary. The Exchange does not believe that submit written data, views, and [FR Doc. 2011–27520 Filed 10–24–11; 8:45 am] the proposed rule change will impose arguments concerning the foregoing, BILLING CODE 8011–01–P any burden on competition that is not including whether the proposed rule necessary or appropriate in furtherance change is consistent with the Act. of the purposes of the Act. Comments may be submitted by any of SECURITIES AND EXCHANGE COMMISSION C. Self-Regulatory Organization’s the following methods: Statement on Comments on the Electronic Comments [Release No. 34–65591; File No. SR– Proposed Rule Change Received From NYSEArca–2011–73] Members, Participants, or Others • Use the Commission’s Internet comment form (http://www.sec.gov/ Self-Regulatory Organizations; NYSE No written comments were solicited rules/sro.shtml); or Arca, Inc.; Notice of Filing and or received with respect to the proposed Immediate Effectiveness of Proposed • Send an e-mail to rule- rule change. Rule Change To Retire a Pilot Program [email protected]. Please include File and Harmonize the Exchange’s Rules III. Date of Effectiveness of the Number SR–NYSEAmex–2011–80 on Regarding Listing Expirations With the Proposed Rule Change and Timing for the subject line. Commission Action Existing Rules of Other Exchanges Paper Comments Because the foregoing proposed rule October 19, 2011. change does not significantly affect the • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the protection of investors or the public to Elizabeth M. Murphy, Secretary, Securities Exchange Act of 1934 interest, does not impose any significant Securities and Exchange Commission, (‘‘Act’’) 1 and Rule 19b-4 thereunder,2 burden on competition, and, by its 100 F Street, NE., Washington, DC notice is hereby given that, on October terms, does not become operative for 30 20549–1090. 13, 2011, NYSE Arca, Inc. (the days from the date on which it was All submissions should refer to File ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with filed, or such shorter time as the Number SR–NYSEAmex–2011–80. This the Securities and Exchange Commission may designate, it has file number should be included on the Commission (the ‘‘Commission’’) the become effective pursuant to Section subject line if e-mail is used. To help the proposed rule change as described in 17 19(b)(3)(A) of the Act and Rule 19b– Commission process and review your Items I and II below, which Items have 18 4(f)(6) thereunder. comments more efficiently, please use been prepared by the Exchange. The The Exchange has requested that the only one method. The Commission will Commission is publishing this notice to Commission waive the 30-day operative post all comments on the Commission’s solicit comments on the proposed rule delay. The Commission believes that Internet Web site (http://www.sec.gov/ change from interested persons. waiver of the operative delay is rules/sro.shtml). Copies of the I. Self-Regulatory Organization’s consistent with the protection of submission, all subsequent Statement of the Terms of Substance of investors and the public interest amendments, all written statements the Proposed Rule Change because the proposal should promote with respect to the proposed rule competition by allowing the Exchange, change that are filed with the The Exchange proposes to amend without undue delay, to incorporate Commission, and all written NYSE Arca Options Rule 6.4 (Series of rules that previously have been adopted communications relating to the Options Open for Trading) and by other exchanges and thereby to list proposed rule change between the Commentary .09 thereto to retire a pilot and trade option series that are trading Commission and any person, other than program and harmonize the Exchange’s on those other options exchanges. those that may be withheld from the rules regarding listing expirations with Therefore, the Commission designates public in accordance with the the existing rules of other exchanges. the proposal operative upon filing.19 provisions of 5 U.S.C. 552, will be The text of the proposed rule change is At any time within 60 days of the available for Web site viewing and available at the Exchange, at http:// filing of the proposed rule change, the printing in the Commission’s Public www.nyse.com, at the Commission’s Commission summarily may Reference Room, 100 F Street, NE., Public Reference Room, and at the temporarily suspend such rule change if Washington, DC 20549, on official Commission’s Web site at http:// it appears to the Commission that such business days between the hours of www.sec.gov. action is necessary or appropriate in the 10 a.m. and 3 p.m. Copies of the filing II. Self-Regulatory Organization’s public interest, for the protection of also will be available for inspection and Statement of the Purpose of, and copying at the principal office of the 17 Statutory Basis for, the Proposed Rule 15 U.S.C. 78s(b)(3)(A). Exchange. All comments received will Change 18 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– be posted without change; the 4(f)(6)(iii) requires the Exchange to give the In its filing with the Commission, the Commission does not edit personal Commission written notice of the Exchange’s intent self-regulatory organization included to file the proposed rule change, along with a brief identifying information from statements concerning the purpose of, description and text of the proposed rule change, submissions. You should submit only at least five business days prior to the date of filing and basis for, the proposed rule change information that you wish to make of the proposed rule change, or such shorter time and discussed any comments it received available publicly. All submissions as designated by the Commission. The Exchange on the proposed rule change. The text has satisfied this requirement. should refer to File Number SR– 19 For purposes only of waiving the 30-day NYSEAmex–2011–80 and should be operative delay, the Commission has considered the 20 17 CFR 200.30–3(a)(12). proposed rule’s impact on efficiency, competition, submitted on or before November 15, 1 15 U.S.C.78s(b)(1). and capital formation. See 15 U.S.C. 78c(f). 2011. 2 17 CFR 240.19b–4.

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of those statements may be examined at open ‘‘at least one expiration month’’ for and NOM to initiate expirations. the places specified in Item IV below. each class of standard options open for Therefore, the Exchange is proposing to The Exchange has prepared summaries, trading on PHLX.8 PHLX stated in its harmonize its rules with the rules of set forth in sections A, B, and C below, filing that this amendment was ‘‘based PHLX and NOM by clarifying that NYSE of the most significant parts of such directly on the recently approved rules Arca will open at least one expiration statements. of another options exchange, namely month and one series for each class Chapter IV, Sections 6 and 8 of NOM.’’ 9 A. Self-Regulatory Organization’s open for trading on the Exchange. To Since PHLX’s rules did not hard code an Statement of the Purpose of, and the effect this change, the Exchange is upper limit on the maximum number of Statutory Basis for, the Proposed Rule proposing to amend the text of Rule expirations that could be listed per Change 6.4(a) to track the rule text of NOM class, ISE believed that PHLX (and Chapter IV, Section 6 and PHLX Rule 1. Purpose NOM) had the ability to list expirations 1012. The purpose of the proposed rule that ISE would not be able to then list Finally, the Exchange is proposing to change is to retire the Additional under its rules. As a result, ISE slightly modify Rule 6.4 regarding the Expiration Months Pilot Program (‘‘Pilot amended its rules by adding new opening of additional series. Program’’) and to amend the Exchange’s Supplementary Material .10 to ISE Rule Specifically, the Exchange proposes to rules regarding listing expirations. This 504 and Supplementary Material .04 to amend Rule 6.4(a) to permit the listing filing is based on the existing rules of ISE Rule 2009 to permit ISE to list of additional series when (among other the NASDAQ Options Market additional expiration months on options reasons) the market price of the (‘‘NOM’’) 3 and NASDAQ OMX PHLX classes opened for trading on ISE if such underlying stock moves more than five LLC (‘‘PHLX’’).4 expiration months are opened for strike prices from the initial exercise trading on at least one other national price or prices.14 Currently, Rule 6.4(a) NYSE Arca Options Rules Governing securities exchange.10 permits the listing of additional series Listing of Expirations Because the Exchange had adopted a when the market price of the underlying Pursuant to NYSE Arca Rule 6.4, the Pilot Program similar to ISE’s, the stock moves substantially from the Exchange typically opens four Exchange adopted new Commentary .12 initial exercise price or prices. This expiration months for each class of to Rule 6.4 that permits the Exchange to proposed rule change again tracks PHLX options open for trading on the list additional expiration months on and NOM’s existing rule text. Exchange: the first two being the two options classes opened for trading on The Exchange believes the proposed nearest months, regardless of the the Exchange if such expiration months rule change is proper, and indeed quarterly cycle on which that class are opened for trading on at least one necessary, in light of the need to have trades, and the third and fourth being other national securities exchange.11 rules that do not put the Exchange at a the next two months of the quarterly Retire Additional Expiration Months competitive disadvantage. The cycle previously designated by the Pilot and Adopt Amended Rules Exchange’s proposal puts the Exchange Exchange for that specific class. For in the same position as PHLX and NOM competitive reasons, in 2010 the The Exchange established the Pilot and provides the Exchange with the Exchange established the Pilot Program Program for competitive reasons. Now same ability to initiate and match pursuant to which it could list up to an that the Exchange has the ability to identical expirations across exchanges additional two expiration months, for a match the expiration listings of other 12 for products that are multiply-listed and total of six expiration months for each exchanges (that may exceed six fungible with one another. The class of options open for trading on the expirations and may occur on a regular Exchange believes that the proposed Exchange.5 The filing to establish the basis) the Exchange believes that the rule change should encourage Pilot Program was substantially similar Pilot Program is no longer necessary and competition and be beneficial to traders in all material respects to a proposal of is proposing to retire it. To effect this and market participants by providing the International Securities Exchange, change, the Exchange is proposing to them with a means to trade on the LLC (‘‘ISE’’).6 delete the text of Commentary .09 to Exchange securities that are initiated by After NYSE Arca and ISE established Rule 6.4, which sets forth the terms of the Exchange and listed and traded on their respective Pilot Programs, ISE the Pilot Program, which is currently other exchanges. submitted a filing in response to a PHLX scheduled to expire on October 31, filing regarding the listing of 2011.13 2. Statutory Basis expirations.7 In the PHLX filing, PHLX As noted, the Exchange’s ability to The Exchange believes that the amended its rules that so that it could match the expirations listed by other proposed rule change is consistent exchanges is set forth in Commentary withSection 6(b) of the Act,15 in general, 3 See NOM Chapter IV, Section 6 (Series of .12 to Rule 6.4. This provision, however, and furthers the objectives of Section Options Contracts Open for Trading). See also only provides the Exchange with the 6(b)(5) of the Act,16 inparticular, Securities Exchange Act Release No. 57478 (March ability to match expirations initiated by 12, 2008), 73 FR 14521 (March 18, 2008) (SR– because it is designed to promote just NASDAQ–2007–004 and SR–NASDAQ–2007–080). other options exchanges. To encourage and equitable principles of trade, 4 See PHLX Rule 1012 (Series of Options Open for competition and to place the Exchange remove impediments to and perfect the Trading). See also Securities Exchange Act Release on a level playing field, the Exchange mechanisms of a free and open market No. 63700 (January 11, 2011), 76 FR 2931 (January should have the same ability as PHLX 18, 2011) (SR–Phlx–2011–04). The PHLX filing was and a national market system and, in based on NOM’s existing rules. 8 5 See Securities Exchange Act Release No. 63133 See supra note 4 at 2932. 14 Rule 6.4(a) would also be amended to permit (October 19, 2010), 75 FR 65545 (October 25, 2010) 9 Id. the Exchange to add additional series of options of (SR–NYSEArca–2010–93). 10 See supra note 7 at 24547. the same class when the Exchange deems it 6 See Securities Exchange Act Release No. 63104 11 See Securities Exchange Act Release No. 64518 necessary to maintain an orderly market and to (October 14, 2010), 75 FR 64773 (October 20, 2010) (May 19, 2011), 76 FR 30409 (May 25, 2011) (SR– meet customer demand. These ‘‘additional series’’ (SR–ISE–2010–91). NYSEArca–2011–28). provisions are similar to existing provisions in 7 See Securities Exchange Act Release No. 64343 12 See Commentary .12 to Rule 6.4. NOM Chapter IV, Section 6 and PHLX Rule 1012. (April 26, 2011), 76 FR 24546 (May 2, 2011) (SR– 13 The Exchange proposes to mark Commentary 15 15 U.S.C. 78f(b). ISE–2011–26). See also supra note 4. .09 to Rule 6.4 as ‘‘Reserved.’’ 16 15 U.S.C. 78f(b)(5).

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general, to protect investors and the At any time within 60 days of the available publicly. All submissions public interest. In particular, the filing of the proposed rule change, the should refer to File Number SR– proposed rule change would permit the Commission summarily may NYSEArca-2011–73 and should be Exchange to accommodate requests temporarily suspend such rule change if submitted on or before November 15, made by OTP Holders and other market it appears to the Commission that such 2011. participants to list additional expiration action is necessary or appropriate in the For the Commission, by the Division of months and thus encourages public interest, for the protection of Trading and Markets, pursuant to delegated competition without harming investors investors, or otherwise in furtherance of authority.20 or the public interest. the purposes of the Act. Kevin M. O’Neill, B. Self-Regulatory Organization’s IV. Solicitation of Comments Deputy Secretary. Statement on Burden on Competition Interested persons are invited to [FR Doc. 2011–27521 Filed 10–24–11; 8:45 am] The Exchange does not believe that submit written data, views, and BILLING CODE 8011–01–P the proposed rule change will impose arguments concerning the foregoing, any burden on competition that is not including whether the proposed rule SMALL BUSINESS ADMINISTRATION necessary or appropriate in furtherance change is consistent with the Act. of the purposes of the Act. Comments may be submitted by any of [Disaster Declaration #12848 and #12849] the following methods: C. Self-Regulatory Organization’s Texas Disaster Number TX–00382 Statement on Comments on the Electronic Comments Proposed Rule Change Received From • Use the Commission’s Internet AGENCY: U.S. Small Business Members, Participants, or Others comment form (http://www.sec.gov/ Administration. ACTION: No written comments were solicited rules/sro.shtml); or Amendment 3. • Send an e-mail to rule- or received with respect to the proposed SUMMARY: This is an amendment of the [email protected]. Please include File rule change. Presidential declaration of a major Number SR–NYSEArca-2011–73 on the disaster for Public Assistance Only for III. Date of Effectiveness of the subject line. Proposed Rule Change and Timing for the State of Texas (FEMA—4029—DR), Commission Action Paper Comments dated 09/21/2011. • Send paper comments in triplicate Incident: Wildfires. Because the foregoing proposed rule Incident Period: 08/30/2011 and change does not significantly affect the to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, continuing. protection of investors or the public Effective Date: 10/13/2011. interest, does not impose any significant 100 F Street, NE., Washington, DC Physical Loan Application Deadline burden on competition, and, by its 20549–1090. Date: 11/21/2011. All submissions should refer to File terms, does not become operative for 30 Economic Injury (EIDL) Loan Number SR–NYSEArca-2011–73. This days from the date on which it was Application Deadline Date: 06/21/2012. file number should be included on the filed, or such shorter time as the ADDRESSES: Submit completed loan subject line if e-mail is used. To help the Commission may designate, it has applications to: U.S. Small Business Commission process and review your become effective pursuant to Section Administration, Processing and comments more efficiently, please use 19(b)(3)(A) of the Act 17 and Rule 19b- Disbursement Center, 14925 Kingsport only one method. The Commission will 4(f)(6) thereunder.18 Road, Fort Worth, TX 76155. post all comments on the Commission’s The Exchange has requested that the Internet Web site (http://www.sec.gov/ FOR FURTHER INFORMATION CONTACT: A. Commission waive the 30-day operative rules/sro.shtml). Copies of the Escobar, Office of Disaster Assistance, delay. The Commission believes that submission, all subsequent U.S. Small Business Administration, waiver of the operative delay is amendments, all written statements 409 3rd Street, SW., Suite 6050, consistent with the protection of with respect to the proposed rule Washington, DC 20416. investors and the public interest change that are filed with the SUPPLEMENTARY INFORMATION: The notice because the proposal should promote Commission, and all written of the President’s major disaster competition by allowing the Exchange, communications relating to the declaration for Private Non-Profit without undue delay, to incorporate proposed rule change between the organizations in the State of Texas, rules that previously have been adopted Commission and any person, other than dated 09/21/2011, is hereby amended to by other exchanges and thereby to list those that may be withheld from the include the following areas as adversely and trade option series that are trading public in accordance with the affected by the disaster. on those other options exchanges. provisions of 5 U.S.C. 552, will be Primary Counties: Anderson, Therefore, the Commission designates available for website viewing and Henderson, Hill, Marion, Smith, the proposal operative upon filing.19 printing in the Commission’s Public Upshur. 17 15 U.S.C. 78s(b)(3)(A). Reference Room, 100 F Street, NE., All other information in the original 18 17 CFR 240.19b-4(f)(6). In addition, Rule 19b- Washington, DC 20549, on official declaration remains unchanged. business days between the hours of 10 4(f)(6)(iii) requires the Exchange to give the (Catalog of Federal Domestic Assistance Commission written notice of the Exchange’s intent a.m. and 3 p.m. Copies of the filing also Numbers 59002 and 59008) to file the proposed rule change, along with a brief will be available for inspection and description and text of the proposed rule change, James E. Rivera, at least five business days prior to the date of filing copying at the principal office of the of the proposed rule change, or such shorter time Exchange. All comments received will Associate Administrator for Disaster as designated by the Commission. The Exchange be posted without change; the Assistance. has satisfied this requirement. Commission does not edit personal [FR Doc. 2011–27478 Filed 10–24–11; 8:45 am] 19 For purposes only of waiving the 30-day operative delay, the Commission has considered the identifying information from BILLING CODE 8025–01–P proposed rule’s impact on efficiency, competition, submissions. You should submit only and capital formation. See 15 U.S.C. 78c(f). information that you wish to make 20 17 CFR 200.30–3(a)(12).

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SMALL BUSINESS ADMINISTRATION Incident Period: 08/25/2011 through SUPPLEMENTARY INFORMATION: The notice 09/01/2011. of the President’s major disaster [Disaster Declaration #12822 and #12823] Effective Date: 10/17/2011. declaration for Private Non-Profit Physical Loan Application Deadline organizations in the Commonwealth of Pennsylvania Disaster Number PA– Date: 11/30/2011. 00044 Pennsylvania, dated 10/07/2011, is EIDL Loan Application Deadline Date: hereby amended to establish the AGENCY: U.S. Small Business 05/31/2012. incident period for this disaster as Administration. ADDRESSES: Submit completed loan beginning 09/03/2011 and continuing ACTION: Amendment 2. applications to: U.S. Small Business through 10/15/2011. Administration, Processing and All other information in the original SUMMARY: This is an amendment of the Disbursement Center, 14925 Kingsport declaration remains unchanged. Presidential declaration of a major Road, Fort Worth, TX 76155. (Catalog of Federal Domestic Assistance disaster for the Commonwealth of FOR FURTHER INFORMATION CONTACT: A. Numbers 59002 and 59008) Pennsylvania (FEMA—4030—DR), Escobar, Office of Disaster Assistance, dated 09/12/2011. U.S. Small Business Administration, James E. Rivera, Incident: Tropical Storm Lee. 409 3rd Street, SW., Suite 6050, Associate Administrator for Disaster Incident Period: 09/03/2011 through Washington, DC 20416. Assistance. 10/15/2011. SUPPLEMENTARY INFORMATION: The notice [FR Doc. 2011–27481 Filed 10–24–11; 8:45 am] Effective Date: 10/15/2011. of the President’s major disaster BILLING CODE 8025–01–P Physical Loan Application Deadline declaration for the State of North Date: 11/14/2011. Carolina, dated 08/31/2011 is hereby EIDL Loan Application Deadline Date: amended to extend the deadline for SMALL BUSINESS ADMINISTRATION 06/12/2012. filing applications for physical damages [Disaster Declaration #12879 and #12880] ADDRESSES: Submit completed loan as a result of this disaster to 11/30/2011. applications to: U.S. Small Business All other information in the original Pennsylvania Disaster Number PA– Administration, Processing And declaration remains unchanged. 00045 Disbursement Center, 14925 Kingsport (Catalog of Federal Domestic Assistance AGENCY: U.S. Small Business Road, Fort Worth, TX 76155. Numbers 59002 and 59008) Administration. FOR FURTHER INFORMATION CONTACT: A. James E. Rivera, ACTION: Amendment 1. Escobar, Office of Disaster Assistance, Associate Administrator for Disaster U.S. Small Business Administration, Assistance. SUMMARY: This is an amendment of the 409 3rd Street, SW., Suite 6050, [FR Doc. 2011–27492 Filed 10–24–11; 8:45 am] Presidential declaration of a major Washington, DC 20416. disaster for Public Assistance Only for BILLING CODE 8025–01–P SUPPLEMENTARY INFORMATION: The notice the Commonwealth of Pennsylvania of the President’s major disaster (FEMA–4030–DR), dated 10/07/2011. declaration for the Commonwealth of SMALL BUSINESS ADMINISTRATION Incident: Tropical Storm Lee. PENNSYLVANIA, dated 09/12/2011 is Incident Period: 09/03/2011 and hereby amended to establish the [Disaster Declaration #12879 and #12880] continuing. incident period for this disaster as Effective Date: 10/14/2011. Pennsylvania Disaster Number PA– Physical Loan Application Deadline beginning 09/03/2011 and continuing 00045 through 10/15/2011. Date: 12/06/2011. All other information in the original AGENCY: U.S. Small Business Economic Injury (EIDL) Loan declaration remains unchanged. Administration. Application Deadline Date: 07/09/2012. (Catalog of Federal Domestic Assistance ACTION: Amendment 2. ADDRESSES: Submit completed loan Numbers 59002 and 59008) applications to: U.S. Small Business SUMMARY: This is an amendment of the Administration, Processing and James E. Rivera, Presidential declaration of a major Disbursement Center, 14925 Kingsport Associate Administrator for Disaster disaster for Public Assistance Only for Road, Fort Worth, TX 76155. Assistance. the Commonwealth of Pennsylvania FOR FURTHER INFORMATION CONTACT: A. (FEMA–4030–DR), dated 10/07/2011. [FR Doc. 2011–27510 Filed 10–24–11; 8:45 am] Escobar, Office of Disaster Assistance, BILLING CODE 8025–01–P Incident: Tropical Storm Lee. Incident Period: 09/03/2011 through U.S. Small Business Administration, 10/15/2011. 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SMALL BUSINESS ADMINISTRATION Effective Date: 10/15/2011. Physical Loan Application Deadline SUPPLEMENTARY INFORMATION: The notice [Disaster Declaration #12774 and #12775] Date: 12/06/2011. of the President’s major disaster Economic Injury (EIDL) Loan declaration for Private Non-Profit North Carolina Disaster Number NC– Application Deadline Date: 07/09/2012. organizations in the Commonwealth of 00036 ADDRESSES: Submit completed loan Pennsylvania, dated 10/07/2011, is AGENCY: U.S. Small Business applications to: U.S. Small Business hereby amended to include the Administration. Administration, Processing and following areas as adversely affected by the disaster. ACTION: Amendment 7. Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. Primary Counties: Bedford, Bucks, SUMMARY: This is an amendment of the FOR FURTHER INFORMATION CONTACT: A. Huntingdon, Montgomery, Presidential declaration of a major Escobar, Office of Disaster Assistance, Northumberland, Perry, Tioga, Union, disaster for the State of North Carolina U.S. Small Business Administration, Wayne, York. (FEMA–4019–DR), dated 08/31/2011. 409 3rd Street, SW., Suite 6050, All other information in the original Incident: Hurricane Irene. Washington, DC 20416. declaration remains unchanged.

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(Catalog of Federal Domestic Assistance ACTION: Notice. SOCIAL SECURITY ADMINISTRATION Numbers 59002 and 59008) [Docket No. SSA–2011–0075] James E. Rivera, SUMMARY: This is a Notice of the Associate Administrator for Disaster Presidential declaration of a major Cost-of-Living Increase and Other Assistance. disaster for Public Assistance Only for Determinations for 2012 [FR Doc. 2011–27483 Filed 10–24–11; 8:45 am] the State of New Jersey (FEMA–4039– AGENCY: Social Security Administration. BILLING CODE 8025–01–P DR), dated 10/14/2011. Incident: Remnants of Tropical Storm ACTION: Notice. Lee. SUMMARY: Under title II of the Social SMALL BUSINESS ADMINISTRATION Incident Period: 09/06/2011 through Security Act (Act), there will be a 3.6 [Disaster Declaration #12858 and #12859] 09/11/2011. percent cost-of-living increase in Social Effective Date: 10/14/2011. Security benefits effective December New York Disaster Number NY–00113 2011. As a result of this increase, the Physical Loan Application Deadline following items will increase for 2012: AGENCY: U.S. Small Business Date: 12/13/2011. Administration. (1) The maximum Federal Economic Injury (EIDL) Loan Supplemental Security Income (SSI) ACTION: Amendment 4. Application Deadline Date: 07/16/2012. monthly benefit amounts for 2012 under SUMMARY: This is an amendment of the title XVI of the Act will be $698 for an ADDRESSES: Submit completed loan eligible individual, $1,048 for an Presidential declaration of a major applications to: U.S. Small Business eligible individual with an eligible disaster for Public Assistance Only for Administration, Processing and spouse, and $350 for an essential the State of New York (FEMA–4031– Disbursement Center, 14925 Kingsport person; DR), dated 09/23/2011. Road, Fort Worth, TX 76155. Incident: Remnants of Tropical Storm (2) The special benefit amount under Lee. FOR FURTHER INFORMATION CONTACT: A. title VIII of the Act for certain World Incident Period: 09/07/2011 through Escobar, Office of Disaster Assistance, War II veterans will be $523.50 for 2012; 09/11/2011. U.S. Small Business Administration, (3) The student earned income Effective Date: 10/13/2011. 409 3rd Street, SW., Suite 6050, exclusion under title XVI of the Act will Physical Loan Application Deadline Washington, DC 20416. be $1,700 per month in 2012, but not Date: 11/22/2011. more than $6,840 for all of 2012; Economic Injury (EIDL) Loan SUPPLEMENTARY INFORMATION: Notice is (4) The dollar fee limit for services Application Deadline Date: 06/25/2012. hereby given that as a result of the performed as a representative payee will ADDRESSES: Submit completed loan President’s major disaster declaration on be $38 per month ($75 per month in the applications to: U.S. Small Business 10/14/2011, Private Non-Profit case of a beneficiary who is disabled Administration, Processing and organizations that provide essential and has an alcoholism or drug addiction Disbursement Center, 14925 Kingsport services of governmental nature may file condition that leaves him or her Road, Fort Worth, TX 76155. disaster loan applications at the address incapable of managing benefits) in 2012; FOR FURTHER INFORMATION CONTACT: A. listed above or other locally announced and Escobar, Office of Disaster Assistance, locations. (5) The dollar limit on the U.S. Small Business Administration, The following areas have been administrative-cost assessment charged 409 3rd Street, SW., Suite 6050, determined to be adversely affected by to attorneys representing claimants will Washington, DC 20416. the disaster: be $86 in 2012. The national average wage index for SUPPLEMENTARY INFORMATION: The notice Primary Counties: Hunterdon, Mercer, 2010 is $41,673.83. This index affects of the President’s major disaster Passaic, Sussex, Warren. declaration for Private Non-Profit the following amounts: organizations in the State of New York, The Interest Rates are: (1) The Old-Age, Survivors, and dated 09/23/2011, is hereby amended to Disability Insurance (OASDI) include the following areas as adversely Percent contribution and benefit base will be affected by the disaster. $110,100 for remuneration paid in 2012 For Physical Damage: Primary Counties: Montgomery. and self-employment income earned in Non-Profit Organizations With taxable years beginning in 2012; All other information in the original Credit Available Elsewhere ... 3.250 (2) The monthly exempt amounts declaration remains unchanged. Non-Profit Organizations With- out Credit Available Else- under the OASDI retirement earnings (Catalog of Federal Domestic Assistance where ...... 3.000 test for taxable years ending in calendar Numbers 59002 and 59008) For Economic Injury: year 2012 will be $1,220, for years prior James E. Rivera, Non-Profit Organizations With- to the year in which a person attains his Associate Administrator for Disaster out Credit Available Else- or her Normal Retirement Age (NRA) Assistance. where ...... 3.000 and $3,240, for the year in which a [FR Doc. 2011–27487 Filed 10–24–11; 8:45 am] The number assigned to this disaster for person attains his or her NRA; BILLING CODE 8025–01–P physical damage is 128918 and for economic (3) The dollar amounts (‘‘bend injury is 128928. points’’) used in the primary insurance (Catalog of Federal Domestic Assistance amount (PIA) benefit formula for SMALL BUSINESS ADMINISTRATION Numbers 59002 and 59008) workers who become eligible for benefits, or who die before becoming [Disaster Declaration #12891 and #12892] James E. Rivera, eligible, in 2012 will be $767 and Associate Administrator for Disaster New Jersey Disaster #NJ–00028 $4,624; Assistance. (4) The bend points used in the AGENCY: U.S. Small Business [FR Doc. 2011–27491 Filed 10–24–11; 8:45 am] formula for computing maximum family Administration. BILLING CODE 8025–01–P benefits for workers who become

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eligible for benefits, or who die before Cost-of-Living Increases percent is effective for benefits under becoming eligible, in 2012 will be $980, title II of the Act. General $1,415, and $1,845; Section 215(i) also specifies that a benefit increase under title II, effective (5) The amount of taxable earnings a The cost-of-living increase is 3.6 for December of any year, will be person must have to be credited with a percent for benefits under titles II and limited to the increase in the national quarter of coverage in 2012 will be XVI of the Act. Under title II, OASDI benefits will increase by 3.6 percent for average wage index for the prior year if $1,130; individuals eligible for December 2011 the OASDI fund ratio for that year is (6) The ‘‘old-law’’ contribution and benefits, payable in January 2012. This below 20.0 percent. The OASDI fund benefit base under title II of the Act will increase is based on the authority ratio for a year is the ratio of the be $81,900 for 2012; contained in section 215(i) of the Act. combined assets of the Old-Age and (7) The monthly amount deemed to Pursuant to section 1617 of the Act, Survivors Insurance and Disability constitute substantial gainful activity for Federal SSI payment levels will also Insurance Trust Funds at the beginning statutorily blind individuals in 2012 increase by 3.6 percent effective for of that year to the combined will be $1,690, and the corresponding payments made for the month of expenditures of these funds during that year. For 2011, the OASDI fund ratio is amount for non-blind disabled persons January 2012 but paid on December 30, assets of $2,608,950 million divided by will be $1,010; 2011. estimated expenditures of $738,528 (8) The earnings threshold Computation million, or 353.3 percent. Because the establishing a month as a part of a trial Section 215(i)(1)(B) of the Act defines 353.3 percent OASDI fund ratio exceeds work period will be $720 for 2012; and a ‘‘computation quarter’’ to be a third 20.0 percent, the benefit increase for (9) Coverage thresholds for 2012 will calendar quarter in which the average December 2011 is not limited. be $1,800 for domestic workers and Consumer Price Index (CPI) for Urban Program Amounts That Change Based $1,500 for election officials and election Wage Earners and Clerical Workers on the Cost-of-Living Increase workers. exceeded the average CPI in the The following program amounts previous computation quarter. The last FOR FURTHER INFORMATION CONTACT: change based on the cost-of-living cost-of-living increase, effective for increase: (1) Title II; (2) title XVI; (3) Susan C. Kunkel, Office of the Chief those eligible to receive title II benefits title VIII; (4) the student earned income Actuary, Social Security for December 2008, was based on the exclusion; (5) the fee for services Administration, 6401 Security CPI increase from the third quarter of performed by a representative payee; Boulevard, Baltimore, MD 21235, (410) 2007 to the third quarter of 2008. and (6) the attorney assessment fee. 965–3000. Information relating to this Accordingly, the last computation announcement is available on our quarter is the third quarter of 2008. The Title II Benefit Amounts Internet site at http:// law stipulates that a cost-of-living www.socialsecurity.gov/oact/cola/ In accordance with section 215(i) of increase for benefits is determined the Act, for workers and family index.html. For information on based on the percentage increase, if any, members for whom eligibility for eligibility or claiming benefits, call 1– in the CPI from the last computation benefits (i.e., the worker’s attainment of 800–772–1213, or visit our Internet site, quarter to the third quarter of the age 62, or disability or death before age Social Security Online, at http:// current year. Therefore, we compute the 62) occurred before 2012, benefits will www.socialsecurity.gov. increase in the CPI from the third increase by 3.6 percent beginning with quarter of 2008 to the third quarter of benefits for December 2011 which are SUPPLEMENTARY INFORMATION: In 2011. accordance with the Act, we must payable in January 2012. In the case of Section 215(i)(1) of the Act provides publish within 45 days after the close of first eligibility after 2011, the 3.6 that the CPI for a cost-of-living the third calendar quarter of 2011 the percent increase will not apply. computation quarter is the arithmetic For eligibility after 1978, benefits are benefit increase percentage and the mean of this index for the 3 months in revised table of ‘‘special minimum’’ generally determined using a benefit that quarter. In accordance with 20 CFR formula provided by the Social Security benefits (section 215(i)(2)(D)). Also, we 404.275, we round the arithmetic mean, Amendments of 1977 (Pub. L. 95–216), must publish on or before November 1 if necessary, to the nearest 0.001. The as described later in this notice. the national average wage index for CPI for Urban Wage Earners and Clerical For eligibility before 1979, we 2010 (section 215(a)(1)(D)), the OASDI Workers for each month in the quarter determine benefits by means of a benefit fund ratio for 2011 (section ending September 30, 2008, is: For July table. The table is available on the 215(i)(2)(C)(ii)), the OASDI contribution 2008, 216.304; for August 2008, Internet at http:// and benefit base for 2012 (section 215.247; and for September 2008, www.socialsecurity.gov/oact/progdata/ 230(a)), the amount of earnings required 214.935. The arithmetic mean for that tableForm.html or by writing to: Social to be credited with a quarter of coverage calendar quarter is 215.495. The Security Administration, Office of in 2012 (section 213(d)(2)), the monthly corresponding CPI for each month in the Public Inquiries, Windsor Park exempt amounts under the Social quarter ending September 30, 2011, is: Building, 6401 Security Boulevard, Security retirement earnings test for For July 2011, 222.686; for August 2011, Baltimore, MD 21235. 2012 (section 203(f)(8)(A)), the formula 223.326; and for September 2011, Section 215(i)(2)(D) of the Act for computing a PIA for workers who 223.688. The arithmetic mean for this requires that, when we determine an first become eligible for benefits or die calendar quarter is 223.233. The CPI for increase in Social Security benefits, we in 2012 (section 215(a)(1)(D)), and the the calendar quarter ending September will publish in the Federal Register a formula for computing the maximum 30, 2011, exceeds that for the calendar revision of the range of the PIAs and amount of benefits payable to the family quarter ending September 30, 2008 by corresponding maximum family benefits of a worker who first becomes eligible 3.6 percent (rounded to the nearest 0.1), based on the dollar amount and other for old-age benefits or dies in 2012 beginning December 2011. Therefore, a provisions described in section (section 203(a)(2)(C)). cost-of-living benefit increase of 3.6 215(a)(1)(C)(i). We refer to these benefits

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as special minimum benefits. These effective for 2012, are $8,376, $12,576, of the monthly benefit involved; or (2) benefits are payable to certain and $4,200. Dividing the yearly amounts $37 per month ($72 per month in any individuals with long periods of by 12 gives the corresponding monthly case in which the beneficiary is entitled relatively low earnings. To qualify for amounts for 2012—$698, $1,048, and to disability benefits and has an such benefits, an individual must have $350, respectively. In the case of an alcoholism or drug addiction condition at least 11 years of coverage. To earn a eligible individual with an eligible that makes the individual incapable of year of coverage for purposes of the spouse, we equally divide the amount managing such benefits). The dollar fee special minimum benefit, a person must payable between the two spouses. limits are subject to increase by the cost- earn at least a certain proportion of the Title VIII Benefit Amount of-living increase, with the resulting ‘‘old-law’’ contribution and benefit base amounts rounded to the nearest whole (described later in this notice). For years Title VIII of the Act provides for dollar amount. Accordingly, we increase before 1991, the proportion is 25 special benefits to certain World War II the current amounts by 3.6 percent to percent; for years after 1990, it is 15 veterans residing outside the United $38 and $75 for 2012. percent. In accordance with section States. Section 805 provides that ‘‘[t]he 215(a)(1)(C)(i), the table below shows benefit under this title payable to a Attorney Assessment Fee the revised range of PIAs and qualified individual for any month shall Under sections 206(d) and 1631(d) of corresponding maximum family benefit be in an amount equal to 75 percent of the Act, whenever we pay fees to an amounts after the 3.6 percent benefit the Federal benefit rate [the maximum attorney who has represented a increase. amount for an eligible individual] under title XVI for the month, reduced by the claimant, we must impose on the attorney an assessment to cover SPECIAL MINIMUM PIAS AND MAXIMUM amount of the qualified individual’s benefit income for the month.’’ administrative costs. Such assessment is FAMILY BENEFITS PAYABLE FOR DE- no more than 6.3 percent of the CEMBER 2011 Accordingly, the monthly benefit for 2012 under this provision is 75 percent attorney’s fee or, if lower, a dollar amount that is subject to increase by the Number of Primary Maximum of $698, or $523.50. years of insurance family cost-of-living increase. We derive the coverage amount benefit Student Earned Income Exclusion dollar limit for December 2011 by A blind or disabled child who is a increasing the unrounded limit for 11 ...... $38.20 $58.10 student regularly attending school, December 2010, $83.85, by 3.6 percent, 12 ...... 77.80 117.70 college, university, or a course of which is $86.87. We then round $86.87 13 ...... 117.60 177.10 to the next lower multiple of $1. The 14 ...... 157.00 236.30 vocational or technical training can 15 ...... 196.20 295.40 have limited earnings that are not dollar limit effective for December 2011 16 ...... 236.00 355.10 counted against his or her SSI benefits. is, therefore, $86. 17 ...... 275.60 414.90 The maximum amount of such income National Average Wage Index for 2010 18 ...... 315.20 474.00 that may be excluded in 2011 is $1,640 19 ...... 354.70 533.50 per month, but not more than $6,600 in Computation 20 ...... 394.40 592.50 all of 2011. These amounts increase 21 ...... 434.10 652.40 based on a formula set forth in We determined the national average 22 ...... 473.40 711.70 wage index for calendar year 2010 based 23 ...... 513.60 771.90 regulation 20 CFR 416.1112. 24 ...... 553.10 830.80 To compute each of the monthly and on the 2009 national average wage index 25 ...... 592.50 889.60 yearly maximum amounts for 2012, we of $40,711.61, announced in the Federal 26 ...... 632.70 950.10 increase the corresponding unrounded Register on November 30, 2010 (75 FR 27 ...... 671.80 1,009.30 amount for 2011 by the latest cost-of- 74123), along with the percentage 28 ...... 711.50 1,068.50 living increase. If the amount so increase in average wages from 2009 to 29 ...... 751.10 1,128.30 calculated is not a multiple of $10, we 2010, as measured by annual wage data. 30 ...... 790.60 1,187.00 round it to the nearest multiple of $10. We tabulate the annual wage data, The unrounded monthly amount for including contributions to deferred Title XVI Benefit Amounts 2011 is $1,637.89. We increase this compensation plans, as required by In accordance with section 1617 of amount by 3.6 percent to $1,696.85, section 209(k) of the Act. The average the Act, maximum Federal SSI benefit which we then round to $1,700. amounts of wages calculated directly amounts for the aged, blind, and Similarly, we increase the unrounded from these data were $39,036.67 and disabled will increase by 3.6 percent yearly amount for 2011, $6,602.32, by $39,959.30 for 2009 and 2010, effective January 2012. For 2011, we 3.6 percent to $6,840.00 and round this respectively. Note that the average derived the monthly benefit amounts for to $6,840. Accordingly, the maximum amount of wages for 2009 is different an eligible individual, an eligible amount of the income exclusion from the amount shown in last year’s individual with an eligible spouse, and applicable to a student in 2012 is $1,700 Federal Register announcement because for an essential person—$674, $1,011, per month but not more than $6,840 in it reflects our improved data edits for and $338, respectively—from all of 2012. this calculation. To determine the corresponding yearly unrounded national average wage index for 2010 at Federal SSI benefit amounts of Fee for Services Performed as a a level that is consistent with the $8,095.32, $12,141.61, and $4,056.93. Representative Payee national average wage indexing series For 2012, these yearly unrounded Sections 205(j)(4)(A)(i) and for 1951 through 1977 (published amounts increase by 3.6 percent to 1631(a)(2)(D)(i) of the Act permit a December 29, 1978, at 43 FR 61016), we $8,386.75, $12,578.71, and $4,202.98, qualified organization to collect from a multiply the 2009 national average wage respectively. Each of these resulting beneficiary a monthly fee for expenses index of $40,711.61 by the percentage amounts must be rounded, when not a incurred in providing services increase in average wages from 2009 to multiple of $12, to the next lower performed as such beneficiary’s 2010 (based on SSA-tabulated wage multiple of $12. Accordingly, the representative payee. Currently the fee data) as follows, with the result rounded corresponding annual amounts, is limited to the lesser of: (1) 10 Percent to the nearest cent.

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Amount If the resulting amount is not a multiple higher monthly exempt amount for 2012 Multiplying the national average wage of $300, it is rounded to the nearest is the larger of: (1) The 2002 monthly index for 2009 ($40,711.61) by the ratio multiple of $300. exempt amount multiplied by the ratio of the national average wage index for of the average wage for 2010 Amount ($39,959.30) to that for 2009 2010 to that for 2000; or (2) the 2011 ($39,036.67) produces the 2010 index, Multiplying the 1994 OASDI monthly exempt amount ($3,140). If the $41,673.83. The national average wage contribution and benefit base amount resulting amount is not a multiple of index for calendar year 2010 is about ($60,600) by the ratio of the national $10, it is rounded to the nearest 2.36 percent higher than the 2009 index. average wage index for 2010 ($41,673.83 multiple of $10. as determined above) to that for 1992 Program Amounts That Change Based Lower Exempt Amount on the National Average Wage Index ($22,935.42) produces the amount of Under various provisions of the Act, the $110,110.65. We round this amount to Multiplying the 1994 retirement following amounts change with annual $110,100. Because $110,100 exceeds the earnings test monthly exempt amount of changes in the national average wage current base amount of $106,800, the $670 by the ratio of the national average index: (1) The OASDI contribution and OASDI contribution and benefit base is wage index for 2010 ($41,673.83) to that benefit base; (2) the exempt amounts $110,100 for 2012. for 1992 ($22,935.42) produces the amount of $1,217.40. We round this to under the retirement earnings test; (3) Retirement Earnings Test Exempt $1,220. Because $1,220 exceeds the the dollar amounts, or ‘‘bend points,’’ in Amounts the PIA; (4) the bend points in the corresponding current exempt amount maximum family benefit formula; (5) General of $1,180, the lower retirement earnings the amount of earnings required for a We withhold Social Security benefits test monthly exempt amount is $1,220 worker to be credited with a quarter of when a beneficiary under the normal for 2012. The corresponding lower coverage; (6) the ‘‘old-law’’ contribution retirement age (NRA) has earnings in annual exempt amount is $14,640 under and benefit base (as determined under excess of the applicable retirement the retirement earnings test. section 230 of the Act as in effect before earnings test exempt amount. NRA is Higher Exempt Amount the 1977 amendments); (7) the the age of initial benefit entitlement for Multiplying the 2002 retirement substantial gainful activity amount which the benefit, before rounding, is earnings test monthly exempt amount of applicable to statutorily blind equal to the worker’s PIA. The NRA is $2,500 by the ratio of the national individuals; and (8) the coverage age 66 for those born in 1943–55, and average wage index for 2010 threshold for election officials and it gradually increases reaching age 67 ($41,673.83) to that for 2000 election workers. Also, section 3121(x) for those born in 1960 or later. A higher ($32,154.82) produces the amount of of the Internal Revenue Code requires exempt amount applies in the year in $3,240.09. We round this to $3,240. that the domestic employee coverage which a person attains his or her NRA, Because $3,240 exceeds the threshold be based on changes in the but only with respect to earnings in corresponding current exempt amount national average wage index. months prior to such attainment, and a of $3,140, the higher retirement earnings In addition to the amounts required lower exempt amount applies at all test monthly exempt amount is $3,240 by statute, two amounts increase under other ages below NRA. Section for 2012. The corresponding higher regulatory requirements—the 203(f)(8)(B) of the Act, as amended by annual exempt amount is $38,880 under substantial gainful activity amount section 102 of Public Law 104–121, the retirement earnings test. applicable to non-blind disabled provides formulas for determining the persons, and the monthly earnings monthly exempt amounts. The Primary Insurance Amount (PIA) threshold that establishes a month as corresponding annual exempt amounts Benefit Formula part of a trial work period for disabled are exactly 12 times the monthly General beneficiaries. amounts. OASDI Contribution and Benefit Base For beneficiaries attaining NRA in the The Social Security Amendments of year, we withhold $1 in benefits for 1977 provided a method for computing General every $3 of earnings in excess of the benefits that generally applies when a The OASDI contribution and benefit annual exempt amount for months prior worker first becomes eligible for benefits base is $110,100 for remuneration paid to such attainment. For all other after 1978. This method uses the in 2012 and self-employment income beneficiaries under NRA, we withhold worker’s average indexed monthly earned in taxable years beginning in $1 in benefits for every $2 of earnings earnings (AIME) to compute the PIA. 2012. The OASDI contribution and in excess of the annual exempt amount. We adjust the computation formula each year to reflect changes in general wage benefit base serves as the maximum Computation annual amount of earnings on which levels, as measured by the national OASDI taxes are paid. It is also the Under the formula applicable to average wage index. maximum annual amount of earnings beneficiaries who are under NRA and We also adjust, or index, a worker’s used in determining a person’s OASDI who will not attain NRA in 2012, the earnings to reflect the change in the benefits. lower monthly exempt amount for 2012 general wage levels that occurred during is the larger of: (1) The 1994 monthly the worker’s years of employment. Such Computation exempt amount multiplied by the ratio indexing ensures that a worker’s future Section 230(b) of the Act provides the of the national average wage index for benefit level will reflect the general rise formula used to determine the OASDI 2010 to that for 1992; or (2) the 2011 in the standard of living that will occur contribution and benefit base. Under the monthly exempt amount ($1,180). If the during his or her working lifetime. To formula, the base for 2012 is the larger resulting amount is not a multiple of compute the AIME, we first determine of: (1) The 1994 base of $60,600 $10, it is rounded to the nearest the required number of years of multiplied by the ratio of the national multiple of $10. earnings. We then select the number of average wage index for 2010 to that for Under the formula applicable to years with the highest indexed earnings, 1992; or (2) the current base ($106,800). beneficiaries attaining NRA in 2012, the add the indexed earnings for those

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years, and divide the total amount by payable to the family of a disabled Quarter of Coverage Amount the total number of months in those worker. This formula applies to the General years. We then round the resulting family benefits of workers who first average amount down to the next lower become entitled to disability insurance The amount of earnings required for dollar amount. The result is the AIME. benefits after June 30, 1980, and who a quarter of coverage in 2012 is $1,130. A quarter of coverage is the basic unit Computing the PIA first become eligible for these benefits after 1978. For disabled workers for determining whether a worker is The PIA is the sum of three separate initially entitled to disability benefits insured under the Social Security percentages of portions of the AIME. In before July 1980 or whose disability program. For years before 1978, we 1979 (the first year the formula was in began before 1979, we compute the generally credited an individual with a quarter of coverage for each quarter in effect), these portions were the first family maximum payable the same as which wages of $50 or more were paid, $180, the amount between $180 and the old-age and survivor family or with 4 quarters of coverage for every $1,085, and the amount over $1,085. We maximum. call the dollar amounts in the formula taxable year in which $400 or more of governing the portions of the AIME the Computing the Old-Age and Survivor self-employment income was earned. ‘‘bend points’’ of the formula. Therefore, Family Maximum Beginning in 1978, employers generally the bend points for 1979 were $180 and report wages on an annual basis instead $1,085. The formula used to compute the of a quarterly basis. With the change to To obtain the bend points for 2012, family maximum is similar to that used annual reporting, section 352(b) of the we multiply each of the 1979 bend- to compute the PIA. It involves Social Security Amendments of 1977 point amounts by the ratio of the computing the sum of four separate amended section 213(d) of the Act to national average wage index for 2010 to percentages of portions of the worker’s provide that a quarter of coverage would that average for 1977. We then round PIA. In 1979, these portions were the be credited for each $250 of an these results to the nearest dollar. first $230, the amount between $230 individual’s total wages and self- Multiplying the 1979 amounts of $180 and $332, the amount between $332 and employment income for calendar year and $1,085 by the ratio of the national $433, and the amount over $433. We 1978, up to a maximum of 4 quarters of average wage index for 2010 refer to such dollar amounts in the coverage for the year. ($41,673.83) to that for 1977 ($9,779.44) formula as the ‘‘bend points’’ of the Computation produces the amounts of $767.05 and family-maximum formula. Under the prescribed formula, the $4,623.59. We round these to $767 and To obtain the bend points for 2012, quarter of coverage amount for 2012 is $4,624. Accordingly, the portions of the we multiply each of the 1979 bend- the larger of (1) The 1978 amount of AIME to be used in 2012 are the first point amounts by the ratio of the $250 multiplied by the ratio of the $767, the amount between $767 and national average wage index for 2010 to national average wage index for 2010 to $4,624, and the amount over $4,624. that average for 1977. Then we round that for 1976; or (2) the current amount Consequently, for individuals who this amount to the nearest dollar. of $1,120. Section 213(d) provides that first become eligible for old-age Multiplying the amounts of $230, $332, if the resulting amount is not a multiple insurance benefits or disability and $433 by the ratio of the national of $10, it is rounded to the nearest insurance benefits in 2012, or who die average wage index for 2010 multiple of $10. in 2012 before becoming eligible for ($41,673.83) to that for 1977 ($9,779.44) benefits, their PIA will be the sum of: produces the amounts of $980.12, Quarter of Coverage Amount (a) 90 percent of the first $767 of their $1,414.78, and $1,845.17. We round Multiplying the 1978 quarter of AIME, plus. these amounts to $980, $1,415, and coverage amount ($250) by the ratio of (b) 32 percent of their AIME over $767 $1,845. Accordingly, the portions of the the national average wage index for and through $4,624, plus. PIAs to be used in 2012 are the first 2010 ($41,673.83) to that for 1976 (c) 15 percent of their AIME over $980, the amount between $980 and ($9,226.48) produces the amount of $4,624. $1,415, the amount between $1,415 and $1,129.19. We then round this amount We round this amount to the next $1,845, and the amount over $1,845. to $1,130. Because $1,130 exceeds the lower multiple of $0.10 if it is not Consequently, for the family of a current amount of $1,120, the quarter of already a multiple of $0.10. This coverage amount is $1,130 for 2012. formula and the rounding adjustment worker who becomes age 62 or dies in described above are contained in section 2012 before age 62, we will compute the ‘‘Old-Law’’ Contribution and Benefit 215(a) of the Act. total amount of benefits payable to them Base so that it does not exceed: Maximum Benefits Payable to a Family General (a) 150 percent of the first $980 of the General worker’s PIA, plus. The ‘‘old-law’’ contribution and benefit base for 2012 is $81,900. This The 1977 amendments continued the (b) 272 percent of the worker’s PIA base would have been effective under long-established policy of limiting the over $980 through $1,415, plus. the Act without the enactment of the total monthly benefits that a worker’s (c) 134 percent of the worker’s PIA 1977 amendments. family may receive based on his or her over $1,415 through $1,845, plus. The ‘‘old-law’’ contribution and PIA. Those amendments also continued benefit base is used by: (d) 175 percent of the worker’s PIA the then-existing relationship between (a) The Railroad Retirement program maximum family benefits and PIAs but over $1,845. to determine certain tax liabilities and changed the method of computing the We then round this amount to the tier II benefits payable under that maximum amount of benefits that may next lower multiple of $0.10 if it is not program to supplement the tier I be paid to a worker’s family. The Social already a multiple of $0.10. This payments that correspond to basic Security Disability Amendments of 1980 formula and the rounding adjustment Social Security benefits, (Pub. L. 96–265) established a formula described above are contained in section (b) the Pension Benefit Guaranty for computing the maximum benefits 203(a) of the Act. Corporation to determine the maximum

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amount of pension guaranteed under the Such amount for 2000 multiplied by the $724.88. We then round this amount to Employee Retirement Income Security ratio of the national average wage index $720. Because $720 equals the current Act (section 230(d) of the Act), for 2010 to that for 1998; or (2) such amount of $720, the monthly earnings (c) Social Security to determine a year amount for 2011. In either case, if the threshold is $720 for 2012. of coverage in computing the special resulting amount is not a multiple of Domestic Employee Coverage minimum benefit, as described earlier, $10, it is rounded to the nearest and multiple of $10. Threshold (d) Social Security to determine a year General of coverage (acquired whenever SGA Amount for Statutorily Blind earnings equal or exceed 25 percent of Individuals The minimum amount a domestic the ‘‘old-law’’ base for this purpose Multiplying the 1994 monthly SGA worker must earn so that such earnings only) in computing benefits for persons amount for statutorily blind individuals are covered under Social Security or who are also eligible to receive pensions ($930) by the ratio of the national Medicare is the domestic employee based on employment not covered average wage index for 2010 coverage threshold. For 2012, this under section 210 of the Act. ($41,673.83) to that for 1992 threshold is $1,800. Section 3121(x) of ($22,935.42) produces the amount of the Internal Revenue Code provides the Computation $1,689.82. We then round this amount formula for increasing the threshold. The ‘‘old-law’’ contribution and to $1,690. Because $1,690 exceeds the Computation benefit base is the larger of: (1) The 1994 current amount of $1,640, the monthly ‘‘old-law’’ base ($45,000) multiplied by SGA amount for statutorily blind Under the formula, the domestic the ratio of the national average wage individuals is $1,690 for 2012. employee coverage threshold amount index for 2010 to that for 1992; or (2) the for 2012 is equal to the 1995 amount of current ‘‘old-law’’ base ($79,200). If the SGA Amount for Non-Blind Disabled $1,000 multiplied by the ratio of the resulting amount is not a multiple of Individuals national average wage index for 2010 to $300, it is rounded to the nearest Multiplying the 2000 monthly SGA that for 1993. If the resulting amount is multiple of $300. amount for non-blind individuals ($700) not a multiple of $100, it is rounded to by the ratio of the national average wage the next lower multiple of $100. Amount index for 2010 ($41,673.83) to that for Domestic Employee Coverage Threshold Multiplying the 1994 ‘‘old-law’’ 1998 ($28,861.44) produces the amount Amount contribution and benefit base amount of $1,010.75. We then round this ($45,000) by the ratio of the national amount to $1,010. Because $1,010 Multiplying the 1995 domestic average wage index for 2010 exceeds the current amount of $1,000, employee coverage threshold amount ($41,673.83) to that for 1992 the monthly SGA amount for non-blind ($1,000) by the ratio of the national ($22,935.42) produces the amount of disabled individuals is $1,010 for 2012. average wage index for 2010 $81,765.34. We round this amount to ($41,673.83) to that for 1993 $81,900. Because $81,900 exceeds the Trial Work Period Earnings Threshold ($23,132.67) produces the amount of current amount of $79,200, the ‘‘old- General $1,801.51. We then round this amount law’’ contribution and benefit base is to $1,800. Accordingly, the domestic During a trial work period of 9 $81,900 for 2012. employee coverage threshold amount is months in a rolling 60-month period, a $1,800 for 2012. Substantial Gainful Activity Amounts beneficiary receiving Social Security disability benefits may test his or her Election Official and Election Worker General ability to work and still receive monthly Coverage Threshold A finding of disability under titles II benefit payments. To be considered a General and XVI of the Act requires that a trial work period month, earnings must person, except for a title XVI disabled be over a certain level. In 2012, any The minimum amount an election child, be unable to engage in substantial month in which earnings exceed $720 is official and election worker must earn gainful activity (SGA). A person who is considered a month of services for an so that such earnings are covered under earning more than a certain monthly individual’s trial work period. Social Security or Medicare is the amount is ordinarily considered to be election official and election worker engaging in SGA. The amount of Computation coverage threshold. For 2012, this monthly earnings considered as SGA The method used to determine the threshold is $1,500. Section 218(c)(8)(B) depends on the nature of a person’s new amount is set forth in our of the Act provides the formula for disability. Section 223(d)(4)(A) of the regulations at 20 CFR 404.1592(b). increasing the threshold. Act specifies a higher SGA amount for Monthly earnings in 2012, used to statutorily blind individuals under title determine whether a month is part of a Computation II while Federal regulations (20 CFR trial work period, is such amount for Under the formula, the election 404.1574 and 416.974) specify a lower 2001 ($530) multiplied by the ratio of official and election worker coverage SGA amount for non-blind individuals. the national average wage index for threshold amount for 2012 is equal to 2010 to that for 1999 or, if larger, such the 1999 amount of $1,000 multiplied Computation amount for 2011. If the amount so by the ratio of the national average wage The monthly SGA amount for calculated is not a multiple of $10, we index for 2010 to that for 1997. If the statutorily blind individuals under title round it to the nearest multiple of $10. amount so determined is not a multiple II for 2012 is the larger of: (1) Such of $100, it is rounded to the nearest amount for 1994 multiplied by the ratio Amount multiple of $100. of the national average wage index for Multiplying the 2001 monthly 2010 to that for 1992; or (2) such earnings threshold ($530) by the ratio of Election Worker Coverage Threshold amount for 2011. The monthly SGA the national average wage index for Amount amount for non-blind disabled 2010 ($41,673.83) to that for 1999 Multiplying the 1999 election worker individuals for 2012 is the larger of: (1) ($30,469.84) produces the amount of coverage threshold amount ($1,000) by

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the ratio of the national average wage 3. Talisman Energy USA Inc., Pad ID: Consumptive Use of up to 7.500 mgd; index for 2010 ($41,673.83) to that for 03 113 Vanblarcom, ABR–201108003, Approval Date: August 8, 2011. 1997 ($27,426.00) produces the amount Columbia Township, Bradford County, 16. Chesapeake Appalachia, LLC, Pad of $1,519.50. We then round this Pa.; Consumptive Use of up to 6.000 ID: Joe, ABR–201108014, Wilmot amount to $1,500. Accordingly, the mgd; Approval Date: August 1, 2011. Township, Bradford County, Pa.; election worker coverage threshold 4. Talisman Energy USA Inc., Pad ID: Consumptive Use of up to 7.500 mgd; amount is $1,500 for 2012. 03 110 Barlow, ABR–201108004, Approval Date: August 8, 2011. 17. Chesapeake Appalachia, LLC, Pad (Catalog of Federal Domestic Assistance: Columbia Township, Bradford County, Program Nos. 96.001 Social Security- Pa.; Consumptive Use of up to 6.000 ID: Rock Ridge, ABR–201108015, Disability Insurance; 96.002 Social Security- mgd; Approval Date: August 1, 2011. Towanda Township, Bradford County, Retirement Insurance; 96.004 Social Security- 5. Cabot Oil & Gas Corporation, Pad Pa.; Consumptive Use of up to 7.500 Survivors Insurance; 96.006 Supplemental ID: Mogridge P1, ABR–201108005, mgd; Approval Date: August 8, 2011. Security Income) Springville Township, Susquehanna 18. J–W Operating Company, Pad ID: County, Pa.; Consumptive Use of up to Pardee-F, ABR–201108016, Shippen Michael J. Astrue, 3.575 mgd; Approval Date: August 1, Township, Cameron County, Pa.; Commissioner of Social Security. 2011. Consumptive Use of up to 5.000 mgd; [FR Doc. 2011–27496 Filed 10–24–11; 8:45 am] 6. EXCO Resources, (PA), LLC, Pad Approval Date: August 9, 2011. BILLING CODE 4191–02–P ID: Lamborne Pad 195, ABR–201108006, 19. Anadarko E&P Company LP, Pad Jordan Township, Clearfield County, ID: COP Tract 356 Pad G, ABR– Pa.; Consumptive Use of up to 8.000 201108017, Cummings Township, SUSQUEHANNA RIVER BASIN mgd; Approval Date: August 1, 2011. Lycoming County, Pa.; Consumptive COMMISSION 7. Southwestern Energy Production Use of up to 4.000 mgd; Approval Date: Company, Pad ID: Cramer Pad, ABR– August 10, 2011. Projects Approved for Consumptive 201108007, New Milford Township, 20. Chief Oil & Gas LLC, Pad ID: Uses of Water Susquehanna County, Pa.; Consumptive Savage Drilling Pad #1, ABR–20118018, Use of up to 4.990 mgd; Approval Date: Elkland Township, Sullivan County, AGENCY: Susquehanna River Basin August 4, 2011. Pa.; Consumptive Use of up to 2.000 Commission. 8. Seneca Resources Corporation, Pad mgd; Approval Date: August 10, 2011. ACTION: Notice. ID: Rich Valley Pad B, ABR–201108008, 21. EXCO Resources (PA), LLC, Pad Shippen Township, Cameron County, ID: Sterner Drilling Pad #1, ABR– SUMMARY: This notice lists the projects Pa.; Consumptive Use of up to 4.000 201012036.1, Jackson Township, approved by rule by the Susquehanna mgd; Approval Date: August 8, 2011. Columbia County, Pa.; Consumptive Use River Basin Commission during the 9. Talisman Energy USA Inc., Pad ID: of up to 8.000 mgd; Approval Date: period set forth in ‘‘DATES.’’ 03 111 Stephani, ABR–201108009, August 12, 2011. DATES: August 1, 2011, through Columbia Township, Bradford County, 22. Chesapeake Appalachia, LLC, Pad September 30, 2011. Pa.; Consumptive Use of up to 6.000 ID: Colcam, ABR–201108019, ADDRESSES: Susquehanna River Basin mgd; Approval Date: August 8, 2011. Meshoppen Township, Wyoming Commission, 1721 North Front Street, 10. Talisman Energy USA Inc., Pad County, Pa.; Consumptive Use of up to Harrisburg, PA 17102–2391. ID: 05 229 Acres, ABR–201108010, 7.500 mgd; Approval Date: August 12, Windham Township, Bradford County, 2011. FOR FURTHER INFORMATION CONTACT: Pa.; Consumptive Use of up to 6.000 23. Southwestern Energy Production Richard A. Cairo, General Counsel, mgd; Approval Date: August 8, 2011. Company, Pad ID: Roman Pad, ABR– telephone: (717) 238–0423, ext. 306; fax: 11. EXCO Resources (PA), LLC, Pad 201108020, New Milford Township, (717) 238–2436; e-mail: [email protected] ID: Remley Drilling Pad #1, ABR– Susquehanna County, Pa.; Consumptive or Stephanie L. Richardson, Secretary to 201012035.1, Jackson Township, Use of up to 4.990 mgd; Approval Date: the Commission, telephone: (717) 238– Columbia County, Pa.; Consumptive Use August 15, 2011. 0423, ext. 304; fax: (717) 238–2436; e- of up to 8.000 mgd; Approval Date: 24. Chesapeake Appalachia, LLC, Pad mail: [email protected]. Regular August 8, 2011. ID: Mad Dog, ABR–201108021, Wilmot mail inquiries may be sent to the above 12. EXCO Resources (PA), LLC, Pad Township, Bradford County, Pa.; address. ID: Hess Drilling Pad #1, ABR– Consumptive Use of up to 7.500 mgd; SUPPLEMENTARY INFORMATION: This 201012037.1, Jackson Township, Approval Date: August 15, 2011. notice lists the projects, described Columbia County, Pa.; Consumptive Use 25. Southwestern Energy Production below, receiving approval for the of up to 8.000 mgd; Approval Date: Company, Pad ID: Alexander Pad, ABR– consumptive use of water pursuant to August 8, 2011. 201108022, New Milford Township, the Commission’s approval by rule 13. Southwestern Energy Production Susquehanna County, Pa.; Consumptive process set forth in 18 CFR 806.22(f) for Company, Pad ID: Shively Pad, ABR– Use of up to 4.990 mgd; Approval Date: the time period specified above: 201108011, Lenox Township, August 15, 2011. Approvals By Rule Issued Under 18 Susquehanna County, Pa.; Consumptive 26. Southwestern Energy Production CFR 806.22(f): Use of up to 4.990 mgd; Approval Date: Company, Pad ID: Grizzanti Pad, ABR– 1. Talisman Energy USA Inc., Pad ID: August 8, 2011. 201108023, New Milford Township, 05 098 Younger, ABR–201108001, Pike 14. Carrizo (Marcellus), LLC, Pad ID: Susquehanna County, Pa.; Consumptive Township, Bradford County, Pa.; Frystak Central Pad, ABR–201108012, Use of up to 4.990 mgd; Approval Date: Consumptive Use of up to 6.000 mgd; Bridgewater Township, Susquehanna August 15, 2011. Approval Date: August 1, 2011. County, Pa.; Consumptive Use of up to 27. EXCO Resources (PA), LLC, Pad 2. Talisman Energy USA Inc., Pad ID: 2.100 mgd; Approval Date: August 8, ID: Marquardt Drilling Pad #1, ABR– 02 010 DCNR 587, ABR–201108002, 2011. 201008008.1, Davidson Township, Ward Township, Tioga County, Pa.; 15. Chesapeake Appalachia, LLC, Pad Sullivan County, Pa.; Consumptive Use Consumptive Use of up to 6.000 mgd; ID: CSB, ABR–201108013, Cherry of up to 8.000 mgd; Approval Date: Approval Date: August 1, 2011. Township, Sullivan County, Pa.; August 15, 2011.

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28. EXCO Resources (PA), LLC, Pad 40. Chesapeake Appalachia, LLC, Pad 6.000 mgd; Approval Date: August 30, ID: Quava Drilling Pad #1, ABR– ID: Tyler, ABR–201108034, Auburn 2011. 201009068.1, Davidson Township, Township, Susquehanna County, Pa.; 53. Chesapeake Appalachia, LLC, Pad Sullivan County, Pa.; Consumptive Use Consumptive Use of up to 7.500 mgd; ID: Merryall, ABR–201108047, of up to 8.000 mgd; Approval Date: Approval Date: August 23, 2011. Wyalusing Township, Bradford County, August 15, 2011. 41. Chesapeake Appalachia, LLC, Pad Pa.; Consumptive Use of up to 7.500 29. EXCO Resources (PA), LLC, Pad ID: Hillis, ABR–201108035, Herrick and mgd; Approval Date: August 30, 2011. ID: Wistar-Shaffer Tracts Drilling Pad Wyalusing Townships, Bradford 54. Chesapeake Appalachia, LLC, Pad #1, ABR–201009071.1, Shrewsbury County, Pa.; Consumptive Use of up to ID: Albertson, ABR–201108048, Athens Township, Sullivan County, Pa.; 7.500 mgd; Approval Date: August 23, Township, Bradford County, Pa.; Consumptive Use of up to 8.000 mgd; 2011. Consumptive Use of up to 7.500 mgd; Approval Date: August 15, 2011. 42. Chesapeake Appalachia, LLC, Pad Approval Date: August 30, 2011. 30. EQT Production Company, Pad ID: ID: Susan, ABR–201108036, Auburn 55. Cabot Oil & Gas Corporation, Pad Phoenix I, ABR–201108024, Duncan Township, Susquehanna County, Pa.; ID: CorbinJ P1, ABR–201108049, Township, Tioga County, Pa.; Consumptive Use of up to 7.500 mgd; Brooklyn Township, Susquehanna Consumptive Use of up to 3.000 mgd; Approval Date: August 23, 2011. County, Pa.; Consumptive Use of up to Approval Date: August 16, 2011. 43. Talisman Energy USA Inc., Pad 3.575 mgd; Approval Date: August 30, 31. Seneca Resources Corporation, ID: 03 074 Haralambous, ABR– 2011. Pad ID: DCNR 595 Pad E 70V, ABR– 201108037, Columbia Township, 56. Talisman Energy USA Inc., Pad 201108025, Blossburg Borough, Tioga Bradford County, Pa.; Consumptive Use ID: 05 123 Rinker J, ABR–201108050, County, Pa.; Consumptive Use of up to of up to 6.000 mgd; Approval Date: Windham Township, Bradford County, 4.000 mgd; Approval Date: August 19, August 24, 2011. Pa.; Consumptive Use of up to 6.000 2011. 44. Chesapeake Appalachia, LLC, Pad mgd; Approval Date: August 31, 2011. 32. Talisman Energy USA Inc., Pad ID: Adams, ABR–201108038, Windham 57. Talisman Energy USA Inc., Pad ID: 05 008 Michnich, ABR–201108026, Township, Wyoming County, Pa.; ID: 05 235 Rogers H, ABR–201108051, Pike Township, Bradford County, Pa.; Consumptive Use of up to 7.500 mgd; Windham Township, Bradford County, Consumptive Use of up to 6.000 mgd; Approval Date: August 24, 2011. Pa.; Consumptive Use of up to 6.000 Approval Date: August 17, 2011. 45. Talisman Energy USA Inc., Pad mgd; Approval Date: August 31, 2011. 58. Talisman Energy USA Inc., Pad 33. Talisman Energy USA Inc., Pad ID: 02 105 Berguson J, ABR–201108039, ID: 05 174 Carlsen C, ABR–201108052, ID: 05 057 Michnich, ABR–201108027, Hamilton Township, Tioga County, Pa.; Windham Township, Bradford County, Pike Township, Bradford County, Pa.; Consumptive Use of up to 6.000 mgd; Pa.; Consumptive Use of up to 6.000 Consumptive Use of up to 6.000 mgd; Approval Date: August 25, 2011. mgd; Approval Date: August 31, 2011. Approval Date: August 17, 2011. 46. XTO Energy, Pad ID: PA Tract 59. Talisman Energy USA Inc., Pad 34. Talisman Energy USA Inc., Pad Unit I, ABR–201108040, Chapman ID: 05 203 Race, ABR–201109001, ID: 05 257 Lombardo J, ABR– Township, Clinton County, Pa.; Windham Township, Bradford County, 201108028, Pike Township, Bradford Consumptive Use of up to 4.000 mgd; Pa.; Consumptive Use of up to 6.000 County, Pa.; Consumptive Use of up to Approval Date: August 26, 2011. mgd; Approval Date: September 6, 2011. 6.000 mgd; Approval Date: August 17, 47. XTO Energy, Pad ID: PA Tract 60. Chesapeake Appalachia, LLC, Pad 2011. Unit E, ABR–201108041, Chapman ID: Jag, ABR–201109002, Franklin 35. Southwestern Energy Production Township, Clinton County, Pa.; Township, Bradford County, Pa.; Company, Pad ID: Zeffer Pad, ABR– Consumptive Use of up to 4.000 mgd; Consumptive Use of up to 7.500 mgd; 201108029, New Milford Township, Approval Date: August 26, 2011. Approval Date: September 6, 2011. Susquehanna County, Pa.; Consumptive 48. Talisman Energy USA Inc., Pad 61. Anadarko E&P Company, LP, Pad Use of up to 4.990 mgd; Approval Date: ID: 03 034 Roy B, ABR–201108042, ID: Lycoming H&FC Pad C, ABR– August 19, 2011. Wells Township, Bradford County, Pa.; 201109003, Cogan House Township, 36. Southwestern Energy Production Consumptive Use of up to 6.000 mgd; Lycoming County, Pa.; Consumptive Company, Pad ID: Scott Pad, ABR– Approval Date: August 29, 2011. Use of up to 4.000 mgd; Approval Date: 201108030, New Milford Township, 49. Talisman Energy USA Inc., Pad September 6, 2011. Susquehanna County, Pa.; Consumptive ID: 02 114 Shanley R, ABR–201108043, 62. Talisman Energy USA Inc., Pad Use of up to 4.990 mgd; Approval Date: Union Township, Tioga County, Pa.; ID: 02 113 Reinfried C, ABR–201109004, August 19, 2011. Consumptive Use of up to 6.000 mgd; Ward Township, Tioga County, Pa.; 37. Chesapeake Appalachia, LLC, Pad Approval Date: August 29, 2011. Consumptive Use of up to 6.000 mgd; ID: Alexander, ABR–201108031, Terry 50. Talisman Energy USA Inc., Pad Approval Date: September 14, 2011. Township, Bradford County, Pa.; ID: 05 104 Rennekamp R, ABR– 63. Pennsylvania General Energy Consumptive Use of up to 7.500 mgd; 201108044, Pike Township, Bradford Company, LLC, Pad ID: COP Tract 293 Approval Date: August 19, 2011. County, Pa.; Consumptive Use of up to Pad G, ABR–201109005, McHenry 38. Seneca Resources Corporation, 6.000 mgd; Approval Date: August 29, Township, Lycoming County, Pa.; Pad ID: DCNR 100 Pad G, ABR– 2011. Consumptive Use of up to 3.500 mgd; 201108032, McIntyre Township, 51. Talisman Energy USA Inc., Pad Approval Date: September 14, 2011. Lycoming County, Pa.; Consumptive ID: 02 121 Pine Hill Inc., ABR– 64. Williams Production Appalachia Use of up to 4.000 mgd; Approval Date: 201108045, Ward Township, Tioga LLC, Pad ID: Carty—Wisemen Well Pad, August 19, 2011. County, Pa.; Consumptive Use of up to ABR–201109006, Liberty Township, 39. Seneca Resources Corporation, 6.000 mgd; Approval Date: August 29, Susquehanna County, Pa.; Consumptive Pad ID: DCNR 595 Pad L, ABR– 2011. Use of up to 4.000 mgd; Approval Date: 201108033, Bloss Township, Tioga 52. Talisman Energy USA Inc., Pad September 15, 2011. County, Pa.; Consumptive Use of up to ID: 02 109 Frederick L, ABR– 65. Williams Production Appalachia 4.000 mgd; Approval Date: August 19, 201108046, Hamilton Township, Tioga LLC, Pad ID: Kass North Well Pad, 2011. County, Pa.; Consumptive Use of up to ABR–201109007, Liberty Township,

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Susquehanna County, Pa.; Consumptive Consumptive Use of up to 6.000 mgd; Lathrop Township, Susquehanna Use of up to 4.000 mgd; Approval Date: Approval Date: September 23, 2011. County, Pa.; Consumptive Use of up to September 15, 2011. 78. Chief Oil & Gas LLC, Pad ID: 2.000 mgd; Approval Date: September 66. Talisman Energy USA Inc., Pad Yonkin Drilling Pad #1, ABR– 27, 2011. ID: 05 068 PNMT and Associates Inc, 201109020, Cherry Township, Sullivan 90. Chesapeake Appalachia, LLC, Pad ABR–201109008, Pike Township, County, Pa.; Consumptive Use of up to ID: Smurkoski, ABR–201109032, Bradford County, Pa.; Consumptive Use 2.000 mgd; Approval Date: September Meshoppen Township, Wyoming of up to 6.000 mgd; Approval Date: 23, 2011. County, Pa.; Consumptive Use of up to September 16, 2011. 79. Anadarko E&P Company, LP, Pad 7.500 mgd; Approval Date: September 67. Williams Production Appalachia ID: COP Tract 731 Pad E, ABR– 30, 2011. LLC, Pad ID: Robinson Well Pad, ABR– 201109021, Cummings Township, 91. Chesapeake Appalachia, LLC, Pad 201109009, Liberty Township, Lycoming County, Pa.; Consumptive ID: Circle H, ABR–201109033, Wilmot Susquehanna County, Pa.; Consumptive Use of up to 4.000 mgd; Approval Date: Township, Bradford County, Pa.; Use of up to 4.000 mgd; Approval Date: September 26, 2011. Consumptive Use of up to 7.500 mgd; September 16, 2011. 80. Anadarko E&P Company, LP, Pad Approval Date: September 30, 2011. 68. Talisman Energy USA Inc., Pad ID: COP Tract 685 Pad B, ABR– 92. Seneca Resources Corporation, ID: 05 109 Ostrander R, ABR– 201109022, Cummings Township, Pad ID: DCNR 595 Pad N, ABR– 201109010, Warren Township, Bradford Lycoming County, Pa.; Consumptive 20119034, Bloss Township, Tioga County, Pa.; Consumptive Use of up to Use of up to 4.000 mgd; Approval Date: County, Pa.; Consumptive Use of up to 6.000 mgd; Approval Date: September September 26, 2011. 4.000 mgd; Approval Date: September 19, 2011. 81. Anadarko E&P Company, LP, Pad 30, 2011. 69. Talisman Energy USA Inc., Pad ID: Lycoming H&FC Pad A, ABR– 93. Chesapeake Appalachia, LLC, Pad ID: 05 152 Brown D, ABR–201109011, 201109023, Cogan House Township, ID: Stone, ABR–201109035, Tuscarora Orwell Township, Bradford County, Pa.; Lycoming County, Pa.; Consumptive Township, Bradford County, Pa.; Consumptive Use of up to 6.000 mgd; Use of up to 4.000 mgd; Approval Date: Consumptive Use of up to 7.500 mgd; Approval Date: September 19, 2011. September 26, 2011. Approval Date: September 30, 2011. 70. Chesapeake Appalachia, LLC, Pad 82. Anadarko E&P Company, LP, Pad Authority: Pub. L. 91–575, 84 Stat. 1509 et ID: McGroarty, ABR–201109012, Albany ID: Lycoming H&FC Pad D, ABR– seq., 18 CFR Parts 806, 807, and 808. Township, Bradford County, Pa.; 201109024, Cogan House Township, Consumptive Use of up to 7.500 mgd; Lycoming County, Pa.; Consumptive Dated: October 11, 2011. Approval Date: September 19, 2011. Use of up to 4.000 mgd; Approval Date: Stephanie L. Richardson, 71. Chesapeake Appalachia, LLC, Pad September 26, 2011. Secretary to the Commission. ID: Manella Acres, ABR–201109013, 83. Cabot Oil & Gas Corporation, Pad [FR Doc. 2011–27603 Filed 10–24–11; 8:45 am] Albany Township, Bradford County, ID: HeitzenroderA P1, ABR–201109025, BILLING CODE 7040–01–P Pa.; Consumptive Use of up to 7.500 Springville Township, Susquehanna mgd; Approval Date: September 19, County, Pa.; Consumptive Use of up to 2011. 3.575 mgd; Approval Date: September DEPARTMENT OF TRANSPORTATION 72. Chesapeake Appalachia, LLC, Pad 26, 2011. ID: LKM, ABR–201109014, Litchfield 84. Cabot Oil & Gas Corporation, Pad Federal Motor Carrier Safety Township, Bradford County, Pa.; ID: BurtsL P1, ABR–201109026, Forest Administration Consumptive Use of up to 7.500 mgd; Lake Township, Susquehanna County, [Docket No. FMCSA–2011–0270] Approval Date: September 19, 2011. Pa.; Consumptive Use of up to 3.575 73. Talisman Energy USA Inc., Pad mgd; Approval Date: September 26, Agency Information Collection ID: 07 018 Bennett R, ABR–201109015, 2011. Activities; Revision of a Currently- Rush Township, Susquehanna County, 85. Cabot Oil & Gas Corporation, Pad Approved Information Collection Pa.; Consumptive Use of up to 6.000 ID: FrystakC P1, ABR–201109027, Request: Application for Certificate of mgd; Approval Date: September 20, Bridgewater Township, Susquehanna Registration for Foreign Motor Carriers 2011. County, Pa.; Consumptive Use of up to and Foreign Motor Private Carriers 74. Anadarko E&P Company, LP, Pad 3.575 mgd; Approval Date: September ID: COP Tract 731 Pad C, ABR– 26, 2011. AGENCY: Federal Motor Carrier Safety 201109016, Cummings Township, 86. Carrizo (Marcellus), LLC, Pad ID: Administration (FMCSA), DOT. Lycoming County, Pa.; Consumptive Bush Pad, ABR–201109028, Forest Lake ACTION: Notice and request for Use of up to 4.000 mgd; Approval Date: Township, Susquehanna County, Pa.; comments. September 20, 2011. Consumptive Use of up to 2.100 mgd; 75. Anadarko E&P Company, LP, Pad Approval Date: September 27, 2011. SUMMARY: In accordance with the ID: COP Tract 731 Pad D, ABR– 87. Enerplus Resources (USA) Paperwork Reduction Act of 1995, 201109017, Cummings Township, Corporation, Pad ID: Winner 2 Well Pad, FMCSA announces its plan to submit Lycoming County, Pa.; Consumptive ABR–201109029, East Keating the Information Collection Request (ICR) Use of up to 4.000 mgd; Approval Date: Township, Clinton County, Pa.; described below to the Office of September 20, 2011. Consumptive Use of up to 4.000 mgd; Management and Budget (OMB) for 76. XTO Energy Incorporated, Pad ID: Approval Date: September 27, 2011. review and approval. The FMCSA PA Tract Unit G, ABR–201109018, 88. Chief Oil & Gas LLC, Pad ID: requests approval to revise an ICR Chapman Township, Clinton County, Elliott B Drilling Pad #1, ABR– entitled, ‘‘Application for Certificate of Pa.; Consumptive Use of up to 4.000 201109030, Monroe Township, Bradford Registration for Foreign Motor Carriers mgd; Approval Date: September 23, County, Pa.; Consumptive Use of up to and Foreign Motor Private Carriers,’’ 2011. 2.000 mgd; Approval Date: September that requires Mexico-domiciled for-hire 77. Talisman Energy USA Inc., Pad 27, 2011. and private motor carriers to file an ID: 02 110 Martin G, ABR–201109019, 89. Chief Oil & Gas LLC, Pad ID: Kerr application Form OP–2 if they wish to Ward Township, Tioga County, Pa.; B Drilling Pad #1, ABR–201109031, register to transport property only

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within municipalities in the United into the United States. Part 368 of title motor vehicles (CMVs) in interstate States on the U.S.-Mexico international 49, CFR, contains the regulations that commerce. If granted, the exemptions border or within the commercial zones require Mexico-domiciled motor carriers would enable these individuals with of such municipalities. On July 22, to apply to the FMCSA for a Certificate ITDM to operate CMVs in interstate 2011, FMCSA published a Federal of Registration to provide interstate commerce. Register notice allowing for a 60-day transportation in municipalities in the DATES: Comments must be received on comment period on the ICR. No United States on the U.S.-Mexico or before November 25, 2011. comments were received. international border or within the ADDRESSES: commercial zones of such You may submit comments DATES: Please send your comments by bearing the Federal Docket Management November 25, 2011. OMB must receive municipalities as defined in 49 U.S.C. 13902(c)(4)(A). The FMCSA carries out System (FDMS) Docket No. FMCSA– your comments by this date in order to 2011–0278 using any of the following act quickly on the ICR. this registration program under authority delegated by the Secretary of methods: ADDRESSES: All comments should • Federal eRulemaking Portal: Go to reference Federal Docket Management Transportation. Foreign (Mexico-based) motor carriers http://www.regulations.gov. Follow the System (FDMS) Docket Number use Form OP–2 to apply for Certificate on-line instructions for submitting FMCSA–2011–0270. Interested persons of Registration authority at the FMCSA. comments. are invited to submit written comments • The form requests information on the Mail: Docket Management Facility; on the proposed information collection foreign motor carrier’s name, address, U.S. Department of Transportation, 1200 to the Office of Information and U.S. DOT Number, form of business New Jersey Avenue, SE., West Building Regulatory Affairs, Office of (e.g., corporation, sole proprietorship, Ground Floor, Room W12–140, Management and Budget. Comments Washington, DC 20590–0001. partnership), locations where the • should be addressed to the attention of applicant plans to operate, types of Hand Delivery: West Building the Desk Officer, Department of registration requested (e.g., for-hire Ground Floor, Room W12–140, 1200 Transportation/Federal Motor Carrier motor carrier, motor private carrier), New Jersey Avenue, SE., Washington, Safety Administration, and sent via DC, between 9 a.m. and 5 p.m., Monday _ insurance, safety certifications, electronic mail to oira submission@ household goods arbitration through Friday, except Federal omb.eop.gov, or faxed to (202) 395– Holidays. certifications, and compliance • 6974, or mailed to the Office of certifications. Fax: 1–202–493–2251. Information and Regulatory Affairs, Public Comments Invited: You are Instructions: Each submission must Office of Management and Budget, asked to comment on any aspect of this include the Agency name and the Docket Library, Room 10102, 725 17th information collection, including: (1) docket numbers for this notice. Note Street, NW., Washington, DC 20503. Whether the proposed collection is that all comments received will be FOR FURTHER INFORMATION CONTACT: Ms. necessary for the FMCSA to perform its posted without change to http:// Vivian Oliver, Transportation Specialist, functions; (2) the accuracy of the www.regulations.gov, including any Office of Information Technology, IT estimated burden; (3) ways for FMCSA personal information provided. Please Operations Division, Department of to enhance the quality, usefulness, and see the Privacy Act heading below for Transportation, Federal Motor Carrier clarity of the collected information; and further information. Safety Administration, 6th Floor, West (4) ways that the burden could be Docket: For access to the docket to Building, 1200 New Jersey Ave., SE., minimized without reducing the quality read background documents or Washington DC 20590. Telephone of the collected information. comments, go to http:// Number: (202) 366–2974; E-mail www.regulations.gov at any time or Issued on: October 12, 2011. Address: [email protected]. Office Room W12–140 on the ground level of hours are from 9 a.m. to 5 p.m., Monday Kelly Leone, the West Building, 1200 New Jersey through Friday, except Federal Associate Administrator, Research and Avenue, SE., Washington, DC, between Holidays. Information Technology. 9 a.m. and 5 p.m., Monday through [FR Doc. 2011–27475 Filed 10–24–11; 8:45 am] Friday, except Federal holidays. The SUPPLEMENTARY INFORMATION: Title: BILLING CODE 4910–EX–P Federal Docket Management System Application for Certificate of (FDMS) is available 24 hours each day, Registration for Foreign Motor Carriers 365 days each year. If you want and Foreign Motor Private Carriers. DEPARTMENT OF TRANSPORTATION OMB Control Number: 2126–0019. acknowledgment that we received your Type of Request: Revision of a Federal Motor Carrier Safety comments, please include a self- currently-approved information Administration addressed, stamped envelope or collection. postcard or print the acknowledgement Respondents: Foreign motor carriers [Docket No. FMCSA–2011–0278] page that appears after submitting and commercial motor vehicle drivers. comments on-line. Qualification of Drivers; Exemption Privacy Act: Anyone may search the Estimated Number of Respondents: Applications; Diabetes Mellitus 400. electronic form of all comments Estimated Time per Response: 4 hours AGENCY: Federal Motor Carrier Safety received into any of our dockets by the to complete Form OP–2. Administration (FMCSA). name of the individual submitting the Expiration Date: February 29, 2012. ACTION: Notice of applications for comment (or of the person signing the Frequency of Response: Other (Once). exemption from the diabetes mellitus comment, if submitted on behalf of an Estimated Total Annual Burden: standard; request for comments. association, business, labor union, etc.). 1,600 hours [400 responses × 4 hours to You may review DOT’s Privacy Act complete Form OP–2 = 1,600]. SUMMARY: FMCSA announces receipt of Statement for the FDMS published in Background: Title 49 U.S.C. 13902(c) applications from 18 individuals for the Federal Register on January 17, contains basic licensing procedures for exemption from the prohibition against 2008 (73 FR 3316), or you may visit registering foreign motor carriers to persons with insulin-treated diabetes http://www.edocket.access.gpo.gov/ operate across the U.S.-Mexico border mellitus (ITDM) operating commercial 2008/pdf/E8-785.pdf.

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FOR FURTHER INFORMATION CONTACT: that occurred without warning in the in 2011 and certified that he has had no Elaine M. Papp, Chief, Medical past 12 months and no recurrent (2 or severe hypoglycemic reactions resulting Programs, (202) 366–4001, more) severe hypoglycemic episodes in in loss of consciousness, requiring the [email protected], FMCSA, the last 5 years. His endocrinologist assistance of another person, or Department of Transportation, 1200 certifies that Mr. Cornelius understands resulting in impaired cognitive function New Jersey Avenue, SE., Room W64– diabetes management and monitoring, that occurred without warning in the 224, Washington, DC 20590–0001. has stable control of his diabetes using past 12 months and no recurrent (2 or Office hours are from 8:30 a.m. to 5 insulin, and is able to drive a more) severe hypoglycemic episodes in p.m., Monday through Friday, except Commercial Motor Vehicle (CMV) the last 5 years. His endocrinologist Federal holidays. safely. Mr. Cornelius meets the certifies that Mr. Ezell understands SUPPLEMENTARY INFORMATION: requirements of the vision standard at diabetes management and monitoring, 49 CFR 391.41(b)(10). His has stable control of his diabetes using Background ophthalmologist examined him in 2011 insulin, and is able to drive a CMV and certified that he does not have Under 49 U.S.C. 31136(e) and 31315, safely. Mr. Ezell meets the requirements FMCSA may grant an exemption from diabetic retinopathy. He holds a Class A Commercial Driver’s License (CDL) from of the vision standard at 49 CFR the Federal Motor Carrier Safety 391.41(b)(10). His ophthalmologist Regulations for a 2-year period if it finds Illinois. examined him in 2011 and certified that ‘‘such exemption would likely achieve a John R. Crowder he does not have diabetic retinopathy. level of safety that is equivalent to or He holds a Class A CDL from Missouri. greater than the level that would be Mr. Crowder, 54, has had ITDM since 2006. His endocrinologist examined him achieved absent such exemption.’’ The Marcus M. Gagne statute also allows the Agency to renew in 2011 and certified that he has had no exemptions at the end of the 2-year severe hypoglycemic reactions resulting Mr. Gagne, 40, has had ITDM since period. The 18 individuals listed in this in loss of consciousness, requiring the 2011. His endocrinologist examined him notice have recently requested such an assistance of another person, or in 2011 and certified that he has had no exemption from the diabetes prohibition resulting in impaired cognitive function severe hypoglycemic reactions resulting in 49 CFR 391.41(b)(3), which applies to that occurred without warning in the in loss of consciousness, requiring the drivers of CMVs in interstate commerce. past 12 months and no recurrent (2 or assistance of another person, or Accordingly, the Agency will evaluate more) severe hypoglycemic episodes in resulting in impaired cognitive function the qualifications of each applicant to the last 5 years. His endocrinologist that occurred without warning in the certifies that Mr. Crowder understands determine whether granting the past 12 months and no recurrent (2 or diabetes management and monitoring, exemption will achieve the required more) severe hypoglycemic episodes in has stable control of his diabetes using level of safety mandated by the statutes. the last 5 years. His endocrinologist insulin, and is able to drive a CMV Qualifications of Applicants safely. Mr. Crowder meets the certifies that Mr. Gagne understands diabetes management and monitoring, Lennie D. Cook requirements of the vision standard at 49 CFR 391.41(b)(10). His has stable control of his diabetes using Mr. Cook, age 52, has had ITDM since ophthalmologist examined him in 2011 insulin, and is able to drive a CMV 2007. His endocrinologist examined him and certified that he does not have safely. Mr. Gagne meets the in 2011 and certified that he has had no diabetic retinopathy. He holds a Class A requirements of the vision standard at severe hypoglycemic reactions resulting CDL from Oregon. 49 CFR 391.41(b)(10). His optometrist in loss of consciousness, requiring the examined him in 2011 and certified that assistance of another person, or Scott A. Edwards he does not have diabetic retinopathy. resulting in impaired cognitive function Mr. Edwards, 47, has had ITDM since He holds a Class C operator’s license that occurred without warning in the 1991. His endocrinologist examined him from Maine. past 12 months and no recurrent (2 or in 2011 and certified that he has had no more) severe hypoglycemic episodes in severe hypoglycemic reactions resulting David P. Govero the last 5 years. His endocrinologist in loss of consciousness, requiring the Mr. Govero, 56, has had ITDM since certifies that Mr. Cook understands assistance of another person, or 2011. His endocrinologist examined him diabetes management and monitoring, resulting in impaired cognitive function in 2011 and certified that he has had no has stable control of his diabetes using that occurred without warning in the severe hypoglycemic reactions resulting insulin, and is able to drive a CMV past 12 months and no recurrent (2 or in loss of consciousness, requiring the safely. Mr. Cook meets the requirements more) severe hypoglycemic episodes in assistance of another person, or of the vision standard at 49 CFR the last 5 years. His endocrinologist resulting in impaired cognitive function 391.41(b)(10). His ophthalmologist certifies that Mr. Edwards understands that occurred without warning in the examined him in 2011 and certified that diabetes management and monitoring, past 12 months and no recurrent (2 or he does not have diabetic retinopathy. has stable control of his diabetes using He holds a Class D operator’s license insulin, and is able to drive a CMV more) severe hypoglycemic episodes in from Ohio. safely. Mr. Edwards meets the the last 5 years. His endocrinologist requirements of the vision standard at certifies that Mr. Govero understands David R. Cornelius 49 CFR 391.41(b)(10). His optometrist diabetes management and monitoring, Mr. Cornelius, 49, has had ITDM examined him in 2011 and certified that has stable control of his diabetes using since approximately 2008. His he does not have diabetic retinopathy. insulin, and is able to drive a CMV endocrinologist examined him in 2011 He holds a Class A CDL from safely. Mr. Govero meets the and certified that he has had no severe Pennsylvania. requirements of the vision standard at hypoglycemic reactions resulting in loss 49 CFR 391.41(b)(10). His optometrist of consciousness, requiring the Ronald J. Ezell examined him in 2011 and certified that assistance of another person, or Mr. Ezell, 49, has had ITDM since he does not have diabetic retinopathy. resulting in impaired cognitive function 2011. His endocrinologist examined him He holds a Class A CDL from Missouri.

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Dale R. Herren not have diabetic retinopathy. He holds 49 CFR 391.41(b)(10). His optometrist a Class A CDL from Wyoming. examined him in 2011 and certified that Mr. Herren, 67, has had ITDM since he does not have diabetic retinopathy. Imre Kasza 2010. His endocrinologist examined him He holds a Class B CDL from in 2011 and certified that he has had no Mr. Kasza, 58, has had ITDM since Pennsylvania. severe hypoglycemic reactions resulting 2011. His endocrinologist examined him in loss of consciousness, requiring the in 2011 and certified that he has had no Helen M. O’Malley assistance of another person, or severe hypoglycemic reactions resulting Ms. O’Malley, 59, has had ITDM since resulting in impaired cognitive function in loss of consciousness, requiring the 2010. Her endocrinologist examined her that occurred without warning in the assistance of another person, or in 2011 and certified that she has had past 12 months and no recurrent (2 or resulting in impaired cognitive function no severe hypoglycemic reactions more) severe hypoglycemic episodes in that occurred without warning in the resulting in loss of consciousness, the last 5 years. His endocrinologist past 12 months and no recurrent (2 or requiring the assistance of another certifies that Mr. Herren understands more) severe hypoglycemic episodes in person, or resulting in impaired diabetes management and monitoring, the last 5 years. His endocrinologist cognitive function that occurred without has stable control of his diabetes using certifies that Mr. Kasza understands warning in the past 12 months and no insulin, and is able to drive a CMV diabetes management and monitoring, recurrent (2 or more) severe safely. Mr. Herren meets the has stable control of his diabetes using hypoglycemic episodes in the last 5 requirements of the vision standard at insulin, and is able to drive a CMV years. Her endocrinologist certifies that 49 CFR 391.41(b)(10). His optometrist safely. Mr. Kasza meets the Ms. O’Malley understands diabetes examined him in 2011 and certified that requirements of the vision standard at management and monitoring, has stable he does not have diabetic retinopathy. 49 CFR 391.41(b)(10). His control of her diabetes using insulin, He holds a Class A CDL from Missouri. ophthalmologist examined him in 2011 and is able to drive a CMV safely. and certified that he does not have Ms. O’Malley meets the requirements of Tony C. Johnson diabetic retinopathy. He holds a Class A the vision standard at 49 CFR Mr. Johnson, 56, has had ITDM since CDL from Pennsylvania. 391.41(b)(10). Her optometrist examined her in 2011 and certified that she does 2004. His endocrinologist examined him Donald R. McClure, Jr. in 2011 and certified that he has had no not have diabetic retinopathy. She holds Mr. McClure, 56, has had ITDM since a Class A CDL from New Jersey. severe hypoglycemic reactions resulting 1978. His endocrinologist examined him in loss of consciousness, requiring the in 2011 and certified that he has had no Nathan J. Postema assistance of another person, or severe hypoglycemic reactions resulting Mr. Postema, 32, has had ITDM since resulting in impaired cognitive function in loss of consciousness, requiring the 2006. His endocrinologist examined him that occurred without warning in the assistance of another person, or in 2011 and certified that he has had no past 12 months and no recurrent (2 or resulting in impaired cognitive function severe hypoglycemic reactions resulting more) severe hypoglycemic episodes in that occurred without warning in the in loss of consciousness, requiring the the last 5 years. His endocrinologist past 12 months and no recurrent (2 or assistance of another person, or certifies that Mr. Johnson understands more) severe hypoglycemic episodes in resulting in impaired cognitive function diabetes management and monitoring, the last 5 years. His endocrinologist that occurred without warning in the has stable control of his diabetes using certifies that Mr. McClure understands past 12 months and no recurrent (2 or insulin, and is able to drive a CMV diabetes management and monitoring, more) severe hypoglycemic episodes in safely. Mr. Johnson meets the has stable control of his diabetes using the last 5 years. His endocrinologist requirements of the vision standard at insulin, and is able to drive a CMV certifies that Mr. Postema understands 49 CFR 391.41(b)(10). His optometrist safely. Mr. McClure meets the diabetes management and monitoring, examined him in 2011 and certified that requirements of the vision standard at has stable control of his diabetes using he does not have diabetic retinopathy. 49 CFR 391.41(b)(10). His optometrist insulin, and is able to drive a CMV He holds a Class D operator’s license examined him in 2011 and certified that safely. Mr. Postema meets the from Arkansas. he does not have diabetic retinopathy. requirements of the vision standard at Christopher A. Jones He holds a Class C operator’s license 49 CFR 391.41(b)(10). His optometrist from Pennsylvania. examined him in 2011 and certified that Mr. Jones, 32, has had ITDM since he does not have diabetic retinopathy. Jeffrey C. Minehart 1997. His endocrinologist examined him He holds a Class A CDL from Idaho. in 2011 and certified that he has had no Mr. Minehart, 62, has had ITDM since severe hypoglycemic reactions resulting 2005. His endocrinologist examined him Clyde G. Rishel in loss of consciousness, requiring the in 2011 and certified that he has had no Mr. Rishel, 48, has had ITDM since assistance of another person, or severe hypoglycemic reactions resulting 2010. His endocrinologist examined him resulting in impaired cognitive function in loss of consciousness, requiring the in 2011 and certified that he has had no that occurred without warning in the assistance of another person, or severe hypoglycemic reactions resulting past 12 months and no recurrent (2 or resulting in impaired cognitive function in loss of consciousness, requiring the more) severe hypoglycemic episodes in that occurred without warning in the assistance of another person, or the last 5 years. His endocrinologist past 12 months and no recurrent (2 or resulting in impaired cognitive function certifies that Mr. Jones understands more) severe hypoglycemic episodes in that occurred without warning in the diabetes management and monitoring, the last 5 years. His endocrinologist past 12 months and no recurrent (2 or has stable control of his diabetes using certifies that Mr. Minehart understands more) severe hypoglycemic episodes in insulin, and is able to drive a CMV diabetes management and monitoring, the last 5 years. His endocrinologist safely. Mr. Jones meets the requirements has stable control of his diabetes using certifies that Mr. Rishel understands of the vision standard at 49 CFR insulin, and is able to drive a CMV diabetes management and monitoring, 391.41(b)(10). His optometrist examined safely. Mr. Minehart meets the has stable control of his diabetes using him in 2011 and certified that he does requirements of the vision standard at insulin, and is able to drive a CMV

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safely. Mr. Rishel meets the to revise its diabetes exemption program ACTION: Notice of renewal of requirements of the vision standard at established on September 3, 2003 (68 FR exemptions; request for comments. 49 CFR 391.41(b)(10). His 52441) 1. The revision must provide for ophthalmologist examined him in 2011 individual assessment of drivers with SUMMARY: FMCSA announces its and certified that he does not have diabetes mellitus, and be consistent decision to renew the exemptions from diabetic retinopathy. He holds a Class A with the criteria described in section the vision requirement in the Federal CDL from Pennsylvania. 4018 of the Transportation Equity Act Motor Carrier Safety Regulations for 20 for the 21st Century (49 U.S.C. 31305). individuals. FMCSA has statutory Kurt Schneider Section 4129 requires: (1) Elimination authority to exempt individuals from Mr. Schneider, 57, has had ITDM of the requirement for 3 years of the vision requirement if the since 2011. His endocrinologist experience operating CMVs while being exemptions granted will not examined him in 2011 and certified that treated with insulin; and (2) compromise safety. The Agency has he has had no severe hypoglycemic establishment of a specified minimum concluded that granting these reactions resulting in loss of period of insulin use to demonstrate exemption renewals will provide a level consciousness, requiring the assistance stable control of diabetes before being of safety that is equivalent to or greater of another person, or resulting in allowed to operate a CMV. than the level of safety maintained impaired cognitive function that In response to section 4129, FMCSA without the exemptions for these occurred without warning in the past made immediate revisions to the commercial motor vehicle (CMV) 12 months and no recurrent (2 or more) diabetes exemption program established drivers. severe hypoglycemic episodes in the by the September 3, 2003 notice. DATES: This decision is effective last 5 years. His endocrinologist certifies FMCSA discontinued use of the 3-year November 6, 2011. Comments must be that Mr. Schneider understands diabetes driving experience and fulfilled the received on or before November 25, management and monitoring, has stable requirements of section 4129 while 2011. control of his diabetes using insulin, continuing to ensure that operation of and is able to drive a CMV safely. CMVs by drivers with ITDM will ADDRESSES: You may submit comments Mr. Schneider meets the requirements achieve the requisite level of safety bearing the Federal Docket Management of the vision standard at 49 CFR required of all exemptions granted System (FDMS) numbers: FMCSA– 391.41(b)(10). His ophthalmologist under 49 USC. 31136(e). 2003–15892; FMCSA–2007–27897; examined him in 2011 and certified that Section 4129(d) also directed FMCSA FMCSA–2009–0206, using any of the he does not have diabetic retinopathy. to ensure that drivers of CMVs with following methods: • He holds a Class B CDL from Vermont. ITDM are not held to a higher standard Federal eRulemaking Portal: Go to than other drivers, with the exception of http://www.regulations.gov. Follow the Douglas O. Sundby limited operating, monitoring, and on-line instructions for submitting Mr. Sundby, 49, has had ITDM since medical requirements that are deemed comments. 2010. His endocrinologist examined him medically necessary. • Mail: Docket Management Facility; in 2011 and certified that he has had no The FMCSA concluded that all of the U.S. Department of Transportation, 1200 severe hypoglycemic reactions resulting operating, monitoring, and medical New Jersey Avenue, SE., West Building in loss of consciousness, requiring the requirements set out in the September 3, Ground Floor, Room W12–140, assistance of another person, or 2003 notice, except as modified, were in Washington, DC 20590–0001. resulting in impaired cognitive function compliance with section 4129(d). • Hand Delivery or Courier: West that occurred without warning in the Therefore, all of the requirements set Building Ground Floor, Room W12–140, past 12 months and no recurrent (2 or out in the September 3, 2003 notice, 1200 New Jersey Avenue, SE., more) severe hypoglycemic episodes in except as modified by the notice in the Washington, DC, between 9 a.m. and 5 the last 5 years. His endocrinologist Federal Register on November 8, 2005 p.m., Monday through Friday, except certifies that Mr. Sundby understands (70 FR 67777), remain in effect. Federal Holidays. • diabetes management and monitoring, Dated: Issued on: October 17, 2011. Fax: 1–202–493–2251. has stable control of his diabetes using Larry W. Minor, Instructions: Each submission must include the Agency name and the insulin, and is able to drive a CMV Associate Administrator for Policy. docket number for this notice. Note that safely. Mr. Sundby meets the [FR Doc. 2011–27506 Filed 10–24–11; 8:45 am] requirements of the vision standard at DOT posts all comments received BILLING CODE P 49 CFR 391.41(b)(10). His without change to http://www. ophthalmologist examined him in 2011 regulations.gov, including any personal and certified that he has stable DEPARTMENT OF TRANSPORTATION information included in a comment. proliferative diabetic retinopathy. He Please see the Privacy Act heading holds a Class A CDL from Minnesota. Federal Motor Carrier Safety below. Administration Docket: For access to the docket to Request for Comments read background documents or In accordance with 49 U.S.C. 31136(e) [Docket No. FMCSA–2003–15892; FMCSA– comments, go to http://www. 2007–27897; FMCSA–2009–0206] and 31315, FMCSA requests public regulations.gov at any time or Room comment from all interested persons on Qualification of Drivers; Exemption W12–140 on the ground level of the the exemption petitions described in Applications; Vision West Building, 1200 New Jersey this notice. We will consider all Avenue, SE., Washington, DC, between comments received before the close of AGENCY: Federal Motor Carrier Safety 9 a.m. and 5 p.m., Monday through business on the closing date indicated Administration (FMCSA), DOT. Friday, except Federal holidays. The in the date section of the notice. Federal Docket Management System FMCSA notes that section 4129 of the 1 Section 4129(a) refers to the 2003 notice as a (FDMS) is available 24 hours each day, Safe, Accountable, Flexible and ‘‘final rule.’’ However, the 2003 notice did not issue 365 days each year. If you want a ‘‘final rule,’’ but did establish the procedures and Efficient Transportation Equity Act: A standards for issuing exemptions for drivers with acknowledgment that we received your Legacy for Users requires the Secretary ITDM. comments, please include a self-

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addressed, stamped envelope or Mark L. Simmons continue to drive safely in interstate postcard or print the acknowledgement Don W. Smith commerce. Therefore, FMCSA page that appears after submitting Robert E. Smith concludes that extending the exemption comments on-line. Jerry W. Stanfill for each renewal applicant for a period Privacy Act: Anyone may search the Roger L. Unser Virgil E. Walker of two years is likely to achieve a level electronic form of all comments of safety equal to that existing without The exemptions are extended subject received into any of our dockets by the the exemption. name of the individual submitting the to the following conditions: (1) That comment (or of the person signing the each individual has a physical Request for Comments comment, if submitted on behalf of an examination every year (a) by an FMCSA will review comments association, business, labor union, etc.). ophthalmologist or optometrist who You may review DOT’s Privacy Act attests that the vision in the better eye received at any time concerning a Statement for the FDMS published in continues to meet the standard in 49 particular driver’s safety record and the Federal Register on January 17, CFR 391.41(b)(10), and (b) by a medical determine if the continuation of the 2008 (73 FR 3316), or you may visit examiner who attests that the individual exemption is consistent with the http://www.edocket.access.gpo.gov/ is otherwise physically qualified under requirements at 49 U.S.C. 31136(e) and 2008/pdf/E8-785.pdf. 49 CFR 391.41; (2) that each individual 31315. However, FMCSA requests that provides a copy of the ophthalmologist’s FOR FURTHER INFORMATION CONTACT: interested parties with specific data or optometrist’s report to the medical concerning the safety records of these Elaine M. Papp, Chief, Medical examiner at the time of the annual Programs, 202–366–4001, drivers submit comments by November medical examination; and (3) that each 25, 2011. [email protected], FMCSA, individual provide a copy of the annual Department of Transportation, 1200 medical certification to the employer for FMCSA believes that the New Jersey Avenue, SE., Room W64– retention in the driver’s qualification requirements for a renewal of an 224, Washington, DC 20590–0001. file and retains a copy of the exemption under 49 U.S.C. 31136(e) and Office hours are from 8:30 a.m. to 5 p.m. certification on his/her person while 31315 can be satisfied by initially Monday through Friday, except Federal driving for presentation to a duly granting the renewal and then holidays. authorized Federal, State, or local requesting and evaluating, if needed, SUPPLEMENTARY INFORMATION: enforcement official. Each exemption subsequent comments submitted by Background will be valid for two years unless interested parties. As indicated above, rescinded earlier by FMCSA. The the Agency previously published Under 49 U.S.C. 31136(e) and 31315, exemption will be rescinded if: (1) The notices of final disposition announcing FMCSA may renew an exemption from person fails to comply with the terms its decision to exempt these 20 the vision requirements in 49 CFR and conditions of the exemption; (2) the individuals from the vision requirement 391.41(b)(10), which applies to drivers exemption has resulted in a lower level in 49 CFR 391.41(b)(10). The final of CMVs in interstate commerce, for a of safety than was maintained before it decision to grant an exemption to each two-year period if it finds ‘‘such was granted; or (3) continuation of the of these individuals was made on the exemption would likely achieve a level exemption would not be consistent with merits of each case and made only after of safety that is equivalent to or greater the goals and objectives of 49 U.S.C. careful consideration of the comments than the level that would be achieved 31136(e) and 31315. absent such exemption.’’ The received to its notices of applications. procedures for requesting an exemption Basis for Renewing Exemptions The notices of applications stated in (including renewals) are set out in 49 Under 49 U.S.C. 31315(b)(1), an detail the qualifications, experience, CFR part 381. exemption may be granted for no longer and medical condition of each applicant than two years from its approval date for an exemption from the vision Exemption Decision and may be renewed upon application requirements. That information is This notice addresses 20 individuals for additional two year periods. In available by consulting the above cited who have requested renewal of their accordance with 49 U.S.C. 31136(e) and Federal Register publications. exemptions in accordance with FMCSA 31315, each of the 17 applicants has Interested parties or organizations procedures. FMCSA has evaluated these satisfied the entry conditions for possessing information that would 20 applications for renewal on their obtaining an exemption from the vision otherwise show that any, or all, of these merits and decided to extend each requirements (68 FR 52811; 70 FR drivers are not currently achieving the exemption for a renewable two-year 61165; 72 FR 39879; 72 FR 52419; 72 FR statutory level of safety should period. 54971; 72 FR 58359; 74 FR 419171; 74 They are: FR 43217; FR 74 FR 49069; 74 FR immediately notify FMCSA. The Agency will evaluate any adverse Martin R. Anaya 53581; 74 FR 57551). Each of these 20 evidence submitted and, if safety is Charles E. Castle applicants has requested renewal of the James E. Fix exemption and has submitted evidence being compromised or if continuation of Dean A. Gary showing that the vision in the better eye the exemption would not be consistent James P. Greene continues to meet the standard specified with the goals and objectives of 49 Larry L. Harris at 49 CFR 391.41(b)(10) and that the U.S.C. 31136(e) and 31315, FMCSA will Roger D. Kloss vision impairment is stable. In addition, take immediate steps to revoke the Mark D. Kraft a review of each record of safety while exemption of a driver. Steven E. Letchenberg driving with the respective vision Dated: Issued on: October 17, 2011. deficiencies over the past two years Oscar N. Lefferts Larry W. Minor, Joseph L. Mast indicates each applicant continues to Jesse E. McClary, Sr. meet the vision exemption standards. Associate Administrator for Policy. Steven S. O’Donnell These factors provide an adequate basis [FR Doc. 2011–27504 Filed 10–24–11; 8:45 am] Benjamin R. Sauder for predicting each driver’s ability to BILLING CODE 4910–EX–P

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DEPARTMENT OF TRANSPORTATION All communications concerning these Equipment; End-of-Train Devices. proceedings should identify the Specifically, BNSF is proposing to use Federal Railroad Administration appropriate docket number and may be Web-based software to satisfy the [Docket Number FRA–2011–0079] submitted by any of the following ‘‘hands-on’’ portion of training required methods: by 49 CFR Section 232.203(e), in Petition for Waiver of Compliance • Web site: http:// connection with periodic refresher www.regulations.gov. Follow the online training. Refresher training is required In accordance with part 211 of title 49 instructions for submitting comments. at intervals not to exceed 3 years, and of the Code of Federal Regulations • Fax: 202–493–2251. shall consist of classroom and hands-on (CFR), this document provides the • Mail: Docket Operations Facility, training, as well as testing. public notice that by a document dated U.S. Department of Transportation, 1200 BNSF states it created a Web-based September 13, 2011, the Union Pacific New Jersey Avenue, SE., W12–140, software application that it characterizes Railroad (UP) has petitioned the Federal Washington, DC 20590. as Air Brake System Virtual Training Railroad Administration (FRA) for a • Hand Delivery: 1200 New Jersey Environment (ABSVTE), which waiver of compliance from certain Avenue, SE., Room W12–140, conceptually closely parallels provisions of the Federal railroad safety Washington, DC 20590, between 9 a.m. Locomotive Engineer simulator training. regulations contained at 49 CFR part and 5 p.m., Monday through Friday, ABSVTE places the employee as an 236. FRA assigned the petition Docket except Federal Holidays. avatar in a realistic 3D virtual scenario. Number FRA–2011–0079. Communications received by The employee must maneuver the avatar UP seeks relief from the provisions of December 9, 2011 will be considered by in the virtual setting and perform all 49 CFR Section 236.110(a) as it pertains FRA before final action is taken. inspection tasks. The employee to the signoff of the coded cab signal Comments received after that date will communicates on a virtual radio, listens (CCS) departure test form (UP Form be considered as far as practicable. for the proper brake responses, and Number 25023). UP requests the ability Anyone is able to search the visually inspects each car in the to have employees either affix their electronic form of any written scenario using a combination of mouse signature or enter their unique communications and comments and key strokes. During the simulation, employee identification number on the received into any of our dockets by the the employee must properly identify CCS departure test form per 49 CFR name of the individual submitting the any unusual conditions and take 236.587. UP proposes that allowing an comment (or signing the comment, if corrective action. The software has the employee to sign the CCS departure test submitted on behalf of an association, ability for the trainer to control the form with their employee identification business, labor union, etc.). You may environment and preprogram different number would comply with the review DOT’s complete Privacy Act scenarios and conditions, covering a requirements set forth in 49 CFR Statement in the Federal Register variety of air brake systems and 236.110(a)(1), ‘‘Signed by the employee published on April 11, 2000 (Volume associated air brake components an making the test * * * .’’ UP feels that by 65, Number 70; Pages 19477–78), or employee might encounter in the field. allowing an employee to use their online at http://www.dot.gov/ BNSF asserts that ABSVTE will enhance unique employee identification number privacy.html. employee decision-making by testing when signing a CCS departure test form Issued in Washington, DC, on October 19, his or her ability to identify and correct will not only make it easier to identify 2011. malfunctions that are difficult to which employee performed the CCS Robert C. Lauby, demonstrate during operational testing. departure test, it will also enhance the Deputy Associate Administrator for FRA permits operational testing to safety of UP operations and allow for a Regulatory and Legislative Operations. satisfy the hands-on portion of periodic more consistent sign off method [FR Doc. 2011–27501 Filed 10–24–11; 8:45 am] refresher training, provided the tests are regarding routine inspection and documented. BILLING CODE 4910–06–P departure processes. BNSF will require 100-percent A copy of the petition, as well as any proficiency to receive virtual hands-on written communications concerning the DEPARTMENT OF TRANSPORTATION credit. Employees failing to achieve 100- petition, is available for review online at percent proficiency will be allowed to http://www.regulations.gov and in Federal Railroad Administration retake the virtual test. If the employee person at the U.S. Department of again fails to achieve 100-percent Transportation’s (DOT) Docket [Docket Number FRA–2011–0074] proficiency, he or she will receive Operations Facility, 1200 New Jersey Petition for Waiver of Compliance remedial training from a supervisor or Ave., SE., W12–140, Washington, DC trainer. 20590. The Docket Operations Facility In accordance with part 211 of Title In summary, BNSF respectfully is open from 9 a.m. to 5 p.m., Monday 49 Code of Federal Regulations (CFR), requests that ABSVTE be considered as through Friday, except Federal this document provides the public an additional option to satisfy the Holidays. notice that by a document dated ‘‘hands-on’’ portion of periodic refresher Interested parties are invited to September 2, 2011, BNSF Railway training required by 49 CFR 232.203(e). participate in these proceedings by (BNSF) has petitioned the Federal BNSF states that incorporating ABSVTE submitting written views, data, or Railroad Administration (FRA) for a into their portfolio of traditional comments. FRA does not anticipate waiver of compliance from certain training delivery mechanisms will result scheduling a public hearing in provisions of the Federal railroad safety in an overall increase in the frequency connection with these proceedings since regulations contained at 49 CFR part of air brake training and evaluation for the facts do not appear to warrant a 232. FRA has assigned the petition BNSF employees. hearing. If any interested party desires Docket Number FRA–2011–0074. Interested parties are invited to an opportunity for oral comment, they BNSF seeks relief from certain participate in these proceedings by should notify FRA, in writing, before provisions of 49 CFR part 232, Brake submitting written views, data, or the end of the comment period and System Safety Standards for Freight and comments. FRA does not anticipate specify the basis for their request. Other Non-Passenger Trains and scheduling a public hearing in

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connection with these proceedings since This proceeding is identified as FRA DEPARTMENT OF TRANSPORTATION the facts do not appear to warrant a block signal application Docket Number hearing. If any interested party desires FRA–2011–0022. A copy of CORP’s full Maritime Administration an opportunity for oral comment, they petition is available for review online at Reports, Forms and Recordkeeping should notify FRA, in writing, before http://www.regulations.gov. the end of the comment period and Requirements; Agency Information FRA has conducted a field specify the basis for their request. Collection Activity Under OMB Review investigation in this matter and has All communications concerning these AGENCY: Maritime Administration, DOT. proceedings should identify the issued a public notice seeking comments from interested parties (See ACTION: Notice and request for appropriate docket number and may be comments. submitted by any of the following 75 Federal Register 21943 (April 19, methods: 2011)). After examining the carrier’s SUMMARY: In compliance with the • Web site: http:// proposal and the available facts, FRA Paperwork Reduction Act of 1995 (44 www.regulations.gov. Follow the online has determined that a public hearing is U.S.C. 3501 et seq.), this notice instructions for submitting comments. necessary before a final decision is announces that the Information • Fax: 202–493–2251. made on this proposal. Accordingly, Collection abstracted below has been • Mail: Docket Operations Facility, FRA invites all interested persons to forwarded to the Office of Management U.S. Department of Transportation, 1200 participate in a public hearing on and Budget (OMB) for review and New Jersey Avenue, SE., W12–140, December 1, 2011. The hearing will be approval. The nature of the information Washington, DC 20590. collection is described as well as its • conducted at the Douglas County Hand Delivery: 1200 New Jersey Courthouse, Room 310, 1036 Southeast expected burden. The Federal Register Avenue, SE., Room W12–140, Douglas Avenue, Roseburg, Oregon Notice with a 60-day comment period Washington, DC 20590, between 9 a.m. 97470. The hearing will begin at 9 a.m. soliciting comments on the following and 5 p.m., Monday through Friday, collection of information was published except Federal Holidays. Interested parties are invited to present oral statements at the hearing. For on July 15, 2011, and comments were Communications received by due by September 13, 2011. No information on facilities or services for December 9, 2011 will be considered by comments were received. persons with disabilities or to request FRA before final action is taken. DATES: Comments must be submitted on special assistance at the hearing, contact Comments received after that date will or before November 25, 2011. be considered as far as practicable. FRA’s Docket Clerk Jerome Melis-Tull FOR FURTHER INFORMATION CONTACT: Anyone is able to search the by telephone, email, or in writing, at Michael Yarrington, Maritime electronic form of any written least 5 business days before the date of Administration, 1200 New Jersey communications and comments the hearing. Mr. Melis-Tull’s contact Avenue, SE., Washington, DC 20590. received into any of our dockets by the information is as follows: FRA, Office of Telephone: 202–366–1915; or e-mail: name of the individual submitting the Chief Counsel, Mail Stop 10, 1200 New [email protected]. Copies of comment (or signing the comment, if Jersey Avenue, SE., Washington, DC this collection also can be obtained from submitted on behalf of an association, 20590; telephone: 202–493–6058; and e- that office. business, labor union, etc.). You may mail: [email protected]. review DOT’s complete Privacy Act SUPPLEMENTARY INFORMATION: Maritime Statement in the Federal Register The hearing will be informal and Administration (MARAD). Title: Procedures for Determining published on April 11, 2000 (Volume conducted in accordance with Rule 25 Vessel Services Categories for Purposes 65, Number 70; Pages 19477–78), or of the FRA Rules of Practice (Title 49 of the Cargo Preference Act. online at http://www.dot.gov/ Code of Federal Regulations Section 211.25) by a representative designated OMB Control Number: 2133–0540. privacy.html. Type Of Request: Extension of by FRA. The hearing will be a Dated: Issued in Washington, DC, on currently approved collection. October 19, 2011. nonadversary proceeding; therefore, Affected Public: Owners or operators Robert C. Lauby, there will be no cross-examination of of U.S.-registered vessels and foreign- Deputy Associate Administrator for persons presenting statements. An FRA registered vessels. Regulatory and Legislative Operations. representative will make an opening Forms: None. [FR Doc. 2011–27503 Filed 10–24–11; 8:45 am] statement outlining the scope of the Abstract: The purpose is to provide BILLING CODE 4910–06–P hearing. After all initial statements have information to be used in the been completed, those persons wishing designation of service categories of to make brief rebuttal statements will be individual vessels for purposes of DEPARTMENT OF TRANSPORTATION given the opportunity to do so in the compliance with the Cargo Preference same order in which they made their Act under a Memorandum of Federal Railroad Administration initial statements. Additional Understanding entered into by the U.S. Department of Agriculture, U.S. Agency [Docket Number FRA–2011–0022] procedures, if necessary for the conduct of the hearing, will be announced at the for International Development, and the Notice of Public Hearing hearing. Maritime Administration. The Maritime Administration will use the data The Central Oregon and Pacific Issued in Washington, DC, on October 19, submitted by vessel operators to create Railroad (CORP) has petitioned the 2011. a list of Vessel Self-Designations and Federal Railroad Administration (FRA) Robert C. Lauby, determine whether the Agency agrees or seeking the approval of the proposed Deputy Associate Administrator for disagrees with a vessel owner’s discontinuance and removal of Regulatory and Legislative Operations. designation of a vessel. automatic block signal systems on three [FR Doc. 2011–27508 Filed 10–24–11; 8:45 am] Annual Estimated Burden Hours: 800 sections of the Roseburg Subdivision hours. BILLING CODE 4910–06–P and on one section of the Siskiyou Addressees: Send comments Subdivision. regarding these information collections

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to the Office of Information and Administration, 1200 New Jersey DEPARTMENT OF TRANSPORTATION Regulatory Affairs, Office of Avenue, SE., Washington, DC 20590. Management and Budget, 725 Telephone: 202–366–1029; or e-mail: Maritime Administration Seventeenth Street, NW., Washington, [email protected]. Copies of this [Docket No. MARAD 2011 0126] DC, 20503, Attention: MARAD Desk collection also can be obtained from that Officer. Alternatively, comments may be office. Requested Administrative Waiver of sent via e-mail to the Office of SUPPLEMENTARY INFORMATION: Maritime the Coastwise Trade Laws: Vessel CAP Information and Regulatory Affairs Administration (MARAD). II; Invitation for Public Comments (OIRA), Office of Management and Title: Monthly Report of Ocean AGENCY: Budget, at the following address: Shipments Moving under Export-Import Maritime Administration, [email protected]. Bank Financing. Department of Transportation. Comments Are Invited On: Whether OMB Control Number: 2133–0013. ACTION: Notice. the proposed collection of information Type of Request: Extension of SUMMARY: As authorized by 46 U.S.C. is necessary for the proper performance currently approved collection. 12121, the Secretary of Transportation, of the functions of the agency, including Affected Public: Shippers subject to as represented by the Maritime whether the information will have Export/Import Bank Financing. practical utility; the accuracy of the Form Numbers: MA–518. Administration (MARAD), is authorized agency’s estimate of the burden of the Abstract: 46 U.S.C. 55304, requires to grant waivers of the U.S.-build proposed information collection; ways MARAD to monitor and enforce the requirement of the coastwise laws under to enhance the quality, utility and U.S.-flag shipping requirements relative certain circumstances. A request for clarity of the information to be to the loans/guarantees extended by the such a waiver has been received by collected; and ways to minimize the Export-Import Bank (EXIMBANK) to MARAD. The vessel, and a brief burden of the collection of information foreign borrowers. Public Resolution 17 description of the proposed service, is on respondents, including the use of requires that shipments financed by listed below. automated collection techniques or Eximbank and that move by sea, must DATES: Submit comments on or before other forms of information technology. be transported exclusively on U.S.-flag November 25, 2011. A comment to OMB is best assured of registered vessels unless a waiver is ADDRESSES: Comments should refer to having its full effect if OMB receives it obtained from MARAD. docket number MARAD–2011–0126. within 30 days of publication. Annual Estimated Burden Hours: 169 Written comments may be submitted by Dated: October 13, 2011. hours. hand or by mail to the Docket Clerk, By Order of the Maritime Administrator. Addresses: Send comments regarding U.S. Department of Transportation, Christine Gurland, these information collections to the Docket Operations, M–30, West Acting Secretary, Maritime Administration. Office of Information and Regulatory Building Ground Floor, Room W12–140, Affairs, Office of Management and 1200 New Jersey Avenue, SE., [FR Doc. 2011–27618 Filed 10–24–11; 8:45 am] Budget, 725 Seventeenth Street, NW., Washington, DC 20590. You may also BILLING CODE 4910–81–Ps Washington, DC, 20503, Attention: send comments electronically via the MARAD Desk Officer. Alternatively, Internet at http://www.regulations.gov. DEPARTMENT OF TRANSPORTATION comments may be sent via e-mail to the All comments will become part of this Office of Information and Regulatory docket and will be available for Maritime Administration Affairs (OIRA), Office of Management inspection and copying at the above and Budget, at the following address: address between 10 a.m. and 5 p.m., Reports, Forms and Recordkeeping [email protected]. E.T., Monday through Friday, except Requirements; Agency Information Comments Are Invited On: federal holidays. An electronic version Collection Activity Under OMB Review (a) Whether the proposed collection of of this document and all documents information is necessary for the proper entered into this docket is available on AGENCY: Maritime Administration, DOT. performance of the functions of the the World Wide Web at http:// ACTION: Notice and request for agency, including whether the www.regulations.gov. comments. information will have practical utility; FOR FURTHER INFORMATION CONTACT: SUMMARY: In compliance with the (b) the accuracy of the agency’s estimate Joann Spittle, U.S. Department of Paperwork Reduction Act of 1995 (44 of the burden of the proposed Transportation, Maritime U.S.C. 3501 et seq.), this notice information collection; (c) ways to Administration, 1200 New Jersey announces that the Information enhance the quality, utility and clarity Avenue, SE., Room W21–203, Collection abstracted below has been of the information to be collected; and Washington, DC 20590. Telephone 202– forwarded to the Office of Management (d) ways to minimize the burden of the 366–5979, E-mail [email protected]. collection of information on and Budget (OMB) for review and SUPPLEMENTARY INFORMATION: As approval. The nature of the information respondents, including the use of automated collection techniques or described by the applicant the intended collection is described as well as its service of the vessel CAP II is: expected burden. The Federal Register other forms of information technology. A comment to OMB is best assured of Intended Commercial Use of Vessel: Notice with a 60-day comment period ‘‘CAP II is a charter vessel used for soliciting comments on the following having its full effect if OMB receives it within 30 days of publication. pleasure sailing only.’’ collection of information was published Geographic Region: ‘‘CAP II may be on July 15, 2011, and comments were By the Order of the Maritime visiting ports in the following states: due by September 13, 2011. No Administrator. Maine, New Hampshire, Massachusetts, comments were received. Dated: October 13, 2011. Rhode Island, Connecticut, New Jersey, DATES: Comments should be submitted Christine Gurland, New York, Delaware, Maryland, on or before November 25, 2011. Acting Secretary, Maritime Administration. Virginia, North Carolina, South FOR FURTHER INFORMATION CONTACT: [FR Doc. 2011–27615 Filed 10–24–11; 8:45 am] Carolina, Georgia, Florida, Illinois, Dennis Brennan, Maritime BILLING CODE 4910–81–P Indiana, Wisconsin and Michigan.’’

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The complete application is given in CF250T–3(V3) and CF250T–5(V5) driven cycle,3 a non-compliance DOT docket MARAD–2011–0126 at motorcycles that CFMOTO imported did appeared to be present. NHTSA notified http://www.regulations.gov. Interested not fully comply with paragraph S5.2.1 CFMOTO of the apparent parties may comment on the effect this of 49 CFR 571.123 Federal Motor noncompliance in a letter dated action may have on U.S. vessel builders Vehicle Safety Standard (FMVSS) No. December 4, 2009. or businesses in the U.S. that use U.S.- 123, Motorcycle Controls and Displays. CFMOTO’s Analysis of Noncompliance flag vessels. If MARAD determines, in CFMOTO filed an appropriate report, accordance with 46 U.S.C. 12121 and dated January 13, 2010, pursuant to 49 CFMOTO provided the following MARAD’s regulations at 46 CFR part CFR part 573, Defect and arguments to support its contention that 388, that the issuance of the waiver will Noncompliance Responsibility and the subject noncompliance, (i.e., that the have an unduly adverse effect on a U.S.- Reports. Specifically, CFMOTO rear wheel brake control is located on vessel builder or a business that uses estimated that approximately 6,405 the left handlebar instead of a right foot U.S.-flag vessels in that business, a model year 2005–2009 CHG model control as required by paragraph S5.2.1 waiver will not be granted. Comments CF250T–3(V3) and CF250T–5(V5) FMVSS No. 123), is inconsequential to should refer to the docket number of motorcycles, produced January 1, 2005, motor vehicle safety: this notice and the vessel name in order through December 31, 2009 are affected The subject vehicles were manufactured for MARAD to properly consider the (hereafter referred to as ‘‘noncompliant and certified as scooters by CHG. CHG comments. Comments should also state vehicles’’). believed that the vehicles met all of the the commenter’s interest in the waiver requirements for a scooter under FMVSS No. Pursuant to 49 U.S.C. 30118(d) and application, and address the waiver 123. As a result of the scooter certification 30120(h), and 49 CFR Part 556, criteria given in § 388.4 of MARAD’s the rear wheel brake was placed on the left CFMOTO has petitioned for an regulations at 46 CFR part 388. handlebar. exemption from the notification and The placement of the rear brake on the left Privacy Act remedy requirements of the National handlebar should be deemed by the NHTSA as an inconsequential noncompliance, based Anyone is able to search the Traffic and Motor Vehicle Safety Act as amended and rectified, 49 U.S.C. on the history and safety records of the electronic form of all comments vehicles. No consumer complaints and no received into any of our dockets by the Chapter 301 on the basis that this warranty claims or incident reports have name of the individual submitting the noncompliance is inconsequential to been received by CFMOTO or CHG that relate comment (or signing the comment, if motor vehicle safety. Notice of receipt of to the lack of a right foot actuated rear wheel submitted on behalf of an association, CFMOTO’s petition was published, with brake. business, labor union, etc.). You may a 30-day public comment period, on One of the main reasons consumers have review DOT’s complete Privacy Act August 10, 2010, in the Federal Register been attracted to the subject vehicles is that Statement in the Federal Register (75 FR 49020). No comments were they have the appearance of a motorcycle and received. the operation or function of a scooter. Aside published on April 11, 2000 (Volume from a lack of pass-through leg area, the 65, Number 70; Pages 19477–78). FOR FURTHER INFORMATION CONTACT: For vehicles are scooters in all technical respects. By Order of the Maritime Administrator. further information on CFMOTO’s It is the scooter functionality that has been Dated: October 13, 2011. the driving force behind consumer demand petition or this decision, contact Mr. for the vehicles. Christine Gurland, Stuart Seigel, Office of Vehicle Safety Individuals with disabilities prefer the left Acting Secretary, Compliance, the National Highway hand rear brake controls to those of a foot Maritime Administration. Traffic Safety Administration (NHTSA), operated actuator. Similarly, many [FR Doc. 2011–27619 Filed 10–24–11; 8:45 am] telephone (202) 366–5287, facsimile consumers want to upgrade from a scooter to BILLING CODE 4910–81–P (202) 366–7002. a ‘‘motorcycle look’’ without the complexities of operating a motorcycle and SUPPLEMENTARY INFORMATION: In October therefore choose the subject vehicles. 2009, OVSC tested a model year (MY) DEPARTMENT OF TRANSPORTATION In summation, CFMOTO believes that 2009 V3 CF250T to the performance the described noncompliance is National Highway Traffic Safety requirements of FMVSS No. 122 inconsequential to motor vehicle safety. Administration Motorcycle Brakes at Transportation Therefore, CFMOTO requests that its [Docket No. NHTSA–2010–0106; Notice 2] Research Center (VRTC) in East Liberty, 2 petition, to exempt it from providing Ohio. At the conclusion of the testing, recall notification of noncompliance as CFMOTO Powersports, Inc., Denial of it was noted that the vehicle appeared required by 49 U.S.C. 30118 and Petition for Decision of to not comply with S5.2.1 Control remedying the recall noncompliance as Inconsequential Noncompliance Location and Operation requirements of required by 49 U.S.C. 30120 should be FMVSS No. 123. Specifically, according granted. AGENCY: National Highway Traffic to Table 1 row 11 within that standard, Safety Administration, DOT. CFMOTO also stated that CHG has the control for the rear wheel brake corrected the problem that caused these ACTION: Denial of petition for must be a right foot control unless the inconsequential noncompliance. errors so that they will not be repeated vehicle is a motor-driven cycle or a in future production. SUMMARY: scooter with an automatic clutch in CFMOTO Powersports, Inc. NHTSA Decision (CFMOTO),1 agent for the Chunfeng which case the left handlebar actuator is Holding Group Hangshou Motorcycles to be used. As the vehicle was equipped Background of the Requirements for a Manufacturing Co., LTD. (formerly with only a left handlebar lever for rear Motorcycle known as Zhejiang CFMOTO Power Co., brake actuation, but did not meet the definition of a scooter, and with an Federal Motor Vehicle Safety Ltd. (CHG)) has determined that certain Standard (FMVSS) No. 123, Motorcycle model year 2005–2009 CHG Model advertised 14 horsepower motor, did not meet the definition of a motor- 3 CFR 49 571.3—Motor-driven cycle means a 1 CFMOTO Powersports, Inc., a Minnesota motor cycle with a motor that produces 5-brake Corporation, is an importer of motor vehicles. 2 NHTSA No. C91202. horsepower or less.

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Controls and Displays, specifies with all applicable FMVSS’s and part of consumers want to upgrade from a requirements for the location, operation, that process is ensuring that the vehicle scooter to a motorcycle without the identification, and illumination of is properly defined. complexities of operating a motorcycle motorcycle controls and displays. The We will now address CHG’s assertion and therefore choose the subject purpose of FMVSS No. 123 is to that the placement of the rear brake on vehicles. minimize accidents caused by operator the left handlebar should be deemed by In response, NHTSA notes CFMOTO error in responding to the motoring the NHTSA as an inconsequential has provided no evidence backing its environment by standardizing certain noncompliance, based on the history assertion regarding consumer preference motorcycle controls and displays. and safety records of the vehicles. No or marketing strategies. However, if Among other requirements, FMVSS No. consumer complaints and no warranty such consumer preference is true, the 123 (at S5.2.1, Table 1, Row 11) requires claims or incident reports have been requirement for the right foot rear wheel the control for a motorcycle’s rear wheel received by CFMOTO or CHG that relate brake actuator does not preclude brakes to be operable by a right foot to the lack of a right foot actuated rear incorporation of a supplemental left control. However, if the motorcycle is a wheel brake.4 NHTSA notes however, handlebar brake lever controlling the motor-driven cycle or a scooter with an that the absence of this data does not rear brake wheel for the CFMOTO units. automatic clutch, the rear wheel brake necessarily indicate the lack of a Per S5.2.1 of the standard, ‘‘If a control must be located on the left potential safety problem. motorcycle with an automatic clutch handlebar. This requirement was CHG asserted that one of the main other than a scooter is equipped with a delineated in a Final Rule amending reasons consumers have been attracted supplemental rear brake control, the FMVSS No. 123 published in the to the subject vehicles is that they have control shall be located on the left Federal Register (70 FR 51286) on the appearance of a motorcycle and the handlebar.’’ Thus the motorcycles in August 30, 2005. Additionally, this operation or function of a scooter. CHG question can continue to have the left notice defined the ‘‘scooter’’ style asserted that aside from a lack of pass- hand brake lever provided the right foot motorcycle as (1) having a platform for through leg area, the vehicles are lever is provided. the operator’s feet or has integrated scooters in all technical respects, and footrests, and (2) has a step-through that it is the scooter functionality that NHTSA Conclusions architecture, meaning that the part of has been the driving force behind The subject noncompliant vehicles do the vehicle forward of the operator’s consumer demand for the vehicles. not qualify as either ‘‘motor-driven seat and between the legs of an operator In response, NHTSA notes that the cycle’’ type or ‘‘scooter’’ style seated in the riding position is lower subject vehicles have the appearance of motorcycle. Because the noncompliant than the operator’s seat. NHTSA has a motorcycle which we interpret the vehicles clearly do not resemble consistently held that standardization petitioner as meaning the body styling scooters or motor-driven cycles, an for motorcycle control locations is of a traditional step-over motorcycle, yet operator will very likely expect the critical to the safe operation of these the operation or function of a scooter, motorcycle to be of traditional design vehicles. Specifically, in order to lessen which we additionally interpret to mean with controls traditionally located as the risk of such crashes due to driver automatic transmission and left well. In the absence of the right foot misapplication or non-application of the handlebar brake and no right foot rear brake lever, the operator will be rear wheel brake there is an expectation brake actuator. Not having the precluded from the right foot rear wheel by the operator that the control appearance of a scooter is the basis of brake application thereby possibly locations on a motorcycle with certain the safety issue in question. A increasing stopping distance and the design characteristics, such as a scooter motorcycle that appears to be of likelihood of loss of vehicle control. or a step-over traditional styled standard configuration would be motorcycle, will for each style, be Lastly, CFMOTO has not produced expected by operators to also have any data to support its contention that consistent from motorcycle to controls in the customary locations for motorcycle. In the absence of this the noncompliance does not present a a standard motorcycle. Thus, a safety significant safety risk. uniformity, the operator is at risk when scenario could arise as the operator operating a new or unfamiliar riding on what they consider to be a Decision motorcycle. standard motorcycle with After a review of CFMOTO’s NHTSA’s Analysis of CFMOTO’s commensurate standard control arguments and the final rule preamble Reasoning locations, during a braking event, would language, NHTSA concludes that attempt to apply the traditional right CFMOTO has not met its burden of The subject vehicles were certified as foot brake lever when none was present, scooter style motorcycles by the CHG. demonstrating that the noncompliance resulting in diminished braking does not present a significant safety risk. CHG believed that the vehicles met all capability and possible loss of vehicle of the requirements for a scooter under Therefore, NHTSA does not agree with control. CFMOTO has answered its own CFMOTO that this specific FMVSS No. 123. question as to why a motorcycle with a CHG made a fundamental error in noncompliance is inconsequential to certain configuration yet with concluding that the motorcycle was a motor vehicle safety. unexpected operational control scooter. The subject CFMOTO In consideration of the foregoing, locations presents a safety concern. motorcycles in question have body NHTSA has decided that the petitioner Consequently, NHTSA is not persuaded cladding forward of the operators seat has not met its burden of persuasion by CFMOTO’S argument. that the noncompliances described are and have a similar step-over body CFMOTO also asserted that inconsequential to motor vehicle safety. configuration as a traditional individuals with disabilities prefer the Accordingly, CFMOTO’s petition is motorcycle. It is quite obvious that the left hand rear brake controls to those of hereby denied, and the petitioner must subject units do not have the step-thru a foot operated actuator, and that many architecture that is required for a scooter notify owners, purchasers and dealers pursuant to 49 U.S.C. 30118 and designation. It is the responsibility of 4 We note no such consumer complaints, the manufacturer to certify that the warranty claims or incident reports have been provide a remedy in accordance with 49 vehicles it manufacturers are compliant reported to NHTSA. U.S.C. 30120.

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Authority: 49 U.S.C. 30118, 30120; locate docket number ‘‘NHTSA–2010– required by 49 U.S.C. 30118 and delegations of authority at 49 CFR 1.50 and 0141.’’ remedying the recall noncompliance as 501.8. For further information on this required by 49 U.S.C. 30120, should be Issued on: October 19, 2011. decision, contact Mr. Michael Cole, granted. Office of Vehicle Safety Compliance, the Claude H. Harris, NHTSA Decision: NHTSA agrees with National Highway Traffic Safety Acting Associate Administrator for Mazda that the performance of the Enforcement. Administration (NHTSA), telephone (202) 366–2334, facsimile (202) 366– headlamps is not affected by the subject [FR Doc. 2011–27565 Filed 10–24–11; 8:45 am] noncompliance. NHTSA also agrees that BILLING CODE 4910–59–P 7002. Mazda estimates approximately in this unique case that the marking of 123,000 2004 through 2009 Mazda RX– the trademark on the rim of the DEPARTMENT OF TRANSPORTATION 8 model passenger cars, manufactured headlamp housing, rather than on the from April 1, 2003 to May 29, 2009, and headlamp lens itself as required by the National Highway Traffic Safety 2006 through 2008 MX–5 model rule, fulfills the same function as the Administration passenger cars, built from May 17, 2005 requirement because a vehicle user can to November 27, 2008, are affected. All readily determine the manufacturer of [Docket No. NHTSA–2010–0141; Notice 2] of the affected vehicles were built at the headlamp. Mazda’a plant in Hiroshima Japan. NHTSA notes that the statutory Mazda North American Operations, Mazda states that the noncompliance provisions (49 U.S.C. 30118(d) and Grant of Petition for Decision of is that the lenses of the headlamps on 30120(h)) that permit manufacturers to Inconsequential Noncompliance the affected vehicles are not marked with the name or trademark of the file petitions for a determination of AGENCY: National Highway Traffic inconsequentiality allow NHTSA to Safety Administration, DOT. manufacturer of the headlamp, the manufacturer of the vehicle, or the exempt manufacturers only from the ACTION: Grant of Petition for Decision of duties found in sections 30118 and Inconsequential Noncompliance. importer of the vehicle. Mazda was notified by its headlamp 30120, respectively, to notify owners, SUMMARY: Mazda North American manufacturer, Koito Manufacturing purchasers, and dealers of a defect or Operations (MNAO),1 on behalf of Company, Ltd. (Koito) of the apparent noncompliance and to remedy the Mazda Motor Corporation of Hiroshima, noncompliance. Mazda then concluded defect or noncompliance. Therefore, this Japan (Mazda), has determined the lens that the vehicles equipped with the decision only applies to the vehicles 2 of the headlamps equipped on certain affected headlamps failed to comply that Mazda no longer controlled at the 2004 through 2009 Mazda RX–8 model with paragraph S7.2(b) of FMVSS No. time that it determined that a passenger cars, manufactured from 108. noncompliance existed in the subject April 1, 2003, to May 29, 2009, and Mazda stated the following reasons vehicles. why they believe the noncompliance is certain 2006 through 2008 MX–5 model In consideration of the foregoing, inconsequential to vehicle safety and passenger cars, built from May 17, 2005, NHTSA has decided that Mazda has met to November 27, 2008, failed to meet the does not present a risk to motor vehicle safety: its burden of persuasion that the subject requirements of paragraph S7.2(b) of FMVSS No. 108 labeling Federal Motor Vehicle Safety Standard The affected headlamps fulfill all the noncompliances are inconsequential to relevant performance requirements of (FMVSS) No. 108 Lamps, Reflective motor vehicle safety. Accordingly, Devices, and Associated Equipment. FMVSS No. 108, except that trade name and/ Mazda’s petition is granted and the Mazda has filed an appropriate report or trademark of the manufacturer or importer is missing on the lens. However, the affected petitioner is exempted from the pursuant to 49 CFR Part 573, Defect and headlamps have the trademark of the obligation of providing notification of, Noncompliance Responsibility and headlamp manufacturer on the rim of the and a remedy for, the subject Reports, dated December 16, 2009. headlamp housing. Thus, Mazda contends Pursuant to 49 U.S.C. 30118(d) and that this marking on the rim is visible with noncompliance under 49 U.S.C. 30118 30120(h) and the rule implementing the vehicle’s front hood open and states that and 30120. those provisions at 49 CFR part 556, it believes that the rim marking could assist Authority: (49 U.S.C. 30118, 30120: Mazda has petitioned for an exemption the easy identification of the headlamp delegations of authority at CFR 1.50 and manufacturer by the users of the vehicles. from the notification and remedy 501.8.) Mazda has not received any complaints or requirements of 49 U.S.C. chapter 301 claims related to the noncompliance nor is it Issued on: October 19, 2011. on the basis that this noncompliance is aware of any known reports of accidents or Claude H. Harris, inconsequential to motor vehicle safety. injuries attributed to the noncompliance. Notice of receipt of the petition was Director, Acting Associate Administrator for In summary, Mazda states that it published, with a 30-day public Enforcement. believes the noncompliance is comment period, on October 21, 2010 in [FR Doc. 2011–27581 Filed 10–24–11; 8:45 am] inconsequential to motor vehicle safety the Federal Register (75 FR 65053). No BILLING CODE 4910–59–P because the affected headlamps fulfill comments were received. To view the all other relevant requirements of petition and all supporting documents FMVSS No. 108. 2 Mazda’s petition, which was filed under 49 CFR log onto the Federal Docket The company also states that it has part 556, requests an agency decision to exempt Management System (FDMS) Web site taken steps to correct the Mazda as a manufacturer from the notification and at: http://www.regulations.gov/. Then noncompliance in future production. recall responsibilities of 49 CFR part 573 for the follow the online search instructions to Supported by the above stated affected vehicles. However, a decision on this reasons, Mazda believes that the subject petition cannot relieve distributors and dealers of the prohibitions on the sale, offer for sale, or 1 Mazda Motor Corporation of Hiroshima, Japan noncompliance is inconsequential to (Mazda) is the manufacturer of the subject vehicles introduction or delivery for introduction into and Mazda North American Operations (MNAO) is motor vehicle safety, and that its interstate commerce of the noncompliant vehicles the importer of the vehicles as well as the registered petition, to exempt it from providing under their control after Mazda notified them that agent for Mazda. recall notification of noncompliance as the subject noncompliance existed.

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DEPARTMENT OF THE TREASURY and records accounts for all Type of Review: Extension without concentrates manufactured, removed, or change of a currently approved Submission for OMB Review; treated so as to be unfit for beverage use. collection. Comment Request The information is required to verify Title: Wholesale Dealers Records of that alcohol is not being diverted for Receipt of Alcoholic Beverages, October 19, 2011. beverage use which would jeopardize Disposition of Distilled Spirits, and The Department of the Treasury will tax revenues. Monthly Summary Report, TTB REC submit the following public information Respondents: Private Sector: 5170/2. collection requirements to OMB for Businesses or other for-profits. Abstract: An accounting tool, this review and clearance under the Estimated Total Burden Hours: 27. record is used to show the person from Paperwork Reduction Act of 1995, OMB Number: 1513–0030. whom a wholesale dealer purchased Public Law 104–13 on or after the date Type of Review: Revision of a alcoholic beverages, and the person to of publication of this notice. A copy of currently approved collection. whom the dealer sold alcoholic the submissions may be obtained by Title: Claim—Alcohol, Tobacco, and beverages. When required, the monthly calling the Treasury Bureau Clearance Firearms Taxes. report will provide a report of sales Officer listed. Comments regarding Form: TTB F 5620.8. activities and on-hand inventory these information collections should be Abstract: This form is used by quantities. addressed to the OMB reviewer listed taxpayers to show the basis for a credit Respondents: Private Sector: and to the Treasury PRA Clearance remission and allowance of tax on loss Businesses or other for-profits. Officer, Department of the Treasury, of taxable articles, to request a refund or Estimated Total Burden Hours: 1,200. 1750 Pennsylvania Avenue, NW., Suite abatement on taxes excessively or OMB Number: 1513–0094. 11010, Washington, DC 20220. erroneously collected, and to request a Type of Review: Revision of a Dates: Written comments should be drawback of tax paid on distilled spirits currently approved collection. received on or before November 25, used in the production on non-beverage Title: Federal Firearms and 2011 to be assured of consideration. products. Ammunition Quarterly Excise Tax Alcohol and Tabacco Tax and Trade Respondents: Private Sector: Not-for- Return. Form: 5300.26. Bureau (TTB) profit institutions, Businesses or other Abstract: This information is needed for-profits; Individuals or Households. OMB Number: 1513–0006. to determine how much tax is owed for Type of Review: Extension without Estimated Total Burden Hours: 10,000. firearms and ammunition. TTB uses this change of a currently approved information to verify that a taxpayer has collection. OMB Number: 1513–0053. correctly determined and paid tax Title: Applications—Volatile Fruit- Type of Review: Revision of a liability on the sale or use of firearms Flavor Concentrate Plants, TTB REC currently approved collection. and ammunition. Businesses, including Title: Report of Wine Premises 5520/2. small to large, and individuals may be Operations. Form: TTB F 5530.3. required to use this form. Abstract: Persons who wish to Form: TTB F 5120.17. Respondents: Private Sector: establish premises to manufacture Abstract: This report is used to Businesses or other for-profits; volatile fruit-flavor concentrates are monitor wine operations, ensure Individuals and Households. required to file an application and keep collection of wine tax revenue, and Estimated Total Burden Hours: records to support the manufacture of ensure wine is produced in accordance 33,775. with law and regulations. This report these concentrates. TTB uses the OMB Number: 1513–0102. application information to identify also provides raw data for TTB’s Type of Review: Extension without persons responsible for such monthly statistical release on wine. change of a currently approved manufacture, since these products Respondents: Private Sector: collection. contain ethyl alcohol and have potential Businesses or other for-profits. Title: Tobacco Bond—Collateral and for use as alcoholic beverages with Estimated Total Burden Hours: Tobacco Bond-Surety. consequent loss of revenue. The 35,672. Form: 5200.25; 5200.26. application constitutes registry of a still, OMB Number: 1513–0055. Abstract: TTB requires a corporate a statutory requirement. TTB uses the Type of Review: Revision of a surety bond or a collateral bond to records to ensure that the concentrates currently approved collection. ensure payment of the excise tax on are manufactured properly. Title: Offer in Compromise of Liability tobacco products (TP) and cigarette Respondents: Private Sector: Incurred Under Federal Alcohol paper and tubes (CP&T) removed from Businesses or other for-profits. Administration Act, as amended. the factory or warehouse. These TTB Estimated Total Burden Hours: 160. Form: TTB F 5640.2. forms identify the agreement to pay and OMB Number: 1513–0022. Abstract: Persons who have the person from which TTB will attempt Type of Review: Extension without committed violations of the FAA Act to collect any unpaid excise tax. change of a currently approved may submit an offer in compromise. The Manufactures of TP or CP&T, export collection. offer is a request by the party in warehouse proprietors, and corporate Title: Annual Report of Concentrate violation to compromise penalties for sureties, if applicable, are the Manufacturers and Usual and the violations in lieu of civil or criminal respondents for these forms. Customary Business Records-Volatile action. TTB F 5640.2 identifies the Respondents: Private Sector: Fruit-Flavor Concentrate, TTB REC violation(s) to be compromised by the Businesses or other for-profits. 5520/1. person committing them, amount of Estimated Total Burden Hours: 25. Form: TTB F 5520.2. offer, plus justification for acceptance. Clearance Officer: Gerald Isenberg, Abstract: Manufacturers of volatile Respondents: Private Sector: Alcohol and Tobacco Tax and Trade fruit-flavor concentrate must provide Businesses or other for-profits. Bureau, Room 200 East, 1310 G Street, reports as necessary to ensure the Estimated Total Burden Hours: 24. NW., Washington, DC 20005; (202) 453– protection of the revenue. The report OMB Number: 1513–0065. 2165.

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OMB Reviewer: Shagufta Ahmed, Compliance & Evaluation, tel.: 202/622– performance of the functions of the Office of Management and Budget, New 2490, Assistant Director for Licensing, agency, including whether the Executive Office Building, Room 10235, tel.: 202/622–2480, Assistant Director information has practical utility; (b) the Washington, DC 20503; (202) 395–7873. for Policy, tel.: 202/622–4855, Office of accuracy of the agency’s estimate of the Foreign Assets Control, or Chief Counsel burden of the collection of information; Dawn D. Wolfgang, (Foreign Assets Control), tel.: 202/622– (c) ways to enhance the quality, utility, Treasury PRA Clearance Officer. 2410, Office of the General Counsel, and clarity of the information to be [FR Doc. 2011–27519 Filed 10–24–11; 8:45 am] Department of the Treasury (not toll free collected; (d) ways to minimize the BILLING CODE 4810–31–P numbers). burden of the collection of information SUPPLEMENTARY INFORMATION: on respondents, including through the use of automated collection techniques DEPARTMENT OF THE TREASURY Title: Travel Service Provider and Carrier Service Provider Submission. or other forms of information Office of Foreign Assets Control OMB Number: 1505–0168. technology; and (e) estimates of capital Abstract: The information is required or start-up costs and costs of operation, Proposed Collection; Comment of persons who have been authorized by maintenance, and purchase of services Request for Travel Service Provider the Office of Foreign Assets Control of to provide information. and Carrier Service Provider the Department of the Treasury Dated: October 20, 2011. Submission (‘‘OFAC’’) to handle travel arrangements Dawn D. Wolfgang, to, from, and or within Cuba or to Treasury PRA Clearance Officer. AGENCY: Office of Foreign Assets provide charter air service to Cuba. [FR Doc. 2011–27557 Filed 10–24–11; 8:45 am] Control, Treasury. Travel service providers are required to ACTION: Notice and request for collect information on persons traveling BILLING CODE 4810–25–P comments. on direct flights to Cuba and forward SUMMARY: The Department of the that information to carrier service DEPARTMENT OF THE TREASURY Treasury, as part of its continuing effort providers, for ultimate submission to to reduce paperwork and respondent OFAC. Office of Foreign Assets Control burden, invites the general public and Current Actions: The information Unblocking of Specially Designated other Federal agencies to take this collection is being revised to reflect Nationals and Blocked Persons opportunity to comment on proposed changes in the estimated number of Pursuant to Executive Order 12978 and/or continuing information travelers per year and the time needed to provide the required information. collections, as required by the AGENCY: Type of Review: Revision of a Office of Foreign Assets Paperwork Reduction Act of 1995, Control, Treasury. Public Law 104–13 (44 U.S.C. currently approved collection. Affected Public: Individuals or ACTION: Notice. 3506(c)(2)(A)). Currently, the Office of households and businesses. SUMMARY: The U.S. Department of the Foreign Assets Control (‘‘OFAC’’) within Estimated Number of Respondents: the Department of the Treasury is Treasury’s Office of Foreign Assets 500,000. Control (‘‘OFAC’’) is publishing the soliciting comments concerning OFAC’s Estimated Time per Respondent: 4 names of three individuals and two Travel Service Provider and Carrier minutes per entry for travel service entities whose property and interests in Service Provider information collection. providers, or up to 1,000,000 minutes property have been unblocked pursuant DATES: Written comments should be annually for travel service providers in to Executive Order 12978 of October 21, received on or before December 27, 2011 the aggregate (16,667 hours); and up to 1995, ‘‘Blocking Assets and Prohibiting to be assured of consideration. 4 minutes per entry for carrier service Transactions With Significant Narcotics ADDRESSES: You may submit comments providers, or up to 1,000,000 minutes Traffickers’’. by any of the following methods: annually for carrier service providers in Federal eRulemaking Portal: the aggregate (16,667 hours). DATES: The unblocking and removal www.regulations.gov. Estimated Total Annual Burden from the list of Specially Designated Follow the instructions for submitting Hours: 33,334. Nationals and Blocked Persons (‘‘SDN comments. The following paragraph applies to all List’’) of the three individuals and two Fax: Attn: Request for Comments of the collections of information covered entities identified in this notice whose (TSP/CSP Information Collection) (202) by this notice: property and interests in property were 622–1657. An agency may not conduct or blocked pursuant to Executive Order Mail: Attn: Request for Comments sponsor, and a person is not required to 12978 of October 21, 1995, is effective (TSP/CSP Information Collection), respond to, a collection of information on October 19, 2011. Office of Foreign Assets Control, unless the collection of information FOR FURTHER INFORMATION CONTACT: Department of the Treasury, 1500 displays a valid Office of Management Assistant Director, Sanctions Pennsylvania Avenue, NW., and Budget (‘‘OMB’’) control number. Compliance & Evaluation, Office of Washington, DC 20220. Books or records relating to a collection Foreign Assets Control, Department of Instructions: All submissions received of information must be retained for five the Treasury, Washington, DC 20220, must include the agency name and the years. tel.: (202)622–2490. Federal Register Doc. number that SUPPLEMENTARY INFORMATION: appears at the end of this document. Request for Comments Comments received will be made Comments submitted in response to Electronic and Facsimile Availability available to the public via this notice will be summarized and/or This document and additional regulations.gov or upon request, without included in the request for OMB information concerning OFAC are change and including any personal approval. All comments will become a available from OFAC’s Web site information provided. matter of public record. Comments are (http://www.treasury.gov/ofac) or via FOR FURTHER INFORMATION CONTACT: invited on: (a) Whether the collection of facsimile through a 24-hour fax-on Assistant Director for Sanctions information is necessary for the proper demand service at (202) 622–0077.

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Background behalf of, persons designated pursuant c/o KAREN OVERSEAS, INC., On October 21, 1995, the President, to the Order. Panama City, Panama; c/o KAREN invoking the authority, inter alia, of the On October 19, 2011, the Director of OVERSEAS FLORIDA, INC., Miami, International Emergency Economic OFAC removed from the SDN List the FL; c/o JAMCE INVESTMENTS Powers Act (50 U.S.C. 1701–1706) three individuals and two entities listed LTD, Grand Cayman, Cayman (‘‘IEEPA’’), issued Executive Order below, whose property and interests in Islands; c/o GRANADA 12978 (60 FR 54579, October 24, 1995) property were blocked pursuant to the ASSOCIATES, INC., Miami, FL; c/ (the ‘‘Order’’). In the Order, the Order: o ELIZABETH OVERSEAS INC., President declared a national emergency Individuals: Panama City, Panama; c/o to deal with the threat posed by GAMBOA MORALES, Luis Carlos, CONSTRUCTORA ALTAVISTA significant foreign narcotics traffickers c/o GAMBOA Y GAMBOA LTDA., INTERNACIONAL S.A., centered in Colombia and the harm that Bogota, Colombia; Carrera 9 No. Barranquilla, Colombia; c/o they cause in the United States and 70A—35 Piso 7, Bogota, Colombia; CONFECCIONES LORD S.A., abroad. DOB 20 Dec 1957; Cedula No. Barranquilla, Atlantico, Colombia; Section 1 of the Order blocks, with 3228859 (Colombia) (individual) c/o ALM INVESTMENT FLORIDA, certain exceptions, all property and [SDNT] INC., Miami, FL; c/o SALMAN interests in property that are in the OSORIO CADAVID, Maria Victoria, CORAL WAY PARTNERS, Miami, United States, or that hereafter come c/o COLOR 89.5 FM STEREO, Cali, FL; c/o C.W. SALMAN PARTNERS, within the United States or that are or Colombia; c/o DERECHO Miami, FL; DOB 19 Dec 1919; hereafter come within the possession or INTEGRAL Y CIA. LTDA., Cali, citizen Colombia; Cedula No. control of United States persons, of: (1) Colombia; Cedula No. 31932294 812202 (Colombia); Passport The foreign persons listed in an Annex (Colombia) (individual) [SDNT] AF547128 (Colombia) (individual) to the Order; (2) any foreign person SAIEH JASSIR, Abdala, 780 NW 42nd [SDNT] determined by the Secretary of Avenue, Suite 516, Miami, FL Entities: Treasury, in consultation with the 33126; 780 NW Le Jeune Road, BANCA DE INVERSION Y MERCADO Attorney General and the Secretary of Suite 516, Miami, FL 33126; 19667 DE CAPITALES S.A. (a.k.a. BIMERC State: (a) To play a significant role in Turnberry Way A–G, North Miami S.A.), Avenida 6N No. 17–92 international narcotics trafficking Beach, FL; Carrera 56 No. 19–40 Oficina 802, Cali, Colombia; NIT # centered in Colombia; or (b) to Apt. 11, Barranquilla, Colombia; c/ 800238316–7 (Colombia) [SDNT] materially assist in, or provide financial o VILLAROSA INVESTMENTS GAMBOA Y GAMBOA LTDA., or technological support for or goods or CORPORATION, Panama City, Carrera 9 No. 70A–35 P. 7, Bogota, services in support of, the narcotics Panama; c/o VILLAROSA Colombia; NIT # 800013236–1 trafficking activities of persons INVESTMENTS FLORIDA, INC., (Colombia) [SDNT] designated in or pursuant to the Order; Miami, FL; c/o URBANIZADORA and (3) persons determined by the ALTAVISTA INTERNACIONAL Dated: October 19, 2011. Secretary of the Treasury, in S.A., Barranquilla, Colombia; c/o Adam J. Szubin, consultation with the Attorney General MLA INVESTMENTS INC., Virgin Director, Office of Foreign Assets Control. and the Secretary of State, to be owned Islands, British; c/o KATTUS [FR Doc. 2011–27553 Filed 10–24–11; 8:45 am] or controlled by, or to act for or on CORPORATION, Barbados; BILLING CODE 4810–AL–P

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Part II

Department of Labor

Employee Benefits Security Administration 29 CFR Part 2550 Investment Advice; Participants and Beneficiaries; Final Rule

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DEPARTMENT OF LABOR fiduciary to cause itself, or a party in beneficiary with respect to a security or which it has an interest that may affect other property available as an Employee Benefits Security its best judgment as a fiduciary, to investment under the plan; the Administration receive additional fees.3 As a result, in acquisition, holding or sale of a security the absence of a statutory or or other property available as an 29 CFR Part 2550 administrative exemption, fiduciaries investment under the plan pursuant to RIN 1210–AB35 are prohibited from rendering the investment advice; and the direct or investment advice to plan participants indirect receipt of compensation by a Investment Advice—Participants and regarding investments that result in the fiduciary adviser or affiliate in Beneficiaries payment of additional advisory and connection with the provision of other fees to the fiduciaries or their investment advice or the acquisition, AGENCY: Employee Benefits Security affiliates. Section 4975 of the Code holding or sale of a security or other Administration, Labor. applies similarly to the rendering of property available as an investment ACTION: Final rule. investment advice to an individual under the plan pursuant to the retirement account (IRA) beneficiary. investment advice. As described more SUMMARY: This document contains a With the growth of participant- fully below, the requirements in section final rule under the Employee directed individual account plans, there 408(g) are met only if advice is provided Retirement Income Security Act, and has been an increasing recognition of by a fiduciary adviser under an ‘‘eligible parallel provisions of the Internal the importance of investment advice to investment advice arrangement.’’ Revenue Code of 1986, relating to the participants and beneficiaries in such Section 408(g) provides for two general provision of investment advice to plans. Over the past several years, the types of eligible arrangements: one participants and beneficiaries in Department of Labor (Department) has based on compliance with a ‘‘fee- individual account plans, such as 401(k) issued various forms of guidance leveling’’ requirement (imposing plans, and beneficiaries of individual concerning when a person would be a limitation on fees and compensation of retirement accounts (and certain similar fiduciary by reason of rendering the fiduciary adviser); the other, based plans). The final rule affects sponsors, investment advice, and when such on compliance with a ‘‘computer fiduciaries, participants and investment advice might result in model’’ requirement (requiring use of a beneficiaries of participant-directed prohibited transactions.4 Responding to certified computer model). Both types of individual account plans, as well as the need to afford participants and arrangements also must meet several providers of investment and investment beneficiaries greater access to other requirements. advice related services to such plans. professional investment advice, On February 2, 2007, the Department DATES: The final rule is effective on Congress amended the prohibited issued Field Assistance Bulletin (FAB) December 27, 2011. transaction provisions of ERISA and the 2007–01 addressing certain issues FOR FURTHER INFORMATION CONTACT: Fred Code, as part of the Pension Protection presented by the new statutory Wong, Office of Regulations and Act of 2006 (PPA),5 to permit a broader exemption. This Bulletin affirmed that Interpretations, Employee Benefits array of investment advice providers to the enactment of sections 408(b)(14) and Security Administration (EBSA), (202) offer their services to participants and 408(g) did not invalidate or otherwise 693–8500. This is not a toll-free number. beneficiaries responsible for investment affect prior guidance of the Department SUPPLEMENTARY INFORMATION: of assets in their individual accounts relating to investment advice and that and, accordingly, for the adequacy of such guidance continues to represent A. Background their retirement savings. the views of the Department.7 The Section 3(21)(A)(ii) of the Employee Specifically, section 601 of the PPA Bulletin also confirmed the applicability Retirement Income Security Act of 1974 added a statutory prohibited transaction of the principles set forth in section (ERISA) and section 4975(e)(3)(B) of the exemption under sections 408(b)(14) 408(g)(10) [Exemption for plan sponsor Internal Revenue Code of 1986 (Code) and 408(g) of ERISA, with parallel and certain other fiduciaries] 8 to plan include within the definition of provisions at Code sections 4975(d)(17) 6 ‘‘fiduciary’’ a person that renders and 4975(f)(8). Section 408(b)(14) sets 7 In this regard, the Department cited the investment advice for a fee or other forth the investment advice-related following: August 3, 2006 Floor Statement of Senate transactions that will be exempt from Health, Education, Labor and Pensions Committee compensation, direct or indirect, with Chairman Enzi (who chaired the Conference respect to any moneys or other property the prohibitions of ERISA section 406 if Committee drafting legislation forming the basis of of a plan, or has any authority or the requirements of section 408(g) are H.R. 4) regarding investment advice to participants 1 met. The transactions described in in which he states, ‘‘It was the goal and objective responsibility to do so. The prohibited of the Members of the Conference to keep this transaction provisions of ERISA and the section 408(b)(14) are: the provision of investment advice to the participant or advisory opinion [AO 2001–09A, SunAmerica Code prohibit a fiduciary from dealing Advisory Opinion] intact as well as other pre- existing advisory opinions granted by the with the assets of the plan in his own 3 interest or for his own account and from 29 CFR 2550.408b–2(e). Department. This legislation does not alter the 4 See Interpretative Bulletin relating to participant current or future status of the plans and their many receiving any consideration for his own investment education, 29 CFR 2509.96–1 participants operating under these advisory personal account from any party dealing (Interpretive Bulletin 96–1); Advisory Opinion (AO) opinions. Rather, the legislation builds upon these with such plan in connection with a 2005–10A (May 11, 2005); AO 2001–09A (December advisory opinions and provides alternative means transaction involving the assets of the 14, 2001); and AO 97–15A (May 22, 1997). for providing investment advice which is protective 5 Public Law 109–280, 120 Stat. 780 (Aug. 17, of the interests of plan participants and IRA 2 plan. These statutory provisions have 2006). owners.’’ 152 Cong. Rec. S8,752 (daily ed. Aug. 3, been interpreted as prohibiting a 6 Under Reorganization Plan No. 4 of 1978 (43 FR 2006) (statement of Sen. Enzi). fiduciary from using the authority, 47713, Oct. 17, 1978), 5 U.S.C. App. 1, 92 Stat. 8 Section 408(g)(10) addresses the responsibility control or responsibility that makes it a 3790, the authority of the Secretary of the Treasury and liability of plan sponsors and other fiduciaries to issue rulings under section 4975 of the Code has in the context of investment advice provided been transferred, with certain exceptions not here pursuant to the statutory exemption. Subject to 1 See also 29 CFR 2510.3–21(c) and 26 CFR relevant, to the Secretary of Labor. Therefore, the certain requirements, section 408(g)(10) provides 54.4975–9(c). references in this notice to specific sections of that a plan sponsor or other person who is a plan 2 ERISA section 406(b)(1) and (3) and Code ERISA should be taken as referring also to the fiduciary, other than a fiduciary adviser, is not section 4975(c)(1)(E) and (F). corresponding sections of the Code. treated as failing to meet the fiduciary requirements

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sponsors and fiduciaries who offer comments received on the proposed of managed accounts. These comments investment advice arrangements with rule. are beyond the scope of the proposal, respect to which relief under the which was limited to implementation of B. Overview of Final § 2550.408g–1 and statutory exemption is not required. the statutory exemption for the Public Comments Finally, the Bulletin addressed the provision of investment advice to plan scope of the fee-leveling requirement 1. General participants and beneficiaries, and have under the statutory exemption. In general, § 2550.408g–1 tracks the not been adopted by the Department. On January 21, 2009, the Department Two commenters observed that requirements under section 408(g) of published in the Federal Register final paragraph (a)(1) indicates that the ERISA that must be satisfied in order for rules implementing section 408(b)(14) requirements contained in the final rule the investment advice-related and 408(g) of ERISA, and the parallel should not be read as applicable to transactions described in section provisions in the Code.9 The final rules arrangements for which prohibited 408(b)(14) to be exempt from the also included an administrative class transaction relief is not necessary. They prohibitions of section 406. Paragraph exemption, adopted pursuant to ERISA requested clarification that a plan (a) describes the general scope of the section 408(a), granting additional sponsor’s selection and monitoring statutory exemption and regulation. prohibited transaction relief. The responsibilities do not differ for advice effective and applicability dates of the Paragraph (b) sets forth the requirements provided pursuant to the regulation final rules, originally set for March 23, that must be satisfied for an compared to arrangements for which 2009, subsequently were delayed to arrangement to qualify as an ‘‘eligible prohibited transaction relief is not allow the Department to solicit and investment advice arrangement’’ and for necessary. In response, we note that, as review comments from interested the exemption to apply. Paragraph (c) stated in FAB 2007–1, it is the persons on legal and policy issues defines certain terms used in the Department’s view that, except for raised under the final rules.10 Based on regulation. Paragraph (d) sets forth the section 408(g)(10)(A)(i) to (iii), the same a consideration of the concerns raised record retention requirement applicable fiduciary duties and responsibilities by commenters as to whether the to an eligible investment advice apply to the selection and monitoring of conditions of the class exemption would arrangement. Paragraph (e) describes the an investment adviser regardless of be adequate to mitigate advisers’ implications of noncompliance on the whether the arrangement for investment conflicts, the Department decided to prohibited transaction relief under the advice services is one to which the withdraw the final rule. Notice of the statutory exemption. regulation applies. As further explained withdrawal of the final rule was The provisions in paragraph (a) of the in that Bulletin, a plan sponsor or other published in the Federal Register on final rule have not been changed from fiduciary that prudently selects and November 20, 2009 (74 FR 60156). the proposal. Paragraph (a)(1) describes monitors an investment advice provider On March 2, 2010, the Department the general scope of the final rule, will not be liable for the advice published in the Federal Register new referencing the statutory exemption furnished by such provider to the plan’s proposed regulations that, upon under sections 408(b)(14) and 408(g)(1) participants and beneficiaries, whether adoption, implement the statutory of ERISA, and under sections or not that advice is provided pursuant prohibited transaction exemption under 4975(d)(17) and 4975(f)(8) of the Code, to the statutory exemption under section ERISA sections 408(b)(14) and 408(g), for certain transactions in connection 408(b)(14). and the parallel provisions in the Code with the provision of investment advice, Paragraph (a)(2) provides that nothing (75 FR 9360). In response to the as set forth in paragraph (b) of the final contained in ERISA section 408(g)(1), proposal, the Department received 74 rule. It further provides that the Code section 4975(f)(8), or the final rule comment letters.11 requirements and conditions of the final imposes an obligation on a plan Set forth below is an overview of the rule apply solely for the relief described fiduciary or any other party to offer, final rule and an overview of the major in the final rule, and that no inferences provide or otherwise make available any should be drawn with respect to the investment advice to a participant or of ERISA solely by reason of the provision of requirements applicable to the provision beneficiary. Paragraph (a)(3) provides investment advice as permitted by the statutory of investment advice not addressed by exemption. This provision does not exempt a plan that nothing contained in those same sponsor or a plan fiduciary from fiduciary the rule. provisions of ERISA and the Code, or responsibility under ERISA for the prudent Several comment letters raised issues the final rule invalidates or otherwise selection and periodic review of the selected with respect to the general scope of the affects prior regulations, exemptions, fiduciary adviser. proposal. Although a number of interpretive or other guidance issued by 9 In connection with the development of the commenters supported the Department’s January 2009 final rules, the Department published the Department pertaining to the two requests for information from the public (see decision with respect to the withdrawal provision of investment advice and the 71 FR 70429 (Dec. 4, 2006) and 72 FR 70427; of the class exemption, others requested circumstances under which such advice comments found at http://www.dol.gov/ebsa/regs/ its re-proposal. The latter group argued cmt-Investmentadvice.html and http:// may or may not constitute a prohibited www.dol.gov/ebsa/regs/cmt- that increasing the availability of transaction under section 406 of ERISA InvestmentadviceIRA.html); published proposed investment advice to plan participants or section 4975 of the Code. regulations and class exemption with solicitation of and beneficiaries requires broader Several commenters suggested that, public comment (see 73 FR 49896 (Aug. 22, 2008) prohibited transaction relief than and 73 FR 49924; comments found at http:// rather than merely affirming the www.dol.gov/ebsa/regs/cmt-investment-advice.html provided under the proposed regulation. continued applicability of pre-PPA and http://www.dol.gov/ebsa/regs/cmt- Other commenters argued that plan guidance in paragraph (a)(3),12 the investmentadviceexemption.html); and held public sponsors also would benefit from hearings on October 21, 2008 (see 73 FR 60657 (Oct. Department should reconsider its past 21, 2008) and 73 FR 60720) and July 31, 2007 (see increased access to investment advice, guidance in light of the safeguards 72 FR 34043 (June 20, 2007)). and suggested extending exemptive contained in the statutory exemption 10 74 FR 59092 (Nov. 17, 2009); 74 FR 23951 (May relief to advice provided to plan and the proposed rule. Such an 22, 2009); 74 FR 11847 (Mar. 20, 2009). Comments sponsors, either through the final rule or can be found at: http://www.dol.gov/ebsa/regs/cmt- undertaking is beyond the scope of the investmentadvicefinalrule.html. by an administrative class exemption. 11 Comments can be found at: http:// Another commenter requested that the 12 See also Field Assistance Bulletin 2007–1 (Feb. www.dol.gov/ebsa/regs/cmt-1210-AB35.html. final rule provide relief for management 2, 2007).

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current proposal, and the Department accordingly, is not addressing the issue statutory exemption. As previously has not adopted this suggestion. as part of this final rule. stated in the context of adopting the Other commenters requested a general 2009 final rule, the Department has long 2. Statutory Exemption clarification of how the final rule held the view that individualized applies in the context of IRAs. In a. General recommendations of particular particular, a commenter asked if Paragraph (b) of the final rule investment managers to plan fiduciaries paragraph (a)(3) indicates that prior describes the requirements that must be constitutes the provision of investment ERISA regulations are now applicable to satisfied in order for the investment advice within the meaning of section IRAs. Code section 4975(c), similar to advice-related transactions described in 3(21)(A)(ii) in the same manner as ERISA section 406, generally prohibits a section 408(b)(14) to be exempt from the recommendations of particular plan fiduciary from rendering prohibitions of section 406. These securities or other property. The investment advice that results in the requirements generally track the fiduciary nature of such advice does not payment of additional advisory and change merely because the advice is other fees to the fiduciaries or their requirements in section 408(g)(1) of ERISA. being given to a plan participant or affiliates. A fiduciary who participates 18 Paragraph (b)(1) of the final rule sets beneficiary. The Department has in a prohibited transaction is subject to forth the general scope of the statutory reaffirmed this position in connection excise taxes under Code section 4975(a) exemption and regulation as providing with proposed amendments to and (b).13 The application of the Code regulations at 29 CFR 2510.3–21(c).19 section 4975 prohibited transaction relief from the prohibitions of section 406 of ERISA for transactions described Paragraph (b)(2) provides that, for provisions to IRAs pre-dates the purposes of section 408(g)(1) of ERISA enactment of the PPA.14 The statutory in section 408(b)(14) of ERISA in connection with the provision of and section 4975(f)(8) of the Code, an exemption implemented by this rule ‘‘eligible investment advice merely provides limited conditional investment advice to a participant or a beneficiary if the investment advice is arrangement’’ is an arrangement that relief from the application of those Code meets either the requirements of provisions. Except for the relief afforded provided by a fiduciary adviser under an ‘‘eligible investment advice paragraph (b)(3) [describing investment by the statutory exemption, the final advice arrangements that use fee- rule does not change the manner or arrangement.’’ The transactions described in section 408(b)(14) include leveling] or paragraph (b)(4) [describing extent to which Code section 4975 investment advice arrangements that 15 the provision of investment advice to a applies to an IRA. Nor does the final use computer modeling], or both. rule make ERISA’s fiduciary participant or beneficiary with respect responsibility provisions applicable to to a security or other property available b. Arrangements Using Fee-Leveling as an investment under the plan; the an IRA that is not covered by ERISA. With respect to arrangements that use acquisition, holding or sale of a security Commenters also asked questions fee-leveling, paragraph (b)(3)(i)(A) or other property available as an relating to the prohibited transaction requires that any investment advice investment under the plan pursuant to implications of making must be based on generally accepted the advice; and the direct or indirect recommendations to plan participants to investment theories that take into receipt of fees or other compensation by roll-over plan benefits into an IRA. The account historic returns of different the fiduciary adviser or an affiliate in Department has taken the position that asset classes over defined periods of connection with the provision of the merely advising a plan participant to time, but also notes that generally advice or in connection with the take an otherwise permissible plan accepted investment theories that take acquisition, holding or sale of the distribution, even when that advice is into account additional considerations security or other property. Paragraph combined with a recommendation as to are not precluded. Paragraph (b)(3)(i)(B) (b)(1) also notes that the Code contains how the distribution should be invested, requires that investment advice must parallel provisions at section does not constitute ‘‘investment advice’’ take into account investment 4975(d)(17) and (f)(8). within the meaning of 29 CFR 2510– management and other fees and 3.21(c).16 The Department, however, has A commenter asked whether relief would be provided for extensions of expenses attendant to the recommended invited public comment on the issue as investments. These provisions have not part of its review of the definition of credit intrinsic to investments made pursuant to investment advice rendered. been changed from the proposal. ‘‘fiduciary’’ with regard to persons Paragraph (b)(3)(i)(C) of the final rule It is the view of the Department that providing investment advice to plans or requires that investment advice transactions in connection with the plan participants and beneficiaries provided under a fee-leveling 17 provision of investment advice under 29 CFR 2510.3–21(c). The arrangement must take into account, to described in section 3(21)(A)(ii) of Department has not completed its the extent furnished, information ERISA include, for purposes of the review of those comments and, relating to age, time horizons (e.g., life statutory exemption, otherwise expectancy, retirement age), risk 13 See Code section 4975(a), (b), and (e)(2)(A). permissible routine transactions tolerance, current investments in 14 Code section 4975(e)(1)(B). Public Law 93–406 necessary for the efficient execution and designated investment options, other section 2003(a), 88 Stat. 971. settlement of trades of securities, such 15 assets or sources of income, and As indicated in footnote 6 above, pursuant to as extensions of short term credit in section 102 of Reorganization Plan No. 4 of 1978, investment preferences of the connection with settlements. the Secretary of Labor has authority to interpret participant or beneficiary. Despite a certain provisions of Code section 4975. Commenters also requested 16 AO 2005–23A (Dec. 7, 2005). This opinion clarification as to whether advice to a request for re-consideration by further states that where someone who is already commenters, paragraph (b)(3)(i)(C) a plan fiduciary responds to participant questions participant or beneficiary concerning the selection of an investment manager requires that a fiduciary adviser must concerning the advisability of taking a distribution request such information. These or the investment of amounts withdrawn from the to manage some or all of the plan, that fiduciary is exercising discretionary participant’s or beneficiary’s plan assets authority respecting management of the plan and 18 74 FR 3822, 3824 (Jan. 21, 2009). See also AO must act prudently and solely in the interest of the constitutes the provision of investment 84–04A (Jan. 4, 1984); AO 84–03A (Jan. 4, 1984); participant. advice within the meaning of section 29 CFR 2509.96–1(c). 17 75 FR 65263 (Oct. 22, 2010). 3(21)(A)(ii) of ERISA for purposes of the 19 See footnote 17, above.

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commenters noted that ERISA section investment advice do not vary or are (including commissions, salary, 408(g)(3) does not contain a mandatory offset against those received by the bonuses, awards, promotions, or other request for information, and that the fiduciary for the provision of investment things of value) that varies depending Department similarly should avoid such advice, no prohibited transaction will on the basis of a participant’s or a mandate. The Department believes result solely by reason of providing beneficiary’s selection of a particular that this information is sufficiently investment advice, and prohibited investment option. Consistent with the important to the provision of useful transaction relief, such as provided statute, this provision proscribes the investment advice that fiduciary under sections 408(b)(14) and 408(g), is receipt of fees or compensation that vary advisers should be required to make a not necessary.20 based on investment options selected, request for the information. Several commenters suggested that and therefore could have the effect of Accordingly, this requirement is the Department revise the language in creating an incentive for a fiduciary retained in both the fee-leveling and paragraph (b)(3)(i)(D) that refers to fees adviser, or any individual employed by computer modeling provisions of the or compensation that is ‘‘based in whole the adviser, to favor certain investments. final rule. We note that, as also reflected or in part’’ on a participant’s investment A commenter expressed the view that in paragraph (b)(3)(i)(C) of the final rule, selection to conform to the statutory by encompassing bonuses, awards, investment advice need not take into provision, and make clear that the promotions, or other things of value, the account information requested, but not regulation only proscribes fees or fee-leveling requirement may be furnished by a participant or compensation that vary based on unnecessarily broad. Some commenters beneficiary, and a fiduciary adviser is investment selections. As an example, a asked whether particular compensation not precluded from requesting and commenter explained that if arrangements or structures described in taking into account additional commissions paid with respect to each their comment letters would meet the information that a plan or participant or plan investment option are the same, fee-leveling requirement. Others beneficiary may provide. Furthermore, the commission could nonetheless be similarly sought confirmation that the Department does not believe that considered ‘‘based on’’ an investment bonuses, where it can be established this provision, or paragraph (b)(4)(i)(D) selection because it is paid only if an that plan and IRA components are applicable to arrangements using investment is made, and therefore excluded from, or constitute a negligible computer models, would preclude a would appear to violate the proposal. portion of, the calculation, would not fiduciary adviser or computer model, Such a result, it is argued, is violate the fee-leveling requirement. The when making an information request, inconsistent with the section Department intends the fee-leveling from also providing a participant or 408(g)(2)(A)(i), which only requires that requirement to be broadly applied in beneficiary with an opportunity to ‘‘any fees (including any commission or order to ensure the objectivity of the direct the use of information previously other compensation) received by the investment advice recommendations to provided. fiduciary adviser * * * do not vary plan participants and beneficiaries is depending on the basis of any not compromised by the advice Paragraphs (b)(3)(i)(D) of the final rule investment option selected.’’ (Emphasis provider’s own financial interest in the sets forth the limitations on fees and added) Another commenter cautioned outcome. For purposes of applying the compensation applicable to fee-leveling that the proposal could be provision, the Department would arrangements. As proposed, paragraph misinterpreted as proscribing only those consider things of value to include trips, (b)(3)(i)(D) provided that no fiduciary payments that a payor intends to act as gifts and other things that, while having adviser (including any employee, agent, an incentive, whereas the statutory a value, are not given in the form of or registered representative) that provision appears to address receipt of cash. Accordingly, almost every form of provides investment advice receives any varying payment that has the effect remuneration that takes into account the from any party (including an affiliate of of creating an incentive, without regard investments selected by participants the fiduciary adviser), directly or to the payor’s intent.21 This commenter and beneficiaries would likely violate indirectly, any fee or other also recommended that the proposal the fee-leveling requirement of the final compensation (including commissions, should be revised to conform to the rule. On the other hand, a compensation salary, bonuses, awards, promotions, or statutory language. or bonus arrangement that is based on other things of value) that is based in The Department agrees with the the overall profitability of an whole or in part on a participant’s or observations of the commenters and, organization may be permissible if the beneficiary’s selection of an investment accordingly, has revised the provision individual account plan and IRA option. Some commenters suggested in response to these comments. investment advice and investment that the fee and compensation limitation Paragraph (b)(3)(i)(D) of the final rule option components are excluded from, be expanded to include the affiliates of requires that no fiduciary adviser or constituted a negligible portion of, a fiduciary adviser. The Department has (including any employee, agent, or the calculation of the organization’s not adopted this suggestion. In FAB registered representative) that provides profitability. The Department believes, 2007–1, the Department concluded that investment advice receives from any however, that whether any particular the requirement in ERISA section party (including an affiliate of the salary, bonus, awards, promotions or 408(g)(2)(A)(i) that fees not vary fiduciary adviser), directly or indirectly, commissions program meets or fails the depending on the basis of any any fee or other compensation fee-leveling requirement ultimately investment option selected applies only depends on the details of the program. to a fiduciary adviser, and does not 20 See AO 97–15A and AO 2005–10A. In this regard, the Department notes extend to affiliates of the fiduciary 21 The commenter focused on the Department’s that, under paragraph (b)(6), the details adviser unless the affiliate also is a preamble explanation that, even though an affiliate of a fiduciary adviser would be permitted to receive of such programs will be the subject of provider of investment advice. In fees that vary depending on investment options both a review and a report by an reaching this conclusion, the selected, any provision of financial or economic independent auditor as a condition for Department explained that, consistent incentives by an affiliate (or any other party) to a relief under the statutory exemption. with its previous guidance, if the fees fiduciary adviser or person employed by such In addition to the foregoing, under fiduciary adviser to favor certain investments and compensation received by an would be impermissible under the proposal. 75 FR paragraph (b)(3)(ii), fiduciary advisers affiliate of a fiduciary that provides 9361 utilizing investment advice

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arrangements that employ fee-leveling As in the proposal, paragraph acceptable list of theories. Another must comply with the requirements of (b)(4)(i)(A) of the final rule relates to the commenter suggested that the final rule paragraphs (b)(5) [authorization by plan application of generally accepted contain non-exclusive ‘‘safe harbor’’ fiduciary], (b)(6) [audits], (b)(7) investment theories that take into computer model parameters. Another [disclosure to participants], (b)(8) account the historic risks and returns of commenter requested clarification that a [disclosure to authorizing fiduciary], different asset classes over defined computer model must apply generally (b)(9) [miscellaneous], and (d) periods of time. In response to the accepted investment theories that take [maintenance of records] of the final Department’s solicitation, commenters into account the other considerations rule, each of which is discussed in more indicated that generally accepted described in the regulation’s computer detail below. investment theories is a term defined by model provisions (e.g., information about a participants age and time c. Arrangements Using Computer wide usage and acceptance by horizon). Models investment experts and academics, and is subject to change over time. Most did Virtually all commenters who Paragraph (b)(4) addresses the not believe, however, that the addressed this issue indicated that use requirements applicable to investment Department should specifically define of historical performance data is advice arrangements that rely on use of or identify generally accepted required by generally accepted computer models under the statutory investment theories, or prescribe investment theories, but only in ways exemption. To qualify as an eligible particular practices or computer model that recognize statistical uncertainty. investment advice arrangement, the parameters. These commenters Most noted that defining ‘‘historical’’ only investment advice provided under explained that economic and differently can have a tremendous the arrangement must be advice investment theories and practices impact on the resulting data and generated by a computer model continuously evolve over time in investment recommendations, and described in paragraph (b)(4)(i) response to changes and developments generally agreed that long-term [computer model design and operation] in academic and expert thinking, performance information is preferable to and (ii) [computer model certification], technology, and financial markets. short-term performance information. and the arrangement must meet the Commenters cautioned that defining Some opined that historical requirements of paragraphs (b)(5) generally accepted theories and performance data must reflect at least through (9) and paragraph (d), each of practices through the final rule would one market or economic cycle, but which is discussed in more detail reflect a determination made at a provided different timeframes (e.g., at below. particular point in time, and that such least 5, 10, or 20 years) that they believe 1. Computer Model Design and a determination might limit the ability would meet this standard. Some also Operation of advisers to select and apply suggested that use of historical investment theories and methodologies performance data should be limited to In general, the computer model design estimating future performance for an and operation provisions in the they believe to be appropriate, and cause them to apply theories and entire asset class, rather than as a proposal were based on section predictor for individual investments 408(g)(3)(B)(i)–(v) of ERISA. They also methodologies that they otherwise might determine to be outdated. They within an asset class. reflected comments received during After careful consideration of all the also suggested that establishing a development of the January 2009 final comments on the issue, the Department specific standard might inhibit rule. However, the proposal also does not believe it has a sufficient basis innovation in participant-oriented included a new provision, at paragraph for determining appropriate changes to (b)(4)(i)(E)(3), requiring that a computer investment advice. Commenters further the generally accepted investment model must be designed and operated to noted that the proposal’s computer theory standard. While several avoid investment recommendations that model provisions, without modification, commenters described theories and inappropriately distinguish among would be sufficient to protect against practices they believe to be generally investment options within a single asset use of specious or highly unorthodox accepted, there did not appear to be any class on the basis of a factor that cannot methods, or inappropriate consideration consensus among them, with the confidently be expected to persist in the of factors such as recent performance of exception of modern portfolio theory,22 future. The Department added this plan investment options. These which the Department believes is provision to enhance the rule’s commenters therefore suggested that already reflected in the rule’s reference protections against the potential that the specifying theories and practices is not to investment theories that take into adviser’s conflicts might taint advice necessary to protect participants, and account the historic returns of different given under the exemption. To further furthermore may impede the asset classes over defined periods of explore the merits of enhancing the development of advice that is in their time. Moreover, the Department is rule’s protections by providing more best interests. concerned that attempting to provide specific computer model standards, the Other commenters suggested that further clarification or additional Department solicited comment on a more specific standards might be specificity in this area may have number of questions involving helpful. One commenter stated that lack potentially significant unintended computer models. These questions of guidance on what constitutes a consequences—such as limiting related to matters such as the generally accepted investment theory advisers’ ability to select, apply or make identification and application of, and may present difficulties in performing further innovations in participant- practices consistent with, generally the rule’s required computer model oriented investment advice—that could accepted investment theories; use of certifications. The commenter potentially lower the quality of historical data (such as past recommended that the Department performance) of asset classes and plan revise the rule to include a process for 22 This is consistent with a survey of literature on investments; and criteria appropriate for determining whether a theory is generally accepted investment theories prepared for the Department. See Deloitte Financial Advisory consideration in developing asset generally accepted, which could include Services LLP, Generally Accepted Investment allocation recommendations consisting submission to a panel of experts for Theories (July 11, 2007) (unpublished, on file with of plan investments. determination and publication of an the Department of Labor).

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investment advice received by and, to the extent furnished, utilize persist and therefore less likely to participants and reduce the economic information relating to age, time constitute appropriate criteria for asset benefit of the statutory exemption. The horizons, risk tolerance, current allocation; asset classes, in contrast, can Department also is persuaded that, investments in designated investment more often be distinguished from one without additional specificity, the final options, other assets or sources of another on the basis of differences in rule’s computer model requirements are income, and investment preferences. their historical risk and return sufficient to safeguard participants from The provision further makes clear, characteristics. inappropriate application of investment however, that a computer model is not The Department did not receive any theories. As the party seeking prohibited precluded from requesting, and substantive comments with respect to transaction relief under the exemption, utilizing, other information from a paragraphs (b)(4)(i)(D), (b)(4)(i)(E)(1) and the fiduciary adviser has the burden of participant or beneficiary. As discussed (2), and therefore is adopting these demonstrating satisfaction of all above in the description of paragraph provisions as proposed, now at applicable requirements of the (b)(3)(i)(C) (applicable to arrangements paragraphs (b)(4)(i)(E), (b)(4)(i)(F)(1) and exemption. A fiduciary adviser relying that use fee-leveling), the Department (2) of the final rule. A number of on use of computer models therefore has not adopted commenter requests to commenters requested that the must be able to demonstrate that the remove the regulation’s mandatory Department consider removing computer model is designed and request for information from paragraph (b)(4)(i)(E)(3) of the proposal. operated to apply generally-accepted participants and beneficiaries. A few Some opined that the test contained in investment theories. Furthermore, as commenters also suggested that the that provision—which applies on an with the other computer model Department revise the regulation to asset-class by asset-class basis—lacks requirements in paragraph (b)(4)(i), provide additional factors that must be sufficient clarity because it fails to application of generally-accepted considered in computer models, such as define the essential term ‘‘asset class.’’ investment theories is subject to participant contribution rates and A commenter further noted that a rules- certification by an eligible investment liquidity needs. Although paragraph based definition of asset class, and the expert under paragraph (b)(4)(ii). This (b)(4)(i)(D) has not been modified to necessary confidence of future provides significant additional reflect these factors, the Department persistence, likely would be too vague procedural and substantive safeguards, notes that there is nothing in the final or too restrictive. Some commenters also as the expert must be independent of rule that expressly precludes a requested removal of this provision the fiduciary adviser as described in computer model from requesting and unless the Department clarifies that it paragraph (b)(4)(ii), and must following taking into account additional factors to would be acceptable for a computer its evaluation of a computer model the extent the model otherwise complies model to take into account historical prepare a written certification report. with the requirements of the regulation. performance data. According to these Paragraph (d) of the final rule, in turn, commenters, the proposal’s discussion Paragraph (b)(4)(i)(D) of the proposal requires the fiduciary adviser to retain of paragraph (b)(4)(i)(E)(3) and related requires that a computer model must be for a period of no less than 6 years any computer model questions has been designed and operated to utilize records necessary for determining construed as strictly prohibiting, or whether the applicable requirements of appropriate objective criteria to provide strongly cautioning against, any the regulation have been met. asset allocation portfolios comprised of consideration of historical performance Accordingly, paragraph (b)(4)(i)(A) of investment options available under the data, even if considered in conjunction the final rule has not been changed from plan. Paragraph (b)(4)(i)(E) of the with other information. These the proposal. This provision requires proposal further requires that a commenters opined that a complete that a computer model must be designed computer model be designed and disregard of historical performance data and operated to apply generally operated to avoid investment would be inconsistent with generally accepted investment theories that take recommendations that inappropriately accepted investment theories, as into account the historic risks and favor investment options offered by the discussed above. Furthermore, some returns of different asset classes over fiduciary adviser or certain other cautioned that, by limiting defined periods of time, but also makes persons, over other investment options, consideration to only those factors that clear that the provision does not if any, available under the plan can confidently be expected to persist in preclude a computer model from (paragraph (b)(4)(i)(E)(1)); the future, a computer model might be applying generally accepted investment inappropriately favor investment limited to distinguishing between theories that take into account options that may generate greater investment options solely on the basis additional considerations. income for the fiduciary adviser or of fees and expenses. A commenter Paragraph (b)(4)(i)(B) of the final rule certain other persons (paragraph noted that, other than fees, it could not requires that a computer model must (b)(4)(i)(E)(2)); or inappropriately identify any other factor with the take into account investment distinguish among investment options necessary likelihood of persistence it management and other fees and within a single asset class on the basis believed would be required under the expenses attendant to the recommended of a factor that cannot confidently be proposal. Although commenters investments. No substantive comments expected to persist in the future generally agreed that fees are an were received on this provision, and it (paragraph (b)(4)(i)(E)(3)). With respect important consideration, most is being adopted unchanged from the to paragraph (b)(4)(i)(E)(3), the recognized they should not be the only proposal. Department explained that while some factor taken into account. Paragraph (b)(4)(i)(C) of the final rule, differences between investment options Several commenters indicated that, as described below, reflects the within a single asset class, such as while the rule is limited to requirement that was contained in differences in fees and expenses or implementation of the statutory paragraph (b)(4)(i)(E)(3) of the proposal. management style, are likely to persist exemption for investment advice, any Paragraph (b)(4)(i)(D) of the final rule, in the future and therefore to constitute views the Department expresses with as with paragraph (b)(4)(i)(C) of the appropriate criteria for asset allocation, respect to investment theories and proposal, requires a computer model to other differences, such as differences in practices might be read as applying request from a participant or beneficiary historical performance, are less likely to more generally to any fiduciary decision

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relating to investments. Thus, a number requirement has been clarified and explanation required under the of commenters expressed concern that moved to paragraph (b)(4)(i)(C) of the proposal.23 With respect to in-plan the proposal, with its focus on historical final rule. This provision requires that a annuity options, several commenters performance data, superior past computer model must be designed and noted that these newly-developing performance and fees, appeared to operated to appropriately weight the options can help participants address suggest that it would be impermissible factors used in estimating future returns longevity risk and improve retirement under any circumstances for a plan of investment options. security, and that permitting their fiduciary to pursue an active Paragraph (b)(4)(i)(G)(1) of the final exclusion from computer model advice management style, or that a plan rule, like paragraph (b)(4)(i)(F)(1) of the could result in low utilization by fiduciary would bear a very high burden proposal, requires a computer model to participants. A commenter also of justification. Commenters also stated take into account all ‘‘designated expressed confidence that, in the time that the Department’s proposal appeared investment options’’ available under the since the Department’s 2009 final rule, to demonstrate a clear bias in favor of plan without giving inappropriate computer modeling technology has passive investment styles over active weight to any investment option. The become sufficiently sophisticated to styles, which they believe to be term ‘‘designated investment option’’ is take in-plan annuity options into premature because it is the subject of defined in paragraph (c)(1) of the final account. ongoing debate among investment rule to mean any investment option The Department has decided to experts. designated by the plan into which remove qualifying employer securities Other commenters, however, participants and beneficiaries may and asset allocations funds from the list questioned the utility of historical direct the investment of assets held in, of excepted options in paragraph performance data beyond estimating or contributed to, their individual (b)(4)(i)(G)(2). The Department believes future performance of an entire asset accounts. The term ‘‘designated that it is feasible to develop a computer class. They further noted that, because investment option’’ does not include model capable of addressing the regulation permits a fiduciary ‘‘brokerage windows,’’ ‘‘self-directed investments in qualifying employer adviser to provide investment brokerage accounts,’’ or similar plan securities, and that plan participants recommendations to plan participants arrangements that enable participants may significantly benefit from this when the adviser has an interest in the and beneficiaries to select investments advice. The Department also believes investment options being beyond those designated by the plan. that participants who seek investment recommended, there is the potential that As with paragraph (b)(4)(i)(F)(2) of the advice as they manage their plan the computer model might be designed proposal, paragraph (b)(4)(i)(G)(2) of the investments would benefit from advice to favor certain options by giving undue final rule provides that a computer that takes into account asset allocation weight to historical performance data. model will not be treated as failing to funds, if available under the plan. Based They therefore stressed the importance meet paragraph (b)(4)(i)(G)(1) merely on recent experience in examining of scrutinizing the use of historical because it does not make target date funds and similar performance data and supported the recommendations relating to the investments, the Department believes it inclusion of paragraph (b)(4)(i)(E)(3) of acquisition, holding or sale of certain is feasible to design computer models the proposal. types of investment options. Under the with this capability.24 Paragraph (b)(4)(i)(E)(3) of the proposal, this exception applied to: The Department, however, is less proposal incorporated the generally- qualifying employer securities; an certain that computer models are able to recognized premise that an investment investment that allocates the invested give adequate consideration to in-plan option’s historical performance on its assets of a participant or beneficiary to annuity products, which permit a own is not an adequate predictor of achieve varying degrees of long-term participant to allocate a portion of the such investment option’s future appreciation and capital preservation assets in his or her plan account performance. The provision was not through equity and fixed income towards the purchase of an annuitized intended to prohibit a computer model exposures, based on a defined time retirement benefit. In the absence of a from any consideration of an investment horizon or level of risk of the participant better understanding of the computer option’s historical performance, as some or beneficiary; and an annuity option modeling issues raised by in-plan commenters interpreted. Rather, as with respect to which a participant or annuities, the Department is hesitant to some commenters recognized, the beneficiary may allocate assets toward mandate their inclusion in a computer provision is intended to ensure that in the purchase of a stream of retirement evaluating investment options for asset income payments guaranteed by an 23 Under paragraph (b)(4)(i)(F)(2)(ii) of the allocation, it would be appropriate and insurance company. proposal, the limitation for these types of funds was consistent with generally accepted Several commenters suggested subject to the condition that the participant, removal of one or more of these contemporaneous with the provision of the investment theories for a computer computer-generated advice, would be furnished model to take into account multiple exceptions. Commenters noted that with a general description of the fund and how they factors, including historical requiring computer models to be operate. performance, attaching weights to those capable of providing recommendations 24 In 2009, the Department and the U.S. Securities factors based on surrounding facts and with respect to employer securities and Exchange Commission (SEC) held a joint public hearing to examine issues related to the design and circumstances. As with the could help participants avoid risks operation of target date funds and similar consideration of fees and expenses associated with overconcentrated investments. See http://www.dol.gov/ebsa/regs/cmt- attendant to investment options, investments in equity securities of a targetdatefundshearing.html. In 2010, the agencies commenters generally recognized the single company. As to asset allocation jointly provided an Investor Bulletin to help investors and plan participants better understand importance of ensuring that historical funds (e.g., lifecycle, or target date, the operations and risks of target date fund performance of options is not given funds), commenters noted that, if a investments. See http://www.dol.gov/ebsa/pdf/ inappropriate weight. The Department computer model does not include TDFinvestorbulletin.pdf. The Department is in the is not persuaded by the comments recommendations on these popular process of developing regulations to address disclosures related to target date funds, 75 FR 73987 received that the provision should be investments, then interested (Nov. 30, 2010), and also is currently developing eliminated, however, to avoid further participants would need to conduct guidance to assist plan sponsors in the selection misinterpretation of the provision, the their own research beyond the general and monitoring of target date funds for their plans.

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model. The Department therefore is paragraph (b)(4)(i)(G)(1) would be limits this definition by excluding retaining the exception for in-plan violated if a computer model provides certain parties that would not have annuity options. Thus, paragraph ‘‘buy’’ ‘‘hold’’ and ‘‘sell’’ sufficient independence from an (b)(4)(i)(G)(2)(i) of the final rule recommendations with respect to the arrangement to certify a computer provides that a computer model will not limited universe of options, while model for compliance with the fail to satisfy paragraph (b)(4)(i)(G)(1) accommodating ‘‘hold’’ and ‘‘sell’’ regulation. The proposal provided that merely because it does not make recommendations for the investments the term ‘‘eligible investment expert’’ recommendations relating to the not available through the IRA. While the does not include any person that has acquisition, holding, or sale of an Department believes that computer any material affiliation or material annuity option with respect to which a models should, with few exceptions, be contractual relationship with the participant or beneficiary may allocate required to model all investment fiduciary adviser, with a person with a assets toward the purchase of a stream options available under a plan or material affiliation or material of retirement income payments through an IRA, the Department does contractual relationship with the guaranteed by an insurance company, not believe that it is reasonable to fiduciary adviser, or with any employee, provided that, contemporaneous with expect that all computer models be agent, or registered representative of the the provision of investment advice capable of modeling the universe of foregoing. generated by the computer model, the investment options, rather than just Several commenters asked for participant or beneficiary is also those investment alternatives designated additional guidance on the credentials furnished a general description of such as available investments through the necessary to serve as an ‘‘eligible options and how they operate. The IRA. Accordingly, it is the view of the investment expert.’’ The Department Department notes, however, that even Department that a computer model previously attempted to define with though paragraph (b)(4)(i)(G)(2)(i) would not fail to meet the requirements greater specificity the qualifications of permits a computer model to not make of paragraph (b)(4)(i)(G)(1) merely the eligible investment expert. It recommendations to allocate amounts to because it limits buy recommendations received public comments on this issue an in-plan annuity, amounts that a only to those investment options that in response to a specific request for participant or beneficiary have already can be bought through the plan or IRA, information published in 2006 and to allocated to such an annuity must be even if the model is capable of modeling similar proposed rules published in taken into account by the computer hold and sell recommendations with 2008.25 At that time, it concluded that model in developing the respect to investments not available it could not define a specific set of recommendation with respect to the through the plan or IRA, provided, of academic or other credentials for an investment of the participant’s course, that the plan participant or eligible investment expert. The remaining available assets. The beneficiary or IRA beneficiary is fully Department continues to believe it Department further notes that, while not informed of the model’s limitations in would be very difficult to do so, and the mandated, there is nothing in the advance of the recommendations, comments received with respect to this regulation that precludes a computer thereby enabling the recipient of advice most recent proposal did not provide model from being designed to make to assess the usefulness of the significant additional information for recommendations to allocate amounts to recommendations. consideration. As a result, no changes an in-plan annuity, subject to the other 2. Computer Model Certification have been made to this aspect of the conditions of the regulation being final rule. The Department notes, satisfied. Paragraph (b)(4)(ii) of the final rule, however, that as provided in paragraph Also, the Department has added a like the proposal, requires that, prior to (b)(4)(v) of the final rule, the fiduciary new provision to reflect the interaction utilization of the computer model, the adviser’s selection of the eligible between paragraph (b)(4)(i)(G)(1) and fiduciary adviser must obtain a written investment expert is a fiduciary act paragraph (b)(4)(i)(C), which requires a certification that the computer model governed by section 404(a)(1) of ERISA. computer model to request and, to the meets the requirements of paragraph Therefore, a fiduciary adviser must act extent furnished, take into account a (b)(4)(i), discussed above. If the model is prudently in its selection. Moreover, as subsequently modified in a manner that participant’s investment preferences. the party seeking prohibited transaction may affect its ability to meet the This new provision, paragraph relief under the exemption, the requirements of paragraph (b)(4)(i), the (b)(4)(i)(G)(2)(ii) of the final rule, fiduciary adviser has the burden of fiduciary adviser, prior to utilization of provides that a computer model will not demonstrating that all applicable the modified model, must obtain a new fail to satisfy paragraph (b)(4)(i)(G)(1) requirements of the exemption are certification. The required certification merely because it does not provide a satisfied with respect to its arrangement. recommendation with respect to an must be made by an ‘‘eligible Commenters raised general questions investment option that a participant or investment expert,’’ within the meaning as to whether the provision of certain of paragraph (b)(4)(iii), and must be beneficiary requests to be excluded from types of services for a fiduciary adviser made in accordance with the consideration in such would disqualify a person from acting requirements of paragraph (b)(4)(iv). recommendations. as the ‘‘eligible investment expert’’ A commenter requested clarification Paragraph (b)(4)(iii) of the final rule, required under paragraph (b)(4) or as the as to whether an IRA with an unlimited like the proposal, defines an ‘‘eligible independent auditor required under universe of investment options would investment expert’’ to mean a person paragraph (b)(6).26 With respect to the be treated similar to a brokerage that, through employees or otherwise, eligible investment expert, the window or self-directed brokerage has the appropriate technical training or Department believes that the 10% gross account for purposes of this provision. experience and proficiency to analyze, revenue test in the definition of the term Another commenter indicated that some determine and certify, in a manner ‘‘material contractual relationship,’’ IRAs permit beneficiaries to make consistent with paragraph (b)(4)(iv), investments in a limited universe of whether a computer model meets the 25 See footnote 9, above. options, while also permitting them to requirements of paragraph (b)(4)(i). 26 The Department’s response as it relates to the hold other investments that are not Consistent with section 408(g)(3)(C)(iii) independent auditor is contained in the discussion offered by the IRA, and asked if of ERISA, paragraph (b)(4)(iii) further of the audit provisions, below.

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which contemplates that there may be contain a representation that the Paragraph (b)(5)(ii) addresses instances in which a person might be methodology or methodologies were authorization in connection with the performing other services for a fiduciary applied by a person or persons with the adviser’s own plan. This provision adviser or affiliates, generally is educational background, technical accommodates a fiduciary adviser’s sufficient to minimize any influence on training or experience necessary to provision of investment advice to its the part of the fiduciary adviser by analyze and determine whether the own employees (or employees of an virtue of service relationships that might computer model meets the requirements affiliate) pursuant to an arrangement compromise the independence of the of paragraph (b)(4)(i); and a statement under the final rule, provided that the person in performing the certification certifying that the eligible investment fiduciary adviser or affiliate offers the under the regulation. However, the expert has determined that the same arrangement to participants and Department does not believe that a computer model meets the requirements beneficiaries of unaffiliated plans in the person who develops a computer model of paragraph (b)(4)(i). Finally the ordinary course of its business. The should be considered sufficiently certification must be signed by the Department notes, however, that the independent to conduct a certification eligible investment expert. The statutory exemption does not provide of the same model.27 The exclusionary Department received no comments on relief for the selection of the fiduciary language of paragraph (b)(4)(iii) of the this provision and, accordingly, has adviser or the arrangement pursuant to final rule has been modified adopted the provision as proposed. which advice will be provided. accordingly, and provides that the term Paragraph (b)(4)(v) of the final rule Accordingly, a plan fiduciary must ‘‘eligible investment expert’’ does not provides that the selection of an eligible nonetheless be prudent in its selection include any person that: Has any investment expert as required by the and may not, in contravention of ERISA material affiliation or material regulation is a fiduciary act governed by section 406(b), use its position to benefit contractual relationship with the section 404(a)(1) of ERISA. A itself or a person in which such fiduciary adviser, with a person with a commenter recommended that the fiduciary has an interest that may affect material affiliation or material eligible investment expert should be the exercise of such fiduciary’s best contractual relationship with the treated as a fiduciary under ERISA. The judgment as a fiduciary. In this regard, fiduciary adviser, or with any employee, Department does not believe it would be the Department has indicated that if a agent, or registered representative of the appropriate, as part of this final rule, fiduciary provides services to a plan foregoing; or develops the computer without further notice and comment to without the receipt of compensation or model utilized by the fiduciary adviser adopt such a potentially significant other consideration (other than to satisfy paragraph (b)(4). change. Accordingly, the Department reimbursement of direct expenses One commenter asked whether the has not adopted this recommendation. properly and actually incurred in the eligible investment expert must be d. Authorization by a Plan Fiduciary performance of such services) the bonded for purposes of section 412 of provision of such services does not, in ERISA. In the view of the Department, Paragraph (b)(5)(i) of the final rule and of itself, constitute an act described an eligible investment expert, in requires that, except as provided in in section 406(b).28 performing the computer model paragraph (b)(5)(ii), the arrangement One commenter asked whether certification described in the final rule, pursuant to which investment advice is paragraph (b)(5) requires authorization would neither be acting as a fiduciary provided to participants and by the employer or the IRA beneficiary under ERISA, nor be ‘‘handling’’ plan beneficiaries must be expressly with respect to an employer-sponsored assets such that the bonding authorized by a plan fiduciary (or, in the SIMPLE IRA. Savings Incentive Match requirements would be applicable to the case of an IRA, the IRA beneficiary) Plan for Employees (SIMPLE) IRA plans eligible investment expert. other than: The person offering the and Simplified Employee Pension (SEP) Paragraph (b)(4)(iv) of the final rule arrangement; any person providing plans are relatively uncomplicated IRA- provides that a certification by an designated investment options under based retirement savings vehicles that eligible investment expert shall be in the plan; or any affiliate of either. For allow contributions to be made on a tax- writing and contain the following: An purposes of this authorization, an IRA favored basis to individual retirement identification of the methodology or beneficiary will not be treated as an accounts and individual retirement methodologies applied in determining affiliate of a person solely by reason of annuities (IRAs) owned by the whether the computer model meets the being an employee of such person. employees. Although generally a SEP or requirements of paragraph (b)(4)(i) of Therefore, an IRA beneficiary is not SIMPLE IRA is a plan subject to Title I the final rule; an explanation of how the precluded from providing the of ERISA, many of the rules applicable applied methodology or methodologies authorization required under paragraph to other ERISA-covered employer demonstrated that the computer model (b)(5)(i) merely because the IRA sponsored pension plans do not apply met the requirements of paragraph beneficiary is an employee of the to SIMPLE IRA and SEP plans.29 For (b)(4)(i); and a description of any fiduciary adviser. Paragraph (b)(5)(iii) example, SIMPLE IRA and SEP plans limitations that were imposed by any provides that a plan sponsor is not are subject to minimal reporting and person on the eligible investment treated as a person providing a disclosure requirements.30 Many expert’s selection or application of designated investment option under the employers that sponsor these IRA-based methodologies for determining whether plan merely because one of the plans that are intended to be the computer model meets the designated investment options of the requirements of paragraph (b)(4)(i). In plan is an option that permits 28 See 29 CFR 2550.408b–2(e)(3). addition, the certification is required to investment in securities of the plan 29 See ERISA sections 101(h) (application of sponsor or an affiliate. Therefore, a plan reporting requirements) and 404(c)(2) (application of fiduciary responsibility requirements). The 27 For example, a person who develops a sponsor-fiduciary is not precluded from Department treats SEP and SIMPLE IRA plans computer model used under the exemption providing the authorization required by differently from other ERISA-covered pension plans generally is treated as a fiduciary adviser under paragraph (b)(5)(i) merely because the in other contexts. See 29 CFR 2550.404a–5 paragraph (c)(2)(ii) of the final rule. However, the (disclosures to participants in participant-directed fiduciary election described in Sec. 2550.408g–2 plan includes qualifying employer individual account plans) and 2550.408b–2(c)(1) permits another person to be treated as fiduciary securities as a designated investment (disclosures to fiduciaries of pension plans). adviser. option. 30 29 CFR 2520.104–48 and 2520.104–49.

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uncomplicated to establish and audited arrangement that must be particular participant for a failure to administer may not be willing to assume included in the audit report. review the audit for the participants and the duty to authorize an investment Specifically, the report must identify the beneficiaries, supports these findings. advice provider under the regulation, fiduciary adviser and the type of As with the proposal, paragraph even one selected by an IRA beneficiary. arrangement (i.e., fee leveling, computer (b)(6)(ii) of the final rule also provides This could limit access to fiduciary models, or both) (paragraphs with respect to an arrangement with an investment advice under the regulation (b)(6)(i)(B)(1) and (2)). Further, if the IRA that, if the report of the auditor for the participants and beneficiaries of arrangement uses computer models, or identifies noncompliance with the such IRA-based plans. Under these both computer models and fee leveling, requirements of the regulation, then the circumstances, the Department has the report must also indicate the date of fiduciary adviser must send a copy of defined the term ‘‘IRA’’ in this the most recent computer model the report to the Department. The final regulation to include a ‘‘simplified certification, and identify the eligible rule, like the proposal, requires that the employee pension’’ described in section investment expert that provided the fiduciary adviser submit the report to 408(k) of the Code, and a ‘‘simple certification (paragraph (b)(6)(i)(B)(3)). the Department within 30 days retirement account’’ described in The Department believes that this basic following receipt of the report from the section 408(p) of the Code. Thus, information will benefit the authorizing auditor. This report will enable the SIMPLE IRA plans and SEP plans would fiduciary or IRA beneficiary in Department to monitor compliance with be treated like IRAs under the understanding the arrangement without the statutory exemption. requirements of the final regulation, and imposing a significant burden on the Some commenters expressed concern the required authorization would be auditor, which ordinarily will have such with the requirement in paragraph given by the participant or beneficiary information. (b)(6)(ii)(B) that the fiduciary adviser to whom the account belongs and who Given the significant number of must send a copy of the auditor’s report receives the advice. The Department is reports that an auditor would be to the Department if that report interested in continuing to receive required to send if the written report identifies instances of noncompliance. public input on the operation of the was required to be furnished to all IRA They recommended that reports only be regulation in the context of SIMPLE IRA beneficiaries, the Department framed an required to be filed with the Department plans and SEP plans, especially the alternative requirement for investment when there is ‘‘material’’ experience of participants and advice arrangements with IRAs. This noncompliance. Other commenters beneficiaries and, to the extent public alternative is set forth in paragraph recommended that fiduciary advisers be input suggests that changes in this (b)(6)(ii) of the proposal and the final afforded a period within which to self- context are necessary, the Department rule. Under this provision, the fiduciary correct prior to the reporting of may consider further adjustments to the adviser must, within 30 days following noncompliance. This filing requirement regulation in the future. receipt of the report from the auditor as will enable the Department to monitor required under paragraph (b)(6)(i)(B), compliance with the exemption in those e. Annual Audit furnish a copy of the report to the IRA instances where there is no authorizing Paragraph (b)(6) of the final rule sets beneficiary or make such report ERISA plan fiduciary to carry out that forth the annual audit requirements for available on its Web site, provided that function. While it recognizes that not the statutory exemption.31 Paragraph such beneficiaries are provided every instance of noncompliance would, (b)(6)(i), like the proposal, provides that information, along with other required itself, affect the quality of the advice the fiduciary adviser shall, at least participant disclosures (see paragraph provided to an IRA beneficiary, the annually, engage an independent (b)(7) of the final rule), concerning the Department believes that, given the auditor, who has appropriate technical purpose of the report, and how and overall significance of the audit as a training or experience and proficiency, where to locate the report applicable to protection for advice recipients, all and so represents in writing to the their account. The Department believes reports that identify noncompliance in fiduciary adviser, to conduct an audit of that making reports available on a Web this area should be furnished to the the adviser’s investment advice site in this manner to IRA beneficiaries Department for review, thereby giving it arrangements for compliance with the satisfies the requirement of section the opportunity to evaluate the requirements of the regulation and, 104(d)(1) of the Electronic Signatures in significance of the noncompliance, the within 60 days following completion of Global and National Commerce Act (E– function that an authorizing plan the audit, to issue a written report to the SIGN) 32 that any exemption from the fiduciary would carry out for its plan. fiduciary adviser and, except with consumer consent requirements of Accordingly, the Department is respect to an arrangement with an IRA, section 101(c) of E–SIGN must be adopting the filing requirement as to each fiduciary who authorized the necessary to eliminate a substantial proposed without substantive change. use of the investment advice burden on electronic commerce and will We note, however, that language has arrangement. The written report must not increase the material risk of harm to been added to paragraph (b)(6)(ii)(B) to set forth the specific findings of the consumers. The Department solicited provide a means for electronic auditor regarding compliance of the comments on this finding in connection submission to the Department. arrangement with the requirements of with the prior proposal, and received no A commenter suggested that plan the regulation (paragraph (b)(6)(i)(B)(4)). comments in response.33 participants should be informed of audit However, as discussed below, because Obtaining consent from each IRA results. The Department does not of the importance of the annual audit in holder or participant before publication believe it is appropriate as part of the helping an authorizing fiduciary on the Web site would be a tremendous final rule, without further notice and monitor compliance of the arrangement, burden on the plan or IRA provider. comment, to adopt such a requirement, paragraph (b)(6)(i)(B) of the final rule, This element, along with the broad which could involve a significant unlike the proposal, also enumerates availability of Internet access and the number of audit reports being furnished certain basic information about the lack of any direct consequences to any to plan participants. The Department believes that the furnishing of the audit 31 The audit provisions are set forth in section 32 15 U.S.C. 7004(d)(1) (2000). report to the authorizing plan fiduciary, 408(g)(6) of ERISA. 33 See 74 FR 3829 (Jan. 21, 2009). who must act prudently and solely in

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the interest of plan participants, is Paragraph (b)(6)(iii) describes the reasonably determined appropriate by sufficient to protect the interests of circumstances under which an auditor the auditor, investment advice participants and beneficiaries. The will be considered independent for arrangements, and the advice pursuant fiduciary should examine the audit purposes of paragraph (b)(6). As thereto, during the audit period. The report furnished and, if noncompliance proposed, this paragraph required that final rule, like the proposal, does not is identified, take appropriate steps. the auditor not have a material require an audit of every investment Because of the importance of the audit affiliation or material contractual advice arrangement at the plan or report, the Department has included a relationship with the person offering the fiduciary adviser-level or of all the new provision, at paragraph (b)(8), investment advice arrangement to the advice that is provided under the which requires that the fiduciary plan or any designated investment exemption. In general, the final rule adviser provide the authorizing options under the plan. The terms appropriately leaves to the auditor the fiduciary with written notification that ‘‘material affiliation’’ and ‘‘material determination of how to conduct its the fiduciary adviser intends to comply contractual relationship’’ are defined in review, including the extent to which it with the statutory exemption and the paragraphs (c)(6) and (7) of the final can rely on representative samples for regulations and that the fiduciary rule, respectively. Some commenters determining compliance with the adviser’s investment advice asked whether an auditor’s provision of exemption. arrangement will be audited annually by certain services (e.g., computer model A number of comments requested an independent auditor for compliance, certification required under the clarification with respect to the conduct and that the auditor will furnish the regulation) would disqualify the and scope of the audit. Several authorizing fiduciary with a copy of that auditor. The Department believes that commenters asked whether each plan, auditor’s findings within 60 days of its the 10% gross revenue test in the IRA, and participant and beneficiary completion of the audit. This disclosure definition of the term ‘‘material must be included. A commenter also serves to place the authorizing fiduciary contractual relationship,’’ which asked whether the audit could be on notice that an audit will be contemplates that there may be performed by only reviewing conducted annually and that a report of instances in which an auditor might be documentation of compliance with the that audit will be furnished. The performing other services for a fiduciary fiduciary adviser’s internal compliance Department would expect the adviser or affiliates, generally is policies and procedures. As discussed authorizing fiduciary to take reasonable sufficient to minimize any influence on above, the audit provisions of the final steps if the report is not furnished in a the part of the fiduciary adviser by rule require that the auditor review timely manner, such as making virtue of service relationships that sufficient information to formulate an inquiries with the auditor, the fiduciary would serve to compromise the opinion as to whether the investment adviser, or both. independence of the auditor. However, advice arrangements, and the advice With regard to the person who if an auditor participates in the provided pursuant thereto, are in conducts the audit, one commenter development of a fiduciary adviser’s compliance with the final rule. recommended that the auditor should investment advice arrangement, then Accordingly, the methods used to be treated as a fiduciary. Others asked the auditor would appear to be in a conduct the audit are to be determined if the audit must be conducted by a position of auditing its own work for by the auditor. The Department does certified public accountant. Another compliance with the exemption. The note, however, that nothing in these requested that the final rule provide Department does not believe such an provisions precludes the auditor from additional guidance with respect to auditor is sufficiently independent for using sampling, as determined necessary credentials to conduct an purposes of the regulation. Similarly, in reasonably appropriate by the auditor, audit, such as minimum standards of the case of an investment advice of investment advice arrangements and experience, education, or professional arrangement that uses computer investment advice. The Department certification or licensing. As with the modeling, because an auditor would be expects that the sample used by an requirements for an ‘‘eligible investment in the position of determining whether auditor will depend on the facts and expert,’’ the Department does not the person who certifies a computer circumstances encountered. For believe there is necessarily one set of model, as required by paragraph example, an auditor may initially credentials, such as being a certified (b)(4)(ii), has any relationship that believe that the most appropriate way to public accountant, auditor, or lawyer, would preclude it from acting as an make the required findings is to that qualifies an individual to conduct ‘‘eligible investment expert’’ as defined construct a sample that represents a the required audits. In addition to any in paragraph (b)(4)(iii), the Department subset of all advice arrangements of a licenses, certifications or other evidence does not believe an auditor may also act fiduciary adviser, and advice provided. of professional or technical training, a as the computer model certifier. In testing the sample, however, the fiduciary adviser will want to consider Paragraph (b)(6)(iii) has been modified auditor should look for, and may find, the relevance of that training to the accordingly. patterns of compliance failures that required audit, as well as the With regard to the scope of the audit, indicate that certain areas are more individual’s or organization’s paragraph (b)(6)(iv) of the final rule prone to compliance failures than experience and proficiency in provides that the auditor shall review others. If such patterns appear, the conducting similar types of audits. In sufficient relevant information to auditor may need to expand the sample this regard, because the selection of an formulate an opinion as to whether the to more accurately assess the extent and auditor is a fiduciary act (see paragraph investment advice arrangements, and causes of noncompliance. While the (b)(6)(v)), a fiduciary adviser’s selection the advice provided pursuant thereto, Department believes that internal must be carried out in a manner offered by the fiduciary adviser during policies and procedures, if reasonably consistent with the prudence the audit period were in compliance designed and followed, can be helpful requirements of section 404(a)(1), taking with the regulation. Paragraph (b)(6)(iv) to a fiduciary adviser to ensure into account the nature and scope of the further provides that it is not intended compliance with the requirements of the audit and the expertise and experience to preclude an auditor from using regulation, the Department does not necessary to conduct such an audit. information obtained by sampling, as believe it would be appropriate for an

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auditor to limit, in any way, the conduct affiliates thereof in the security or other as a fiduciary). Another commenter of its audit to an examination of property. recommended disclosure of each compliance with those policies and The notification to participants and investment option’s profitability to the procedures. beneficiaries also is required to explain: fiduciary advisers or their affiliates, Another commenter appeared to the manner, and under what suggesting that this would enable suggest development of audit circumstances, any participant or participants to better understand the alternatives for fiduciary advisers that beneficiary information provided under advisers’ financial interests. In contrast, are regulated and subject to periodic the arrangement will be used or another commenter stated that requiring examination by other agencies. This disclosed; the types of services provided disclosure of ‘‘all’’ fees or other commenter, however, did not include by the fiduciary adviser in connection compensation could overwhelm sufficient information for further with the provision of investment advice participants and beneficiaries with consideration. The Department notes, by the fiduciary adviser; that the adviser information, and that the Department moreover, that section 408(g)(6) of is acting as a fiduciary of the plan in should instead adopt a materiality ERISA requires an annual audit for connection with the provision of the standard for such disclosure. Another compliance with the exemption. advice; and that a recipient of the advice commenter suggested removal of the Paragraph (b)(6)(v) of the final rule, may separately arrange for the provision past return information disclosure, like the proposal, provides that for of advice by another adviser that could arguing that participants may focus on purposes of the statutory exemption, the have no material affiliation with and investments with the highest returns selection of an auditor is a fiduciary act receive no fees or other compensation in without considering or understanding governed by section 404(a)(1) of ERISA. connection with the security or other the associated risks. Another commenter In response to a question from a property. Because the computer model suggested that the provision should commenter, the Department notes that, exception for qualifying employer require disclosure of historical rates of securities has been removed from in its view, the performance of an audit return at the asset class level, rather paragraph (b)(4)(i)(G)(2), explained under the final rule would not, by itself, than the individual investment level. above, the language in paragraph cause an auditor to be a fiduciary under Others also indicated the practical (b)(7)(i)(F) of the proposal that required ERISA. difficulties in providing the proposal’s the notification to include any disclosures for plans with numerous f. Disclosure to Participants limitations with respect to a computer investment options, and requested that model’s ability to take into account As in the proposal, paragraph (b)(7) of the Department consider more limited qualifying employer securities also has the final rule sets forth a number of disclosures. been removed. After consideration of the comments requirements involving disclosures to Paragraph (b)(7)(ii)(A) of the final rule received, the Department believes that participants and beneficiaries that are requires that the notification furnished the statutory disclosure framework, based on, and generally track, the to participants and beneficiaries must be reflected in both the proposal and final disclosure requirements contained in written in a clear and conspicuous rule, strikes the appropriate balance in section 408(g)(6). manner and in a manner calculated to terms of ensuring participants and Paragraph (b)(7)(i) generally requires be understood by the average plan beneficiaries have the information to that the fiduciary adviser provide to participant and must be sufficiently assess the potential for conflicts of participants and beneficiaries without accurate and comprehensive to interest and compensation of the charge, prior to the initial provision of reasonably apprise such participants fiduciary adviser. investment advice with regard to any and beneficiaries of the information Some commenters requested that the security or other property offered as an required to be provided in the Department clarify that the required investment option, a written notification notification. disclosures may be combined with other describing: the role of any party that has Paragraph (b)(7)(ii)(B) of the final rule disclosures the adviser is required to a material affiliation or material references the availability of a model furnish under securities or other laws. It contractual relationship with the disclosure form in the appendix to the is the view of the Department that fiduciary adviser in the development of final rule. As with the proposal, the nothing in the final rule forecloses the the investment advice program and in model disclosure form may be used for use of other materials for making the the selection of investment options purposes of satisfying the requirements disclosures required by the final rule, so available under the plan; the past set forth in paragraph (b)(7)(i)(C), as long as the understandability and clarity performance and historical rates of well as the requirements of paragraph of the disclosures is not compromised return of the designated investment (b)(7)(ii)(A) of the final rule. The final by virtue of their inclusion in such other options available under the plan, to the rule, like the proposal, makes clear, materials and the requirements of extent that such information is not however, that the use of the model paragraph (b)(7)(ii)(A) are satisfied. otherwise provided; all fees or other disclosure form is not mandatory. Like the proposal, paragraph (b)(7)(iii) compensation relating to the advice that The Department received a number of of the final rule provides that the the fiduciary adviser or any affiliate comments related to the contents and required notifications may, in thereof is to receive (including timing of the disclosures required under accordance with 29 CFR 2520.104b–1, compensation provided by any third paragraph (b)(7). One commenter be furnished in either written or party) in connection with the provision suggested that the final rule require the electronic form. Some commenters of the advice, the sale, acquisition, or disclosure be provided at least 14 days requested more flexibility for electronic holding of the security or other property before the initial provision of disclosures than is permitted under 29 pursuant to such advice, or any rollover investment advice, and further require CFR 2520.104b–1. Others, however, or other distribution of plan assets or that each advice session be suggested more limited use of electronic the investment of distributed assets in accompanied by a summary disclosure disclosures. Because the Department any security or other property pursuant that includes a subset of the information currently is reviewing issues related to to such advice; and any material required under the proposal (e.g., fees or use of electronic media to furnish affiliation or material contractual other compensation that may be information to participants and relationship of the fiduciary adviser or received, and that the adviser is acting beneficiaries, this provision has not

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been changed from the proposal in investment advice under the statutory participant must be afforded advance response to these comments.34 exemption. These requirements are as notice of the fiduciary adviser’s Paragraph (b)(7)(iv) of the final rule follows: The fiduciary adviser must intended investments and a reasonable sets forth miscellaneous recordkeeping provide appropriate disclosure, in opportunity, generally at least 30 days, and furnishing responsibilities of the connection with the sale, acquisition, or to object to the investments. With fiduciary adviser. Specifically, this holding of the security or other respect to a different asset allocation paragraph requires that, at all times property, in accordance with all structure, the Department believes that during the provision of advisory applicable securities laws (paragraph the participant or beneficiary must make services to the participant or beneficiary (b)(9)(i)); any sale, acquisition, or an affirmative direction for its pursuant to the arrangement, the holding of a security or other property implementation. fiduciary adviser must: Maintain the occurs solely at the direction of the i. Definitions information required to be disclosed to recipient of the advice (paragraph participants and beneficiaries in (b)(9)(ii)); the compensation received by Paragraph (c) sets forth definitions of accurate form; provide, without charge, the fiduciary adviser and affiliates terms used in the final rule. accurate, up-to-date disclosures to the thereof in connection with the sale, Paragraph (c)(1) defines the term recipient of the advice no less acquisition, or holding of the security or ‘‘designated investment option.’’ The frequently than annually; provide, other property is reasonable (paragraph term ‘‘designated investment option’’ without charge, accurate information to (b)(9)(iii)); and the terms of the sale, means any investment option the recipient of the advice upon request acquisition, or holding of the security or designated by the plan into which of the recipient; and provide, without other property are at least as favorable participants and beneficiaries may charge, to the recipient of the advice any to the plan as an arm’s length direct the investment of assets held in, material change to the required transaction would be (paragraph or contributed to, their individual information at a time reasonably (b)(9)(iv)). This provision is unchanged accounts. The term ‘‘designated contemporaneous to the change in from the corresponding provision of the investment option’’ shall not include information. These provisions are being proposal. ‘‘brokerage windows,’’ ‘‘self-directed adopted in the final rule without A commenter described a situation brokerage accounts,’’ or similar plan substantive change from the proposal. where an IRA owner or participant gives arrangements that enable participants standing instructions to rebalance his or and beneficiaries to select investments g. Disclosure to Authorizing Fiduciary her portfolio on a pre-determined basis beyond those designated by the plan. As discussed in more detail above in (which the commenter referred to as The Department has added a cross- connection with the audit provision, ‘‘ministerial rebalancing’’) and another reference to clarify that the term paragraph (b)(8) of the final rule is a situation where changes to a portfolio ‘‘designated investment option’’ has the new provision that requires disclosure are permitted when a model changes same meaning as ‘‘designated of certain information to the fiduciary and the client receives advance notice investment alternative’’ as defined in 29 that authorizes an investment advice (which the commenter referred to as CFR 2550.404a–5 (relating to certain arrangement. Under this provision, the ‘‘re-optimization’’ or ‘‘re-allocation’’), disclosures to participants). fiduciary adviser must provide the and asked whether these were Paragraph (c)(2) defines the term authorizing fiduciary with a written consistent with the requirement in ‘‘fiduciary adviser,’’ as it appears in notification that the fiduciary adviser paragraph (b)(9)(ii) that any sale, section 408(g)(11)(A) of ERISA. A intends to comply with the conditions acquisition or holding of a security or commenter suggested that paragraph of the statutory exemption for other property occurs solely at the (c)(2)(ii), which treats a person who investment advice under section direction of the recipient of the advice. develops the computer model or 408(b)(14) and (g) and this regulation. In general, it is the view of the markets the investment advice program The notification also must inform the Department that a pre-authorization for or computer model utilized in authorizing fiduciary that the fiduciary a fiduciary adviser to maintain a satisfaction of paragraph (b)(4) as a adviser’s arrangement will be audited particular asset allocation structure for a fiduciary adviser, is overly broad, and annually by an independent auditor for participant’s portfolio by periodic could result in higher costs overall and compliance with the requirements of the rebalancing of investments would not fewer parties willing to provide these statutory exemption and this regulation, violate the ‘‘solely at the direction’’ functions. In response, the Department and that the auditor will furnish the requirement in paragraph (b)(9)(ii), notes that such fiduciary status is authorizing fiduciary a copy of that provided that such maintenance does conferred by statute at section auditor’s findings within 60 days of its not involve the exercise of discretion on 408(g)(11)(A). However, the Department completion of the audit. the part of the fiduciary adviser, that is, further notes that Sec. 2550.408g–2, Because paragraph (b)(5) of the rule when a participant is informed of and discussed in more detail below, permits already requires authorization by an approves, at the time of the one such fiduciary to elect to be treated independent fiduciary, the Department authorization, the specific as a fiduciary with respect to the plan. does not believe the notification circumstances under which a Paragraph (c)(3) defines the term requirement in paragraph (b)(8) will rebalancing of his or her portfolio will ‘‘registered representative’’ as set forth impose a significant additional burden take place and the particular in ERISA section 408(g)(11)(C), which on fiduciary advisers. investments that will be utilized for states that a registered representative of such rebalancing. If, on the other hand, another entity means a person described h. Other Conditions the particular investments that might be in section 3(a)(18) of the Securities Paragraph (b)(9) of the final rule, like utilized for purposes of rebalancing a Exchange Act of 1934 (15 U.S.C. paragraph (b)(8) of the proposal, sets participant’s account are not known and 78c(a)(18)) (substituting the entity for forth the additional requirements the fiduciary adviser is given the the broker or dealer referred to in such contained in section 408(g)(7) of ERISA discretion to select the required section) or a person described in section that apply to the provision of investments, it is the view of the 202(a)(17) of the Investment Advisers Department that, in order to avoid Act of 1940 (15 U.S.C. 80b–2(a)(17)) 34 See 76 FR 19285 (Apr. 7, 2011). violating paragraph (b)(9)(ii), the (substituting the entity for the

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investment adviser referred to in such controlled by, or under common control contracts or arrangements that have section). with, such other person. been reduced to writing.37 Paragraph (c)(4), consistent with A number of commenters presented Lastly, paragraph (c)(8) defines factual questions on the definition of ‘‘control’’ to mean the power to exercise section 601(b)(3)(A)(i) of the PPA, ‘‘affiliate’’ in paragraph (c)(5). These a controlling influence over the generally defines the term ‘‘Individual have not been addressed here because of management or policies of a person Retirement Account’’ or ‘‘IRA’’ for their inherently factual nature. other than an individual. purposes of the final rule to mean plans One comment requested that the described in paragraphs (B) through (F) Department instead adopt the definition j. Retention of Records of section 4975(e)(1) of the Code, as well of ‘‘affiliate’’ that applies under 29 CFR As with the proposal, paragraph (d) of as a trust, plan, account, or annuity 2510.3–21. For purposes of that the final rule sets forth the record which, at any time, has been determined regulation, an ‘‘affiliate’’ of a person retention requirements applicable to an by the Secretary of the Treasury to be includes: Any person directly or eligible investment advice arrangement. described in such paragraphs. However, indirectly, through one or more Consistent with section 408(g)(9) of as explained above, paragraphs intermediaries, controlling, controlled ERISA, paragraph (d) provides that the (c)(4)(vii) and (c)(4)(viii) have been by, or under common control with such fiduciary adviser must maintain, for a added to make clear that for purposes of person; any officer, director, partner, period of not less than 6 years after the the regulation, the term ‘‘IRA’’ includes employee or relative (as defined in provision of investment advice under a ‘‘simplified employee pension’’ ERISA section 3(15)) of such person; the section any records necessary for described in section 408(k) of the Code, and any corporation or partnership of determining whether the applicable and a ‘‘simple retirement account’’ which such person is an officer, director requirements of the final rule have been described in section 408(p) of the Code. or partner.36 Because section met, noting that a transaction prohibited Like the proposal, paragraph (c)(5) of 408(g)(11)(B) of ERISA defines the term under section 406 of ERISA shall not be the final rule defines the term ‘‘affiliate’’ for purposes of the statutory considered to have occurred solely ‘‘affiliate.’’ Under this provision, an exemption specifically by reference to because the records are lost or destroyed the definition in section 2(a)(3) of the ‘‘affiliate’’ of another person means: Any prior to the end of the 6-year period due ICA, the Department has not adopted person directly or indirectly owning, to circumstances beyond the control of this comment. the fiduciary adviser. controlling, or holding with power to In a variety of places, the final rule vote, 5 percent or more of the refers to persons with ‘‘material k. Noncompliance outstanding voting securities of such affiliations’’ or ‘‘material contractual Paragraph (e) of the final rule, like the other person (paragraph (c)(5)(i)); any relationships,’’ which are defined in proposal, specifically addresses the person 5 percent or more of whose paragraphs (c)(6) and (c)(7), consequences of noncompliance with outstanding voting securities are respectively. Paragraph (c)(6)(i) of the the regulation. This provision makes directly or indirectly owned, controlled, final rule describes a person with a clear that the prohibited transaction or held with power to vote, by such ‘‘material affiliation’’ with another relief described in paragraph (b) of the other person (paragraph (c)(5)(ii)); any person as: Any affiliate of the other regulation will not apply to any person directly or indirectly controlling, person; any person directly or indirectly transaction with respect to which the controlled by, or under common control owning, controlling, or holding, 5 applicable conditions of the final rule with, such other person (paragraph percent or more of the interests of such have not been satisfied. Further, in the (c)(5)(iii)); and any officer, director, other person; and any person 5 percent case of a pattern or practice of partner, copartner, or employee of such or more of whose interests are directly noncompliance with any of the other person (paragraph (c)(5)(iv)). or indirectly owned, controlled, or held, applicable conditions of the final rule, Consistent with ERISA section by such other person. Paragraph the relief will not apply to any 408(g)(11)(B), this definition is based on (c)(6)(ii) provides that, for these transaction in connection with the the definition of an ‘‘affiliated person’’ purposes, an ‘‘interest’’ means with provision of investment advice provided of an entity as contained in section respect to an entity: The combined by the fiduciary adviser during the 2(a)(3) of the Investment Company Act voting power of all classes of stock period over which the pattern or of 1940 (ICA) (15 U.S.C. sec. 80a– entitled to vote or the total value of the practice extended. With respect to what 2(a)(3)), except that it does not reflect shares of all classes of stock of the entity would constitute a ‘‘pattern or practice,’’ clauses (E) and (F) thereof. The if the entity is a corporation; the capital the Department believes that it is Department has determined that interest or the profits interest of the important to identify both individual including provisions similar to clauses entity if the entity is a partnership; or violations and patterns of such (E) and (F) is unnecessary, because these the beneficial interest of the entity if the violations. Isolated, unrelated, or clauses appear to focus on persons who entity is a trust or unincorporated accidental occurrences would not exercise control over the management of enterprise. themselves constitute a pattern or an investment company.35 These Paragraph (c)(7) of the final rule practice. However, intentional, regular, persons would be treated as affiliates provides that persons shall be treated as deliberate practices involving more than under paragraph (c)(5)(iii) of the final having a ‘‘material contractual isolated events or individuals, or rule because they would be persons relationship’’ if payments made by one institutionalized practices will almost directly or indirectly controlling, person to the other person pursuant to always constitute a pattern or practice. written contracts or agreements between In determining whether a pattern or 35 ICA section 2(a)(3)(E) and (F) include in the the persons exceed 10 percent of the practice exists, the Department will definition of an affiliated person: If the other person gross revenue, on an annual basis, of consider whether the noncompliance is an investment company, any investment adviser such other person. The Department appears to be part of either written or thereof or any member of an advisory board thereof; notes that this 10% gross revenue test is and if such other person is an unincorporated unwritten policies or established investment company not having a board of not limited to amounts paid pursuant to directors, the depositor thereof. 15 U.S.C. 80a– 37 See 74 FR 3822 (Jan. 21, 2009) (explaining 2(a)(3)(E)–(F). 36 29 CFR 2510.3–21(e)(1). corresponding language in the 2009 final rule).

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practices, whether there is evidence of model, shall be treated as a fiduciary of authorized use of the arrangement; and similar noncompliance with respect to a plan by reason of the provision of that the writing be retained in more than one plan or arrangement, and investment advice referred to in ERISA accordance with the record retention whether the noncompliance is within a section 3(21)(A)(ii) to the plan requirements of Sec. 2550.408g–1(d). fiduciary adviser’s control. participant or beneficiary. Such a The Department notes that this This provision is being adopted person also shall be treated as a election applies only for purposes of without change from the proposal. The ‘‘fiduciary adviser’’ for purposes of limiting fiduciary status that results Department believes that one of the ERISA sections 408(b)(14) and 408(g). from developing or marketing a most significant deterrents to The Secretary of Labor, however, may computer model or investment advice noncompliance with the conditions of prescribe rules under which only one program used under the statutory the statutory exemption is the fiduciary adviser may elect to be treated exemption. It would not, for example, potentially significant excise taxes as a fiduciary with respect to the plan. permit a fiduciary adviser who actually applicable to transactions that fail to Section 4975(f)(8)(J)(i) of the Code renders investment advice to satisfy its conditions, and that extending contains a parallel provision to ERISA participants or beneficiaries to avoid the potential for excise taxes to section 408(g)(11)(A) that applies for fiduciary status. encompass a period over which a purposes of Code sections 4975(d)(17) The Department received no pattern or practice of noncompliance and 4975(f)(8). substantive comments on this regulation extends creates additional incentives on In conjunction with the proposed and, therefore, is adopting the the part of fiduciary advisers that take regulation implementing the statutory regulation substantially as proposed. advantage of the exemptive relief to be exemption for investment advice, the This regulation, like Sec. 2550.408g–1, vigilant in assuring compliance. Department also proposed a rule, Sec. will be effective 60 days after the date 2550.408g–2, governing the of publication of the final rule in the l. Effective Date requirements for electing to be treated as Federal Register. The Department proposed that the a fiduciary and fiduciary adviser by D. Regulatory Impact Analysis regulation would be effective 60 days reason of developing or marketing a after the date of publication of the final computer model or an investment Regulatory Procedures rule. One commenter indicated that the advice program used in an eligible Executive Order 12866 ‘‘Regulatory 60 day effective date would not investment advice arrangement. Section Planning and Review’’ and Executive constitute sufficient time to comply 2550.408g–2 sets forth requirements that Order 13563 ‘‘Improving Regulation and with the final rule, and suggested the must be satisfied in order for one such Regulatory Review’’ effective date should be extended to 180 fiduciary adviser to elect to be treated as days after publication of the final rule. a fiduciary with respect to a plan under Executive Orders 12866 and 13563 Given the importance of investment such an eligible investment advice direct agencies to assess all costs and advice to participants and beneficiaries arrangement. See paragraph (a) of Sec. benefits of available regulatory generally and given that the exemption 2550.408g–2. alternatives and, if regulation is implemented in the final rule will Paragraph (b)(1) of Sec. 2550.408g–2 necessary, to select regulatory expand the opportunity for participant provides that, if an election meets the approaches that maximize net benefits and beneficiaries to obtain affordable, requirements of paragraph (b)(2), then (including potential economic, quality investment advice, the the person identified in the election environmental, public health and safety Department believes that the final rule shall be the sole fiduciary adviser effects, distributive impacts, and should be effective on the earliest treated as a fiduciary by reason of equity). Executive Order 13563 possible date, and has not made the developing or marketing a computer emphasizes the importance of suggested change. Accordingly, the final model, or marketing an investment quantifying both costs and benefits, of rule contained in this document will be advice program, used in an eligible reducing costs, of harmonizing rules, effective 60 days after the date of investment advice arrangement. and of promoting flexibility. Executive publication in the Federal Register and Paragraph (b)(2) requires that the Order 12866 and 13563 require a will apply to transactions described in election be in writing and that the comprehensive regulatory impact paragraphs (b) of the final rule occurring writing identify the arrangement, and analysis be performed for any on or after that date. person offering the arrangement, with economically significant regulatory respect to which the election is to be action, defined as an action that would m. Miscellaneous effective. The writing also must identify result in an annual effect of $100 A number of commenters made the electing person. Under paragraph million or more on the national suggestions beyond the scope of this (b)(2)(ii), the electing person must: fall economy or which would have other regulation that they believed would within any of paragraphs (c)(2)(i)(A) substantial impacts. In accordance with additionally benefit participants and through (E) of Sec. 2550.408g–1; OMB Circular A–4, the Department has beneficiaries. These suggestions were develop the computer model or market examined the economic and policy not adopted by the Department. the computer model or investment implications of this final rule and has advice program; and acknowledge that it concluded that the action’s benefits C. Overview of Final § 2550.408g–2 and elects to be treated as the only fiduciary, justify its costs. Public Comments and fiduciary adviser, by reason of Section 408(g)(11)(A) of ERISA developing such computer model or Summary of Impacts provides that, with respect to an marketing such computer model or The provisions of this final regulation arrangement that relies on use of a investment advice program. Paragraph reflect the Department’s efforts to ensure computer model to qualify as an (b)(2) of Sec. 2550.408g–2 requires that that the advice provided pursuant to ‘‘eligible investment advice the election be signed by the person them will be affordable and of high arrangement’’ under the statutory acknowledging that it elects to be quality. The results of this final exemption, a person who develops the treated as the only fiduciary and regulation will depend on its impacts on computer model, or markets the fiduciary adviser; that a copy of the the availability, cost, use, and quality of investment advice program or computer election be furnished to the person who participant investment advice. The

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Department anticipates that, as a result reflect reductions in investment errors the final regulation include costs of of these actions, quality, affordable such as poor trading strategies and approximately $745 million that are expert investment advice will inadequate diversification. associated with the Paperwork proliferate, producing significant net The Department estimates that this Reduction Act information collection gains for participant-directed defined final rule will yield benefits of between requests contained in the final rule. contribution (DC) plan participants and $7 billion and $18 billion annually, at Table 1 below presents these average beneficiaries and beneficiaries of a cost of between $2 billion and $5 annual real benefits and costs given a individual retirement accounts (IRAs) billion, thereby producing a net ten year horizon with discount rates of (collectively hereafter, ‘‘participants’’). financial benefit of between $5 billion 3 percent and 7 percent. The improved investment results will and $13 billion. The estimated costs of

TABLE 1—ACCOUNTING STATEMENT

Estimates Units Category Low High Discount Period Primary estimate estimate estimate Year dollar rate covered

Benefits: Annualized ...... 13,200.0 7,000.0 18,300.0 2009 7% 2011–2020 Monetized ($millions/year) ...... 13,200.0 7,000.0 18,300.0 2009 3% 2011–2020 Annualized ...... 0.0 0.0 0.0 ...... 7% Quantified ...... 0.0 0.0 0.0 ...... 3%

Qualitative ...... In addition to the quantified benefits, the Department anticipates that the regulation will improve aggregate investment results, reflecting reduced participants’ investment related expenses, and will improve the welfare of participants by better aligning participant investments and their risk tolerances. Notes ...... The regulation is anticipated to extend quality, expert investment advice to a significantly greater number of participants. This will improve aggregate investment results, reflecting reductions in investment errors (including poor trading strategies and inadequate diversification).

Costs: Annualized ...... 3,700.0 1,900.0 5,100.0 2009 7% 2011–2020 Monetized ($millions/year) ...... 3,700.0 1,900.0 5,100.0 2009 3% 2011–2020 Annualized ...... 0.0 0.0 0.0 ...... 7% Quantified ...... 0.0 0.0 0.0 ...... 3% Qualitative

Notes ...... The costs of this regulation are due to the direct cost of providing (or paying for) investment advice, including approximately $745 million that are associated with the Paperwork Reduction Act information collection requests contained in this final rule.

Transfers ...... Not applicable.

Effects: State, Local, and/or Tribal Government ...... Not applicable. Small Business ...... Not applicable. Wages ...... Not applicable.

Growth ...... The regulation may also have macroeconomic consequences, which are likely to be small but positive.

Need for Regulatory Action of compensated risk. Financial losses retirement plan participants with expert (including foregone earnings) from such investment advice. Specifically, these With the growth of participant- mistakes likely amounted to more than ‘‘prohibited transaction’’ provisions of directed retirement savings accounts, $114 billion in 2010.38 These losses section 406 of ERISA and section 4975 the retirement income security of compound and grow larger as workers of the Internal Revenue Code prohibit America’s workers increasingly depends progress toward and into retirement. fiduciaries from dealing with DC plan or on their investment decisions. IRA assets in ways that advance their Unfortunately, there is evidence that Such mistakes and consequent losses own interests. The prohibited many participants of these retirement historically can be attributed at least in transaction provisions prohibit a accounts often make costly investment part to provisions of the Employee fiduciary from dealing with the assets of errors due to flawed information or Retirement Income Security Act of 1974 reasoning. As more fully discussed in that effectively preclude a variety of a plan in his own interest or for his own the Benefits section below, these arrangements whereby financial account and from receiving any professionals might otherwise provide participants may make financial consideration for his own personal mistakes which result in lower asset account from any party dealing with the 38 accumulation, and thus final retirement See 74 FR No 164 (Aug. 22, 2008), 74 FR No plan in connection with a transaction 12 (Jan. 21, 2009), and 75 FR No 40 (Mar. 2, 2010) account balances, for these individuals for background on the analysis contained in the and/or result in less than optimal levels Department’s Regulatory Impact Analysis.

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involving the assets of the plan.39 These provisions at Code sections 4975(d)(17) participants, leading them to make statutory provisions have been and 4975(f)(8).43 Section 408(b)(14) sets fewer investment mistakes. As noted interpreted as prohibiting a fiduciary forth the investment advice-related below, prior to implementation of the from using the authority, control or transactions that will be exempt from PPA, investment mistakes cost responsibility that makes it a fiduciary the prohibitions of ERISA section 406 if participants approximately $114 billion to cause itself, or a party in which it has the requirements of section 408(g) are in 2010 for participants, the Department an interest that may affect its best met.44 These requirements are met only estimates.45 The Department believes judgment as a fiduciary, to receive if advice is provided by a fiduciary that participants, after having received additional fees.40 As a result, in the adviser under an ‘‘eligible investment such advice, may pay lower fees and absence of a statutory or administrative advice arrangement.’’ Section 408(g) expenses, engage in less excessive or exemption, fiduciaries are prohibited provides for two general types of poorly timed trading, more adequately from rendering investment advice to eligible arrangements: one based on diversify their portfolios and thereby plan participants regarding investments compliance with a ‘‘fee-leveling’’ assume less uncompensated risk, that result in the payment of additional requirement (imposing limitation on achieve a more optimal level of advisory and other fees to the fees and compensation of the fiduciary compensated risk, and/or pay less fiduciaries or their affiliates. Section adviser); the other, based on compliance excess taxes. The Department estimates 4975 of the Code applies similarly to the with a ‘‘computer model’’ requirement that advice available prior to the PPA rendering of investment advice to an (requiring use of a certified computer reduced errors by $15 billion annually individual retirement account (IRA) model). Both types of arrangements also (i.e., investment errors would have been beneficiary. must meet several other requirements. $124 billion absent this advice). Over the past several years, the The Department’s final investment Increased use of investment advice Department has issued various forms of advice regulation is needed to provide under the PPA will incrementally guidance concerning when a person additional guidance regarding the reduce such mistakes by between $7 would be a fiduciary by reason of conditions set forth in the PPA statutory billion and $18 billion annually rendering investment advice, and when exemption for investment advice. The (roughly 6 percent to 16 percent of the such investment advice might result in Department calibrated this final $114 billion in investment errors prohibited transactions.41 Responding regulation to protect participants while remaining after pre-PPA advise is to the need to afford participants and promoting the affordability of given), the Department estimates. Thus, beneficiaries greater access to investment advice arrangements the cumulative benefit of the pre-PPA professional investment advice, operating pursuant to the PPA’s investment advice and the new Congress amended the prohibited statutory exemptive relief. The investment advice under the PPA and transaction provisions of ERISA and the Department expects that as a result of this final rule ranges between $22 Code, as part of the Pension Protection this regulatory action, high-quality, billion and $33 billion. The Act of 2006 (PPA),42 to permit a broader affordable investment advice will Department’s estimates of the array of investment advice providers to proliferate, producing significant net magnitude of these investment errors offer their services to participants benefits for participants. For a further and the resulting reductions from responsible for investment of assets in discussion of these benefits, see the participants receiving investment advice their individual accounts and, Benefits section below. are summarized in Table 2 below. The accordingly, for the adequacy of their sections below describe in more detail Benefits retirement savings. the investment errors participants may Specifically, section 601 of the PPA The Department believes this final make along with the method the added a statutory prohibited transaction regulation will provide important Department used to calculate the exemption under sections 408(b)(14) benefits to society by extending quality, baseline, benefit and impact estimates and 408(g) of ERISA, with parallel expert investment advice to more for this final regulation.

TABLE 2—LONG TERM INVESTMENT ERRORS AND IMPACT OF ADVICE [$Billions, annual]

Errors eliminated by advice Policy context Remaining errors Incremental Cumulative

No advice ...... $124 $0 $0 Existing/Pre-PPA advice only (Baseline) ...... 114 15 15 New/PPA advice:

39 ERISA section 406(b)(1) and (3) and Code 3790, the authority of the Secretary of the Treasury in connection with the provision of investment section 4975(c)(1)(E) and (F). to issue rulings under section 4975 of the Code has advice or the acquisition, holding or sale of a 40 29 CFR 2550.408b–2(e). been transferred, with certain exceptions not here security or other property available as an 41 See Interpretative Bulletin relating to relevant, to the Secretary of Labor. Therefore, the investment under the plan pursuant to the participant investment education, 29 CFR 2509.96– references in this notice to specific sections of investment advice. ERISA should be taken as referring also to the 1 (Interpretive Bulletin 96–1); Advisory Opinion 45 The Department bases these estimates upon the (AO) 2005–10A (May 11, 2005); AO 2001–09A corresponding sections of the Code. retirement assets in DC plans and Individual (December 14, 2001); and AO 97–15A (May 22, 44 The transactions described in section Retirement Accounts reported by the Federal 1997). In October 2010, the Department proposed 408(b)(14) are: the provision of investment advice Reserve Board’s Flow of Funds Accounts (Mar. amendments to the regulation, at 29 CFR 2510.3– to the participant or beneficiary with respect to a 21(c) that define when the provision of advice security or other property available as an 2011), at http://www.federalreserve.gov/releases/z1/ causes a person to be a fiduciary. investment under the plan; the acquisition, holding Current/. This estimate is subject to wide 42 Public Law 109–280, 120 Stat. 780 (Aug. 17, or sale of a security or other property available as uncertainty. See 74 FR No 164 (Aug. 22, 2008), 74 2006). an investment under the plan pursuant to the FR No 12 (Jan. 21, 2009), and 75 FR No 40 (Mar. 43 Under Reorganization Plan No. 4 of 1978 (43 investment advice; and the direct or indirect receipt 2, 2010) for the details of the Department’s FR 47713, Oct. 17, 1978), 5 U.S.C. App. 1, 92 Stat. of compensation by a fiduciary adviser or affiliate Regulatory Impact Analysis.

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TABLE 2—LONG TERM INVESTMENT ERRORS AND IMPACT OF ADVICE—Continued [$Billions, annual]

Errors eliminated by advice Policy context Remaining errors Incremental Cumulative

Low Estimate ...... 96 7 22 Primary Estimate ...... 101 13 28 High Estimates ...... 107 18 33

Investment Mistakes rational, utility maximizing consumers. marginal cost exceed their associated The Department believes that many Imperfect information, search costs and marginal benefit.49 The Department participants make costly investment consumers’ behavioral biases likewise expects the PPA and this final mistakes and therefore could benefit can allow some sellers to command regulation to reduce such investment from receiving and following good inefficiently high prices. The errors, improving participant and advice. In theory, investors can optimize Department accordingly has considered societal welfare. However, at this time their investment mix over time to match whether such conditions might exist in the Department has no basis on which their investment horizon and personal the market for investment products and to quantify such errors or taste for risk and return. But in practice services bought by or on behalf of improvements. many investors do not optimize their participants. The second type of investments, at least not in accordance inefficiency is suboptimal consumer Poor Trading Strategies choices among available products. Even with generally accepted financial There is evidence that some theories. if goods are priced competitively, participants trade excessively, while Some investors fail to exhibit clear, welfare will be lost if consumers make fixed and rational preferences for risk poor purchasing decisions. Imperfect many more participants trade too little, and return. Some base their decisions information, search costs and behavioral failing even to rebalance. In DC plans, on flawed information or reasoning. For biases can compromise purchasing excessive participant trading often example some investors appear to decisions, and the Department has worsens performance, and participants anchor decisions inappropriately to considered whether participants’ in accounts that are automatically plan features or to mental accounts or purchases of investment products and rebalanced generally fare best.50 Among frames, or to rely excessively on past services might be so compromised. inferior strategies, it is likely that active performance measures or peer The Department believes that the trading aimed at timing the market examples. Some investors suffer from research available at this time provides generates more adverse results than overconfidence, myopia, or simple an insufficient basis to confidently failing to rebalance. Many mutual funds inertia.46 Such informational and determine whether or to what degree investors’ experience badly lags the behavioral problems translate into at participants pay inefficiently high performance of the funds they hold least five distinct types of investment investment prices.48 Market conditions because they buy and sell shares too mistakes.47 that may lead to inefficiently high frequently and/or at the wrong times.51 Fees and Expenses prices—namely imperfect information, Investors often buy and sell in response search costs and investor behavioral to short-term past returns, and suffer as Two distinct types of inefficiency can biases—certainly exist in the retail IRA a result.52 Good advice is likely to result in higher than optimal consumer market and likely exist to some degree expenditures for a particular type of discourage market timing efforts and in particular segments of the DC plan encourage rebalancing, thereby good. The first is prices that are higher market. The Department believes there than would be efficient. Efficient is a strong possibility that at least some markets require vigorous competition. 49 It is possible that the converse could sometimes participants, especially IRA occur: participants might fail to buy efficiently Sellers with market power can beneficiaries, pay inefficiently high priced products and services whose marginal cost command inefficiently high prices, investment prices. If so, the Department lags their associated marginal benefit. If so advice, thereby capturing consumer surplus and would expect that quality advice by correcting this error, might lead to higher imposing a ‘‘dead weight loss’’ of expenses, but would still improve overall societal reduces that inefficiency. Such a welfare. The economic research suggests that welfare on society. Efficient markets reduction in inefficiencies would participants are insensitive to fees rather than also require perfect information and increase participants’ welfare by excessively sensitive to fees, thus the Department transferring economic surplus from believes that the converse situation is likely to be 46 See, e.g., Richard H. Thaler & Shlomo Benartzi, rare. The Behavioral Economics of Retirement Savings producers of investment products and 50 See, e.g., Takeshi Yamaguchi et al., Winners Behavior, AARP Public Policy Institute White Paper services to participants and thereby and Losers: 401(k) Trading and Portfolio 2007–02 (Jan. 2007); and Jeffrey R. Brown & Scott reducing societal dead weight loss. The Performance, Michigan Retirement Research Center Weisbenner, Individual Account Investment Department additionally believes that Working Paper WP2007–154 (June 2007). Options and Portfolio Choice: Behavioral Lessons 51 See, e.g., Dalbar Inc., Quantitative Analysis of from 401(k) Plans, Social Science Research Network even where investment prices are Investor Behavior 2007 (2007). Abstract 631886 (Dec. 2004). efficient participants often make bad 52 See, e.g., Rene Fischer & Ralf Gerhardt, 47 The Department notes that much of the investment decisions with respect to Investment Mistakes of Individual Investors and the research documenting investment mistakes does not expenses—that is, participants buy Impact of Financial Advice, Science Research account for whether advice was present or not. At investment products and services whose Network Abstract 1009196 (Aug. 2007); Julie Agnew least some of the mistakes may have been made & Pierluigi Balduzzi, Transfer Activity in 401(k) despite good advice to the contrary; some may have Plans, Social Science Research Network Abstract been made pursuant to bad advice. There is 48 See 74 FR No 164 (Aug. 22, 2008), 74 FR No 342600 (June 2006); and George Cashman et al., evidence both that advice sometimes is not 12 (Jan. 21, 2009), and 75 FR No 40 (Mar. 2, 2010) Investor Behavior in the Mutual Fund Industry: followed, and that advice is sometimes bad. These for background on the analysis contained in the Evidence from Gross Flows, Social Science Research issues are explored more below. Department’s Regulatory Impact Analysis. Network Abstract 966360 (Feb. 2007).

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ameliorating adverse impacts from poor overseas equity or debt, small cap retirement must decide not only what trading strategies. stocks, or real estate. Such lapses may assets to hold, but also whether to locate sometimes reflect limited investment these assets in taxable or tax-deferred Inadequate Diversification menus supplied by DC plans.56 Yet even accounts. For example, households may Investors sometimes fail to diversify where adequate choices are available be able to maximize their expected after- adequately and thereby assume and company stock is not a factor, tax wealth by first placing heavily taxed uncompensated risk and suffer investors sometimes fail to diversify bonds in their tax-deferred account and associated losses. For example, DC plan adequately.57 The Department believes then placing lightly taxed equities in participants sometimes concentrate that quality advice will address over their taxable account. However a their assets excessively in stock of their concentration in employer stock and significant number of households do not employer.53 Relative to full other failures to properly diversify. follow this practice.58 What is not clear, diversification,54 employer stock Inappropriate Risk however, is whether such households investments can be costly for DC plan are in fact making investment mistakes. 55 participants. Other lapses in Investors who avoid the foregoing In practice, this simple asset location diversification may involve omission mistakes might be said to invest rule may fail to minimize taxes.59 As a from portfolios asset classes such as efficiently, in the sense that the investor result the Department currently has no generally can expect the maximum basis to estimate the magnitude of 53 See, e.g., Olivia S. Mitchell & Stephen P. Utkus, possible return given their level risk. excess taxes that might derive from The Role of Company Stock in Defined Contribution However, these participants may still be Plans, National Bureau of Economic Research participants’ investment mistakes. In Working Paper W9250 (Oct. 2002); and Jeffrey R. making a costly mistake: they may fail any event, whether or to what extent Brown & Scott Weisbenner, Individual Account to calibrate the risk and return of their investment advisers would be Investment Options and Portfolio Choice: portfolio to match their own risk and positioned to provide advice on tax Behavioral Lessons from 401(k) Plans, Social return preferences. As a result, Science Research Network Abstract 631886 (Dec. efficiency is unclear. 2004). participant investments may be too 54 This comparison should be viewed as an outer risky or too safe for their own tastes. Baseline Estimates: Availability and Use bound. Full diversification of the same assets might The Department currently lacks a of Advice by Participants not be feasible if companies are unwilling to alter sufficient basis on which to estimate the Participants have always had the the compensation mix in this way (see, e.g., Olivia magnitude of such mistakes, but S. Mitchell & Stephen P. Utkus, The Role of option of obtaining permissible Company Stock in Defined Contribution Plans, believes mistakes associated with investment advice services directly in National Bureau of Economic Research Working inappropriate risk levels may be the retail market. DC plan sponsors Paper W9250 (Oct. 2002)). The comparison also common and large. The characteristics neglects some potential tax benefits of employer likewise have had the option of of a diversified portfolio’s risks and obtaining such services in the stock investments that might offset losses from returns generally are determined by the reduced diversification (see, e.g., Mukesh Bajaj et commercial market and making them al., The NUA Benefit and Optimal Investment in portfolio’s allocation across asset available to plan participants and Company Stock in 401(k) Accounts, Social Science classes. As noted above, there is ample Research Network Abstract 965808 (Feb. 2007)). See beneficiaries in connection with the evidence that participants’ asset plan. also, Lisa K. Meulbroek, Company Stock in Pension allocation choices often are inconsistent Plans: How Costly Is It?, Social Science Research Prior to the 2006 enactment of the Network Abstract 303782 (Mar. 2002) and Krishna with fixed or well behaved risk and PPA, a substantial fraction of DC plan Ramaswamy, Company Stock and Pension Plan return preferences. If participants’ true sponsors made investment advice Diversification, in The Pension Challenge: Risk preferences are in fact fixed or well available to plan participants and Transfers and Retirement Income Security 71, 71– behaved, then observed asset 88 (Olivia S. Mitchell & Kent Smetters eds., 2003). beneficiaries. Today, as the PPA’s allocations, which often appear to shift The economic literature provides some evidence implementation progresses, many more in response to seemingly irrelevant that investing in employer stock increases have begun providing or are gearing up participants’ exposure to equity overall, which factors (or fail to shift in response to to provide such advice. The Department might increase average wealth (see, e.g., Jack L. relevant factors), certainly entail large Vanderhei, The Role of Company Stock in 401(k) bases its estimate for pre-PPA welfare losses. The Department believes Plans, Employee Benefit Research Institute T–133 availability of advice to DC plan good advice might help participants Written Statement for the House Education and participants on reported plan Workforce Committee, Subcommittee on Employer- calibrate their asset allocations to match Employee Relations, Hearing on Enron and Beyond: their true preferences. Enhancing Worker Retirement Security (Feb. 2002), 58 See, e.g., Daniel B. Bergstresser & James M. at http://www.ebri.org/pdf/publications/testimony/ Excess Taxes Poterba, Asset Allocation and Asset Location: t133.pdf). Household Evidence from the Survey of Consumer 55 Following findings reported in Lisa K. It is likely that many households pay Finances, Journal of Public Economics, Volume 88 Meulbroek, Company Stock in Pension Plans: How excess taxes as a result of disconnects 1893, 1893–1915 (2004). Costly Is It?, Social Science Research Network between their investments and current 59 See, e.g., James M. Poterba et al., Asset Location Abstract 303782 (Mar. 2002), this estimate reflects tax strategies. Households saving for for Retirement Savers, in Public Policies and Private losses amounting to 14 percent of the employer Pensions 290, 290–331 (John B. Shoven et al. eds., stock’s value, assuming 10 percent of DC plan assets 2004); John B. Shoven & Clemens Sialm, Asset are held in employer stock, the DC plan is one-half 56 See, e.g., Edwin J. Elton et al., The Adequacy Location in Tax-Deferred and Conventional Savings of total wealth, and the holding period is 10 years. of Investment Choices Offered By 401(k) Plans, Accounts, Journal of Public Economics, Volume 88 For comparison, following findings reported in Social Science Research Network Abstract 567122 (2003); James M. Poterba et al., Asset Location for Krishna Ramaswamy, Company Stock and Pension (Mar. 2004), which finds that menus are frequently Retirement Savers, in Public Policies and Private Plan Diversification, in The Pension Challenge: Risk inadequate, and Ning Tang and Olivia S. Mitchell, Pensions 290, 290–331 (John B. Shoven et al. eds., Transfers and Retirement Income Security 71, 71– The Efficiency of Pension Plan Investment Menus: 2004); Gene Amromin, Portfolio Allocation Choices 88 (Olivia S. Mitchell & Kent Smetters eds., 2003), Investment Choices in Defined Contribution in Taxable and Tax-Deferred Accounts: An the annualized cost of an option to receive the Pension Plans, University of Michigan Retirement Empirical Analysis of Tax-Efficiency, Social higher of the return on a typical company stock or Research Center Working Paper WP 2008–176 (June Science Research Network Abstract 302824 (May the return on a fully diversified equity portfolio 2008), at http://www.mrrc.isr.umich.edu/ 2002); Lorenzo Garlappi & Jennifer C. Huang, Are over a three-year horizon would amount to publications/papers/pdf/wp176.pdf, which finds Stocks Desirable in Tax-Deferred Accounts?, approximately $24 billion, the Department that most menus are efficient. Journal of Public Economics, Volume 90 2257, estimates. This measure probably exaggerates the 57 See, e.g., Laurent E. Calvet et al., Down or Out: 2257- and Robert M. Dammon et al., Optimal Asset loss to participants, however, insofar as it would Assessing the Welfare Costs of Household Location and Allocation with Taxable and Tax- preserve for the participant the potential upside of Investment Mistakes, Harvard Institute of Economic Deferred Investing, The Journal of Finance, Volume a company stock that outperforms the market. Research Discussion Paper No. 2107 (Feb. 2006). LIX, Number 3 999, 999–1037 (2004).

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experiences in 2006.60 The Department TABLE 3—AVAILABILITY OF ADVICE: U.S. workers and retirees said they use assumes that approximately 40 percent DC PLANS OFFERING ADVICE the advice of a financial professional of DC plan sponsors provided access to when making retirement savings and investment advice either on line, by Any advice investment decisions; 40 percent said phone, or in-person in 2006, as outlined Policy context (computer the advice of a financial professional or live) in Table 3 below. The Department was more helpful to them than further assumes that approximately 25 Pre-PPA ...... 40% alternatives.62 However, what is not percent of the participants that are PPA—Low Estimate ...... 56% clear from the survey was how recently offered advice use the offered advice, as PPA—Primary Estimate ...... 63% the participant received the referenced outlined in Table 4 below. In-person PPA—High Estimate ...... 69% advice: in the same survey just 29 advice seems to be offered by most plan percent of participants stated that in the sponsors. On-line advice and, to a lesser Investment advice is also already used past year they obtained investment degree, telephone advice are favored by a substantial fraction of IRA advice from a professional financial participants, the Department believes. A more by large sponsors. Smaller plan adviser who was paid through fees or sponsors appear to offer advice majority of IRA participants that invest commissions.63 generally, and in-person advice in in mutual funds purchase some or all of particular, more frequently than larger their funds via a professional financial plan sponsors. adviser.61 Overall in 2006, 60 percent of

TABLE 4—USE OF ADVICE BY DC PLAN AND IRA PARTICIPANTS

Share of participants advised

Policy context DC Plans IRA Where offered Overall

Pre-PPA ...... 25% 10% 33% PPA—Low Estimate ...... 25% 14% 50% PPA—Primary Estimate ...... 25% 16% 67% PPA—High Estimates ...... 25% 17% 80%

The effect of investment advice than on-line advice, with on-line advice 21 percent said they would implement depends not merely on its availability appealing more to higher-income all of the recommendations they receive but on its use by DC plan and IRA participants.64 In another survey large as long as they trusted the source.65 In participants. Do the participants seek fractions of workers say they would be a subsequent survey, among those advice, and if so do they follow it? very likely (19 percent) or somewhat obtaining investment advice, 36 percent According to one survey, among DC likely (35 percent) to take advantage of say they implemented ‘‘all’’ of the plan participants offered investment advice provided by the company that advice, 58 percent ‘‘some,’’ and just 5 advice, approximately one in four uses manages their employer’s DC plan. Of percent ‘‘none.’’ 66 the offered advice. There is some these, two-thirds said they would The Department’s assumptions evidence that historically in-person implement only those recommendations regarding use of advice are summarized advice has achieved higher use rates that were in line with their own ideas; in Tables 3 and 4 above.67 The

60 This assessment is based on the Department’s basis to estimate the fraction of these beneficiaries 67 The Department’s bases its assumptions on its reading of Hewitt Associates LLC, Survey Findings: that receive true investment advice from such reading of Employee Benefit Research Institute, Hot Topics in Retirement, 2007 (2007); Profit professionals. It is possible that some make their 2007 Retirement Confidence Survey, Wave XVII, Sharing/401(k) Council of America, 50th Annual purchase decisions without receiving any Posted Questionnaire (Jan. 2007); Hewitt Associates Survey of Profit Sharing and 401(k) Plans (2007); recommendation or material guidance from the LLC, Survey Findings: Hot Topics in Retirement, and Deloitte Development LLC, Annual 401(k) professional making the sale. 2007 (2007); Profit Sharing/401(k) Council of Benchmarking Survey, 2005/2006 Edition (2006). In 62 Alternatives including advice of peers, written addition to investment advice, a majority of plan materials, print media, television and radio, America, 50th Annual Survey of Profit Sharing and sponsors also provide one or more other types of seminars, software, on-line information or advice, 401(k) Plans (2007); and Deloitte Development LLC, support to participants’ investment decisions. and retirement benefit statements were all less Annual 401(k) Benchmarking Survey, 2005/2006 61 Eighty-two percent of mutual fund likely to be characterized as ‘‘most helpful.’’ Edition (2006). There are a number of reasons to shareholders who hold funds outside of DC plans 63 See, e.g., Employee Benefit Research Institute, believe that use of advice will be higher among IRA purchase some or all of their funds from a 2007 Retirement Confidence Survey, Wave XVII, beneficiaries than DC plan participants. The professional financial adviser such as a full-service Posted Questionnaire (Jan. 2007). aforementioned survey reports, read together, broker, independent financial planner, bank or 64 See, e.g., Profit Sharing/401(k) Council of generally support this conclusion. In addition, savings institution representative, insurance agent, America, 50th Annual Survey of Profit Sharing and relative to IRA beneficiaries, DC participants may or accountant (see, e.g., Victoria Leonard-Chambers 401(k) Plans (2007); and Julie Agnew, Personalized have less need for advice and/or easier access to & Michael Bogdan, Why Do Mutual Fund Investors Retirement Advice and Managed Accounts: Who Use Professional Financial Advisers?, Investment Uses Them and How Does Advice Affect Behavior alternative forms of support for their investment Company Institute Research Fundamentals, Volume in 401(k) Plans?, Center for Retirement Research decisions. DC plan participants’ choice is usually 16, Number 1 (April 2007)). As families owning Working Paper 2006–9 (2006). confined to a limited menu selected by a plan IRAs outnumber those owning pooled investment 65 See, e.g., Employee Benefit Research Institute, fiduciary, and the menu may include one-stop vehicles outside of retirement accounts (see, e.g., 2007 Retirement Confidence Survey, Wave XVII, alternatives such as target date funds that may Brian K. Bucks et al., Recent Changes in U.S. Posted Questionnaire (Jan. 2007). In practice this mitigate the need for advice. Their plan or employer Family Finances: Evidence from the 2001 and 2004 might translate into a high rate of compliance with may provide general financial and investment Survey of Consumer Finances, Federal Reserve recommendations, if recommendations turn out not education in the form of printed material or to diverge too much from participants’ own ideas. Bulletin 92 A1, A1–A38 (2006)), it is reasonable to seminars. They often make initial investment conclude that a large majority of IRA beneficiaries 66 See, e.g., Employee Benefit Research Institute, decisions (sometimes by default) before who invest in mutual funds purchase them via such 2008 Retirement Confidence Survey, Wave XVIII, professionals. However, the Department has no Posted Questionnaire (Jan. 2008). contributing to the plan so the decisions’ impact Continued

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Department believes it is likely that in Nonetheless, some advice will not be participants. The remaining errors practice a large proportion of followed, and as a result some reflect participant failures to follow participants who receive advice will investment errors will not be corrected. advice. Additionally, for purposes of follow that advice either in whole or in For purposes of this analysis, the this analysis, the Department assumes part. This is especially likely if the Department has assumed that advised that all permissible advice arrangements advice turns out to be broadly in line participants make investment errors at deliver advice of similar quality and with the participants’ own thinking. one-half the rate of unadvised effectiveness.

TABLE 5—NUMBER OF ENTITIES

PPA Pre-PPA Low Primary High estimate estimate estimate

DC: Plans offering (000s) ...... 238 335 372 410 Participants offered (MM) ...... 30 42 46 51 Participants using (MM) ...... 6 9 10 11

IRA: IRAs using (MM) ...... 17 25 34 41

Impact—Benefit billion annually, the Department safeguards and conditions of the final For purposes of this assessment, the estimates. Cumulatively, after rule, to compensate their efforts. It may Department estimates that as a result of implementation of this final regulation, also make such advice available at a the PPA and this final regulation the use of existing and new investment lower total cost to participants. proportion of participants using advice advice by DC plan and IRA participants The general prohibition against will increase.68 As stated above, the will eliminate between $22 billion and transactions wherein fiduciary advisers’ Department has assumed that advised $33 billion worth of investment errors and participants’ interests may conflict participants make investment errors at annually. The Department’s estimates of carries costs. Faced with such bars one-half the rate of unadvised investment errors and reductions from advisers may forgo certain potential participants. The estimates provided in investment advice are summarized in economies of scale in production and the Tables 3 to 5 show three possible Table 2 above. distribution of financial services that impacts for the PPA and this final Costs would derive from more vertical and regulation to reflect the uncertainty horizontal integration.69 If they choose surrounding the availability and use of Compliance with the terms and instead to take advantage of these advice as well as the percentage of condition of the final rule is a condition opportunities and relationships, they errors eliminated by advice: ‘‘low’’ of relief from the prohibited transaction must incur costs to carefully monitor estimates assume that 14 percent of DC provisions of ERISA and the Code. Such and calibrate their relationships and plan participants and half of IRA exemptive relief would allow a compensation arrangements to avoid a beneficiaries will utilize advice which fiduciary adviser to receive prohibited fiduciary conflict, or eliminates 25 percent of investment compensation from providers of structure and monitor their errors, ‘‘primary’’ estimates assume that recommended investments. As such, arrangements to meet the conditions of 16 percent of DC plan participants and this final rule does not include any an applicable prohibited transaction two-thirds of IRA beneficiaries will Federal mandates that will require exemption. utilize advice which eliminates half of expenditures by the private sector per investment errors, and ‘‘high’’ estimates se. Plan sponsors and participants are On the other hand, absent adequate assume that 17 percent of DC plan expected to take advantage of these new protections, conflicts themselves may be participants and 80 percent of IRA opportunities in the marketplace; more costly to participants than a beneficiaries will utilize advice which therefore these plans and participants general prohibition against them. The eliminates 75 percent of investment will shoulder the costs to reap the safeguards and conditions included in errors. associated benefits. this final regulation are calibrated to As summarized in Tables 3 through 5 Nevertheless, participant gains from ensure that conflicts do not compromise above, the PPA and this final regulation investment advice must be weighed the quality of fiduciary advice. will increase the availability of against the cost of that advice. This final The Department therefore expects this investment advice and thereby increase rule is expected to make quality final rule to produce cost savings by the use of investment advice by fiduciary advice available to harnessing economies of scale and by participants. The PPA and this final participants at a lower direct price, reducing compliance burdens. The regulation will reduce investment because advisers will be able to rely on Department is unaware of any available mistakes by between $7 billion and $18 indirect revenue sources, subject to the empirical basis on which to determine

may seem small. Finally, the availability of advice an IRA or when retiring. Finally, the availability of 68 See 74 FR No 164 (Aug. 22, 2008), 74 FR No in connection with the plan is intermediated by the advice to IRA beneficiaries is not intermediated by 12 (Jan. 21, 2009), and 75 FR No 40 (Mar. 2, 2010) plan sponsor and fiduciary. In contrast, IRA an employer—rather IRA beneficiaries interface for background on the analysis contained in the beneficiaries generally have wider choice and are directly with the retail market and will thereby be Department’s Regulatory Impact Analysis. more likely to be without employer-provided more directly affected by the exemptive relief 69 For example, an adviser employed by an asset support for their decisions. Decision points may provided by the PPA and this final regulation. For manager can share the manager’s research instead more often occur when account balances are large, all of these reasons IRA beneficiaries may use of buying or producing such research such as when rolling a large DC plan balance into advice more frequently than DC plan participants. independently.

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whether or by how much costs might be annually, while adviser provided advice billion annually as summarized in Table reduced, however. costs 20 basis points. In connection with 6 below. These costs include the costs, Different types of advice may come an IRA the corresponding assumptions outlined in the Paperwork Reduction with different costs. For example, are 15 and 30 basis points. These Act section below, associated with advice generated by an automated assumptions are reasonable in light of requirements to document and keep computer program may be less costly information available to the Department records, provide disclosures to than advice provided by a personal about the cost of various existing advice participants, hire an independent adviser. For purposes of this analysis arrangements. On this basis the auditor, and obtain certification of the the Department assumed that in the Department estimates the aggregate cost model from an eligible investment context of a DC plan, computer of advice under the final rule to be a expert. generated advice costs 10 basis points range between $1.9 billion and $5.1

TABLE 6—COST OF ADVICE

PPA Pre-PPA Low Mid High estimate estimate estimate

Incremental: Advice cost ($billions) ...... $3.90 $1.90 $3.70 $5.10 Advice cost rate (bps, average) ...... 22.4 22.6 23.0 23.1

Cumulative (combined with policies to the left): Advice cost ($billions) ...... 3.90 5.80 7.60 9.00 Advice cost rate (bps, average) ...... 22.4 22.4 22.7 22.8

Regulatory Alternatives markets. Some commenters explained directed brokerage accounts,’’ or similar that additional specificity would plan arrangements that enable Executive Order 12866 requires an facilitate compliance determinations. participants and beneficiaries to select economically significant regulation to Other commenters described theories investments beyond those designated by include an assessment of the costs and and practices they believed to be the plan. benefits of potentially effective and generally accepted. Under paragraph (b)(4)(i)(F)(2) of the reasonably feasible alternatives to a After carefully considering the planned regulation, and an explanation comments, the Department decided not proposal, a computer does not have to of why the planned regulatory action is to change the provision in the final rule. make recommendations relating to the preferable to the identified potential The Department is concerned that acquisition, holding or sale of the alternatives. In formulating this final attempting to provide additional following: qualifying employer regulation, the Department considered specificity in this area, such as by securities; an investment that allocates several alternative approaches regarding prescribing an acceptable list of theories the invested assets of a participant or computer model design and operation, and practices, may result in significant beneficiary to achieve varying degrees of which are discussed below. For a more unintended consequences. Specific long-term appreciation and capital detailed discussion of these alternatives, requirements might limit advisers’ preservation through equity and fixed see section B.2., above. ability to select or apply the most income exposures, based on a defined Paragraph (b)(4)(i)(A) of the March current or effective investment theories, time horizon or level of risk of the 2010 proposal requires a computer and thereby impede beneficial participant or beneficiary; and an model to be designed and operated to innovations in investment advice and annuity option with respect to which a apply generally accepted investment reduce the economic benefits of the participant or beneficiary may allocate theories that take into account historical statutory exemption. The Department assets toward the purchase of a stream risks and returns of different asset class also believes that the final rule’s of retirement income payments over defined periods of time. The computer model requirements, taken guaranteed by an insurance company. Department solicited comments in the together, are sufficient to safeguard The Department considered retaining proposal regarding whether the against application of investment this provision in the corresponding Department should amend the rule to theories that are not generally accepted. provision of the final rule, paragraph specify generally accepted investment Paragraph (b)(4)(i)(F)(1) of the March (b)(4)(i)(G). However, the Department theories and require their application or 2010 proposal requires a computer has decided to remove qualifying specify certain practices required by model to take into account all such theories. Most commenters ‘‘designated investment options’’ employer securities and asset indicated that they did not believe the available under the plan without giving allocations funds from the list of Department should specifically define inappropriate weight to any investment excepted options. Based on comments or identify generally accepted option. The term ‘‘designated received in response to the proposal, the investment theories or prescribe investment option’’ is defined to mean Department believes that it is feasible to particular practices or computer model any investment option designated by the develop a computer model capable of parameters. They explained that plan into which participants and addressing investments in qualifying economic and investment theories and beneficiaries may direct the investment employer securities, and that plan practices continually evolve over time of assets held in, or contributed to, their participants will significantly benefit in response to changes and individual accounts. The term from this advice. For example, DC plan developments in academic and expert ‘‘designated investment option’’ does participants sometimes concentrate thinking, technology, and financial not include ‘‘brokerage windows,’’ ‘‘self- their assets excessively in stock of their

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employer.70 Participant investments in The Department also decided to (retirement age, life expectancy) and employer securities can undermine remove asset allocation funds from the risk tolerance. diversification and thereby cause list of excepted options. Asset allocation The Department, however, has participants to bear uncompensated funds generally are designed to decided to retain the exception for in- risk. This uncompensated risk comes at maintain a particular asset allocation plan annuity products. It might be a cost.71 According to 2008 Department that takes into account the time horizon challenging for a computer model that is estimates, holding employer stock or risk tolerance of the participant. designed to select the optimal asset instead of a diversified portfolio of Some commenters to the Department’s allocation for a participant’s investments cost DC plan participants 2008 proposed rule opined that it served investments to also incorporate an $3 billion in risk-adjusted value no purpose to include such funds in an option about whether the participant annually.72 Yet, participants often seem investment advice model’s unrelated, should purchase an in-plan annuity and unaware of this uncompensated risk and overlaying asset allocation analysis. how much of the portfolio should be falsely believe that they can gauge how However, the Department’s subsequent dedicated to such a product. Annuities their company stock will perform in the consideration of asset allocation funds differ from other investments across future.73 Good investment advice can has demonstrated that: (1) The asset several dimensions. For example, one benefit participants by promoting allocation and associated risk and return valuable benefit to a lifetime annuity is appropriate diversification 74 and characteristics of different funds that it provides an insurance-like feature combat some of the false perceptions of targeted at similar participants varies of a guaranteed income stream that will participants concerning employer widely; (2) the risk and return last as long as one lives. It is difficult stock.75 preferences of participants vary widely to know, however, how that should be with factors other than the time valued within the context of a computer 70 Mitchell, Olivia S., and Stephen P. Utkus. horizons that are the sole targeting model. Similarly, participants’ October 2002. ‘‘The Role of Company Stock in preferences about annuities may vary Defined Contribution Plans.’’ NBER Working Paper factor for many asset allocation funds; No. W9250. Citing EBRI/ICI data, the authors find (3) participants investing in asset depending on their preferences that, of those participants who are offered company allocation funds sometimes do not regarding bequests. Another factor stock through their 401(k), 48 percent of them hold understand the funds’ risk and return participants must consider is that the over 20 percent of their 401(k) assets in company annuity may lock them in, either by stock and approximately one third of them hold characteristics; and (4) as a result of the over 40 percent of their 401(k) assets in company forgoing, the risk and return preventing them from pulling out their stock. The authors acknowledge that there are characteristics of the asset allocation accumulated value and investing it potential productivity gains attributable to funds participants invest in are elsewhere or by imposing a penalty for employee stock ownership. However, diversifying doing so. Typically other investment assets, on average, decreases wealth volatility. sometimes poorly aligned with the While not explicitly pointed out in this article, the participants’ own risk and return options offer more liquidity. All of these volatility argument is particularly relevant when a preferences. Because investment advice features of annuities mean that it might participant holds a high concentration of one’s own be difficult to design a computer model company stock because company financial distress models will take into account will correspond directly with both lower job designated investment options’ true risk that could produce a recommendation security and decreased financial returns. and return characteristics as well as for a participant regarding the optimal 71 Meulbroek, Lisa. 2002. ‘‘Company Stock in participant characteristics and selection of assets and purchase of Pension Plans: How Costly is it?’’ Harvard Business circumstances beyond time horizons, annuities. School Working Paper 02–058. As an additional approach to ensuring 72 the Department believes that This figure is based upon an estimate from that investment advice is not tainted by Meulbroek (2002) where if 10 percent of DC plan participants will benefit from conflicts of interest, paragraph assets are held in employer stock, the DC plan is investment advice that considers any one-half total wealth, and the holding period is 10 (b)(4)(i)(E)(3) of the March 2010 asset allocation funds that are available years, investors lose out on 14 percent of risk- proposal provides that a computer adjusted value. to them. model must be designed and operated to 73 Benartzi, Shlomo and Richard Thaler. 2007. The Department notes that a provision ‘‘Heuristics and Biases in Retirement Savings added to the final rule, paragraph avoid investment recommendations that Behavior’’ The Journal of Economic Perspectives, (b)(4)(i)(G)(2)(ii), provides that a inappropriately distinguish among Vol. 21, Summer, pp. 81–104. Citing a Boston investment options in a single asset computer model will not fail to satisfy Research Group (2002) study of individuals (most class on the basis of a factor that cannot of whom were highly aware of the Enron scandal), the requirements of paragraph confidently be expected to persist in the half of the respondents said their company stock (b)(4)(i)(G)(1) merely because it does not carries less risk than a money market fund. Another future. study, that included the coauthors, found that only provide a recommendation with respect A number of commenters requested 33 percent of the respondents who own company to an investment option that a that the Department remove paragraph stock realize that it is riskier than a ‘‘diversified participant or beneficiary requests to be fund with many stocks.’’ Employees’ investment (b)(4)(i)(E)(3). Some opined that the test decisions reflect a belief that strong past excluded from consideration in such contained in that provision—which performance by their company means that they recommendations. Therefore, applies on an asset-class by asset-class should invest more in employee stock. Yet, this participants may express a preference basis—lacks sufficient clarity because it seems to have little bearing on future performance. for asset allocation funds to be excluded 74 Mottola, Gary and Stephen Utkus. 2007. ‘‘Red, fails to define the essential term ‘‘asset Yellow, and Green: A Taxonomy of 401(k) Choices’’ from a recommendation. This would be class’’. Some commenters also requested Pension Research Council Working Paper, PRC WP relevant in situations where participants removal of this provision unless the 2007–14. Examining Vanguard’s database of 2.9 do not want to include asset allocation Department clarifies that it would be million participants, the authors found that 17.2 funds in computer model investment percent of participants had invested more than 20 acceptable for a computer model to take percent of their assets in company stock. A subset advice, because such products into account historical performance of 12,000 participants adopted managed account themselves rely on a fund manager to data. According to these commenters, services. The authors were able to compare this maintain a particular asset allocation subset’s behavior before and after adopting the the proposal’s discussion of paragraph services. Before adoption, 11 percent of the taking into account their time horizons (b)(4)(i)(E)(3) and related computer participants had over 20 percent of their portfolio model questions has been construed as in company stock; a year after adoption, only 2 Activity, Vol. 2005, No. 2, pp. 151–198. Participants percent of the participants did. view the offering of the employee stock as a strictly prohibiting, or strongly 75 Choi, James, David Laibson, and Brigitte recommendation to purchase the stock. Loyalty to cautioning against, any consideration of Madrian. 2005. Brookings Papers on Economic one’s company may also be a factor. historical performance data, even if

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considered in conjunction with other Other commenters, however, that provision. That is, fiduciary information. These commenters opined questioned the utility of historical advisers might omit from consideration that a complete disregard of historical performance data beyond estimating factors that would be beneficial to performance data would be inconsistent future performance of an entire asset consider, even when there is a sound with generally accepted investment class. They further noted that, because empirical basis to justify their theories. the regulation permits a fiduciary consideration. The Department believes Additionally, some cautioned that, by adviser to provide investment that the final rule should not discourage limiting consideration to only those recommendations to plan participants consideration of factors whose factors that can confidently be expected when the adviser has an interest in the predictive properties can be to persist in the future, a computer investment options being demonstrated. Accordingly, the model might be limited to recommended, there is the potential that Department has clarified application of distinguishing between investment the computer model might be designed this provision at paragraph (b)(4)(i)(C). options solely on the basis of fees and to favor certain options by giving undue expenses. A commenter noted that, weight to historical performance data. Uncertainty other than fees, it could not identify any They therefore stressed the importance The Department is highly confident in other factor with the necessary of scrutinizing the use of historical its conclusion that investment errors are likelihood of persistence required under performance data and supported the common and often large, producing the proposal. Although commenters inclusion of paragraph (b)(4)(i)(E)(3). generally agreed that fees are an As discussed above, the provision is large avoidable losses (including important consideration, most not intended to prohibit a computer foregone earnings) for participants. It is recognized they should not be the only model from any consideration of an also confident that participants can factor taken into account. investment option’s historical reduce errors substantially by obtaining A number of commenters expressed performance, as some commenters and following good advice. While the concern that this provision of the interpreted. Based on its review of precise magnitude of the errors and proposal, with its focus on historical relevant academic literature, the potential reductions therein are performance data, superior past Department does not believe such a uncertain, there is ample evidence that performance and fees, appeared to prohibition is warranted. Although the that magnitude is large. suggest that it would be impermissible academic literature indicates that there However, the Department is uncertain under any circumstances for a plan is skill in the investment community,76 to what extent advice will reach fiduciary to pursue an active there is considerable disagreement participants and to what extent advice management style, or that a plan amongst academics as to how much that does reach them will reduce errors. fiduciary would bear a very high burden persistent skill fund managers exhibit.77 To illustrate that uncertainty, the of justification. Commenters also stated Without further clarification, a Department conducted sensitivity tests that the Department’s proposal appeared fiduciary adviser might not consider any of how its estimates of the reduction in to demonstrate a clear bias in favor of factors whose persistence is in doubt, investment errors attributable to the passive investment styles over active such as historical performance, but PPA and this final rule would change in styles, which they believe to be instead would consider only factors that response to alternative assumptions premature because it is the subject of are essentially fixed, such as fees and regarding the availability, use, and ongoing debate among investment expenses, solely because she is quality of advice. Table 7 the results of experts. unwilling to risk noncompliance with these tests.78

TABLE 7—UNCERTAINTY IN ESTIMATE OF INVESTMENT ERROR REDUCTION

After PPA/Final Rule: Impact Impact of all Remaining Advice eliminates: Advice reaches: of PPA advice errors

25% of errors ...... 14% of DC and 50% of IRA ...... $7 $21 $107 50% of errors * ...... 16% of DC and 67% of IRA* ...... 13 28 101

76 See e.g., Russ Wermers, ‘‘Mutual Fund Volume LXI, Number 6 (Dec. 2006). The authors Markets,’’ Journal of Political Economy, Volume Performance: An Empirical Decomposition Into find a larger share of fund managers demonstrating 112, pp. 1269–1295 (2004). Stock-Picking Talent, Style, Transaction Costs And significant skill. Fama and French believe this 78 The Department maintains the 2006 baseline Expenses,’’ The Journal of Finance (Aug., 2000). analysis suffers from some of the same selection numbers used in the 2008 Proposal (73 FR 49896 This study finds that fund managers choose stocks biases that industry prospectuses do. (Aug. 22, 2008), at http://webapps.dol.gov/Federal that outperform their relevant benchmark by an See also John Hughes, Jing Liu and Mingshan Register/HtmlDisplay.aspx?DocId=21243& average of 71 basis points per year. However, non- Zhang, ‘‘Overconfidence, Under-Reaction, and AgencyId=8&DocumentType=1). The baseline stock components, expense ratios, and transaction Warren Buffett’s Investments,’’ at http:// costs explain why the returns on these active funds assessment was based on the Department’s reading papers.ssrn.com/sol3/papers.cfm are not as high on average as index funds. of Hewitt Associates LLC, Survey Findings: Hot ?abstract_id=1635061. This study finds that Topics in Retirement, 2007 (2007), at http:// 77 See e.g., Eugene Fama and Kenneth French, mimicking Warren Buffett’s position, or that of ‘‘Luck Versus Skill in the Cross Section of Mutual www.hewittassociates.com/Lib/MBUtil/Asset Fund Returns,’’ Journal of Finance (Sept. 21, 2010), other top performing investment managers, can Retrieval.aspx?guid=CE3EEF86-50E7-4EEC-8C32- at http://www.afajof.org/afa/forthcoming/6311.pdf. generate additional returns. The fact that following 82FD055690A6; Profit Sharing/401(k) Council of This study finds that approximately 10 percent of another fund’s lead can be a credible exercise may America, 50th Annual Survey of Profit Sharing and managers demonstrate higher returns before fees be an argument in favor of looking at prior returns 401(k) Plans (2007); and Deloitte Development LLC, than what random chance would generate. Yet, after of some funds. However, the fact that winning Annual 401(k) Benchmarking Survey, 2005/2006 fees are taken into account, this share declines to strategies do get mimicked is an argument made by Edition (2006), at http://www.google.com/url 1 percent. some that success cannot be indefinitely sustained. ?sa=t&source=web&cd=5&ved=0CDUQFjAE See also Robert Kosowski, Allan Timmermann, Copycats potentially drive up the price of the &url=http%3A%2F%2Fwww.ifebp.org%2Fpdf% Russ Wermers and Hal White, ‘‘Can Mutual Fund underlying assets over time. 2Fresearch%2F2005-06Annual401kSurvey.pdf&ei= ‘Stars’ Really Pick Stocks? New Evidence from a See e.g., Jonathan B. Berk, and Richard C. Green, _76UTYSXMY6y0QHBjZmADA&usg=AFQ Bootstrap Analysis,’’ The Journal of Finance, ‘‘Mutual Fund Flows and Performance in Rational jCNFsUmmwPpFA_EoBDUGyB9uypfFCCQ.

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TABLE 7—UNCERTAINTY IN ESTIMATE OF INVESTMENT ERROR REDUCTION—Continued

After PPA/Final Rule: Impact Impact of all Remaining Advice eliminates: Advice reaches: of PPA advice errors

75% of errors ...... 17% of DC and 80% of IRA ...... 18 33 96 Note: Primary estimates denoted.*

The Department is uncertain about with broader financial advice, which plans. The impact on plans generally the mix of advice and other support may include advice on how much to will be limited to increasing the means arrangements that will compose the contribute to a DC plan. The Department by which they may make advice market, and about the relative currently has no basis to estimate the available to participants, and this effectiveness of alternative investment incidence of such broad advice or its impact will be similar and proportionate advice arrangements or other means of effects, but notes that those effects could for small and large plans. Therefore the supporting participants’ investment be large. The opening of large new Department certifies that the impact on decisions. For example, to what extent markets to a variety of investment small entities will not be significant. will arrangements pursuant to this final advice arrangements to which they were Pursuant to this certification the rule displace alternative arrangements? heretofore closed may affect the Department has refrained from Will advice arrangements operating evolution of investment advice products preparing an Initial Regulatory pursuant to this final rule be more, less, and services and related technologies Flexibility Analysis of this final or equally effective as alternative and their distribution channels and regulation. arrangements? respective market shares. Other possible Notwithstanding this certification, the This analysis has assumed that all indirect effects that the Department Department did separately consider the types of permissible advice currently lacks bases to estimate include impact of this final regulation on arrangements are equally effective at financial market impacts of changes in participants in small plans. reducing investment errors, and that investor behavior and related As noted above, prior to none will increase errors (there will be macroeconomic effects. implementation of the PPA smaller plan no very bad advice). This assumption sponsors offered advice generally, and Regulatory Flexibility Act may not hold, however. The Department in-person advice in particular, more notes that if users of advice are fully The Regulatory Flexibility Act (5 frequently than larger plan sponsors. informed and rational then more cost U.S.C. 601 et seq.) (RFA) imposes The Department believes that exemptive effective arrangements will dominate certain requirements with respect to relief provided by both the PPA and this the market. This final rule establishes Federal rules that are subject to the final regulation will promote wider conditions to ensure that prospective notice and comment requirements of offering of advice by small and large users of advice available pursuant to it section 553(b) of the Administrative plans sponsors alike. Accordingly the will have the opportunity to become Procedure Act (5 U.S.C. 551 et seq.) and Department estimated the impacts on fully informed. are likely to have a significant economic small plans assuming that they The Department is uncertain about impact on a substantial number of small generally will be proportionate to those the potential magnitude of any entities. For purposes of analysis under on large plans. However, because transitional costs associated with this the RFA, the Department proposes to smaller plan sponsors are more likely to final rule. These might include costs continue its usual practice of offer in-person advice, their average cost associated with efforts of prospective considering a small entity to be an for advice and the proportion of fiduciary advisers to adapt their employee benefit plan with fewer than participants using advice may both be business practices to the applicable 100 participants.79 The Department higher. The Department estimates that conditions. They might also include estimates that approximately 100,000 the PPA and this final regulation will transaction costs associated with initial small plans, a significant number, will reduce small DC plan participant implementation of investment voluntarily begin offering investment investment errors respectively by recommendations by newly advised advice to participants as a result of this between $169 million and $299 million participants. final regulation. annually, at a cost of between $38 Another source of uncertainty The primary effect of this final million and $67 million annually. The involves potential indirect downstream regulation will be to reduce estimated impacts on small plans and effects of this final rule. Investment participants’ investment errors. This is their participants are summarized in advice may sometimes come packaged an effect on participants rather than on Table 8 below.

TABLE 8—SMALL DC PLAN PARTICIPANT IMPACTS

PPA Pre-PPA Low Primary High estimate estimate estimate

Dollars advised ($billions) ...... $50 $71 $79 $87 Investment errors ($billions) ...... $7.9 $7.7 $7.7 $7.6

79 EBSA has consulted with the SBA Office of Advocacy concerning use of this participant count standard for RFA purposes. See 13 CFR 121.903(c).

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TABLE 8—SMALL DC PLAN PARTICIPANT IMPACTS—Continued

PPA Pre-PPA Low Primary High estimate estimate estimate

Incremental: Errors reduced by advice ($millions) ...... $416 $169 $234 $299 Advice cost ($millions) ...... $93 $38 $52 $67 Advice cost rate (bps, average) ...... 18 18 18 18 Error reduced per $1 of advice, average ...... $4.49 $4.49 $4.49 $4.49

Cumulative (combined with policies to the left): Errors reduced by advice ($millions) ...... $416 $585 $650 $715 Advice cost ($millions) ...... $93 $130 $145 $159 Advice cost rate (bps, average) ...... 18 18 18 18 Error reduced per $1 of advice, average ...... $4.49 $4.49 $4.49 $4.49

Congressional Review Act the relationship between the national 2014. A copy of the ICR may be This final rule is subject to the government and the States, or on the obtained by contacting the PRA Congressional Review Act provisions of distribution of power and addressee: G. Christopher Cosby, Office the Small Business Regulatory responsibilities among the various of Policy and Research, U.S. Department Enforcement Fairness Act of 1996 levels of government. Section 514 of of Labor, Employee Benefits Security (5 U.S.C. 801 et seq.) and will be ERISA provides, with certain exceptions Administration, 200 Constitution transmitted to the Congress and the specifically enumerated, that the Avenue, NW., Room N–5718, Comptroller General for review. provisions of Titles I and IV of ERISA Washington, DC 20210. Telephone: supersede any and all laws of the States Unfunded Mandates Reform Act (202) 693–8410; Fax: (202) 219–2745. as they relate to any employee benefit These are not toll-free numbers. E-mail: For purposes of the Unfunded plan covered under ERISA. The [email protected]. ICRs submitted to Mandates Reform Act of 1995 (Pub. L. requirements implemented in the rule OMB also are available at reginfo.gov do not alter the fundamental provisions 104–4), as well as Executive Order (http://www.reginfo.gov/public/do/ 12875, the final rule does not include of the statute with respect to employee PRAMain). any Federal mandate that will result in benefit plans, and as such would have expenditures by state, local, or tribal no implications for the States or the In order to use the statutory governments in the aggregate of more relationship or distribution of power exemption to provide investment advice than $100 million, adjusted for between the national government and to participants, fiduciary advisers are inflation, or increase expenditures by the States. required to make disclosures to the private sector of more than $100 participants, authorizing fiduciaries, Paperwork Reduction Act million, adjusted for inflation. and hire an independent auditor to Compliance with the terms and In accordance with the requirements conduct a compliance audit and issue condition of the final rule is a condition of the Paperwork Reduction Act of 1995 an audit report every year. Fiduciary of relief from the prohibited transaction (PRA) (44 U.S.C. 3506(c)(2)), the notice advisers who satisfy the conditions of provisions of ERISA and the Code. Such of proposed rulemaking (NPRM) the exemption based on the provision of exemptive relief would allow a solicited comments on the information computer model-generated investment fiduciary adviser to receive collections included therein. The advice are required to obtain Department also submitted an compensation from providers of certification of the model from an information collection request (ICR) to recommended investments. As such, eligible investment expert. These OMB in accordance with 44 U.S.C. this final rule does not include any paperwork requirements are designed to Federal mandates that will require 3507(d), contemporaneously with the publication of the NPRM, for OMB’s safeguard the interests of participants in expenditures by the private sector per connection with investment advice se. review. Although no public comments were received that specifically covered by the rule. Federalism Statement addressed the paperwork burden The Department calculated the Executive Order 13132 (August 4, associated with the ICR, the Department estimated hour and cost burden of the 1999) outlines fundamental principles welcomes public comments on its ICRs under the final rule using the same of federalism and requires the estimates and any suggestions for methodology that was used in making adherence to specific criteria by federal reducing the paperwork burdens. such estimate in the March 2010 agencies in the process of their In connection with the publication of proposal.80 The Department has made a formulation and implementation of this final rule, the Department minor increase to the estimated number policies that have substantial direct submitted an ICR to OMB for a revised of DC plan sponsors offering advice, the effects on the States, the relationship information collection. An agency may number of DC plan participants utilizing between the national government and not conduct or sponsor, and a person is advice, and the labor hour rates used to the States, or on the distribution of not required to respond to, a collection estimate the hour burden based on more power and responsibilities among the of information unless it displays a various levels of government. This final currently valid OMB control number. 80 75 FR 9360, 9364–65 (Mar. 2, 2010), at http:// rule does not have federalism OMB approved the ICR on October 18, webapps.dol.gov/FederalRegister/Html implications because it has no 2011 under OMB Control Number 1210– Display.aspx?DocId=23559&Agency substantial direct effect on the States, on 0134, which will expire on October 31, Id=8&DocumentType=1.

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current data.81 The Department also has time is similarly assumed to be almost Estimated Total Annual Cost Burden: taken into account a new requirement in $124 per hour, and computer $580,272,000 in the first year; paragraph (b)(8) of the final rule, which programming time is estimated at $72 $430,973,000 for each subsequent year requires fiduciary advisers to provide per hour. (with associated three year annualized written notification to authorizing The Department assigned an hour cost burden of $480,739,000). fiduciaries stating that it: (i) Intends to burden (with associated ‘equivalent List of Subjects in 29 CFR Part 2550 comply with the conditions of the costs’ derived from multiplying the hour statutory exemption under ERISA burden by the estimated employee Employee benefit plans, Exemptions, sections 408(b)(14) and 408(g) and these compensation) and a cost burden (the Fiduciaries, Investments, Pensions, final regulations; (ii) will be audited actual monetary expenses of the entity, Prohibited transactions, Reporting and annually by an independent auditor for i.e. material and postage costs and fees recordkeeping requirements, and compliance with the conditions of the paid to outside entities) to this final Securities. regulation. The total costs of this final exemption and regulations; and, (iii) For the reasons set forth in the regulation are calculated by adding the that the auditor will furnish the preamble, Chapter XXV, subchapter F, mutually exclusive hour burden authorizing fiduciary with a copy of the part 2550 of Title 29 of the Code of equivalent costs and the cost burden. auditor’s findings within 60 days of Federal Regulations is amended as 82 These PRA costs are a subset of the completion of the audit. All other follows: calculations remain the same as in the overall costs of this final regulation. The March 2010 proposed rule. Department estimates that the third- PART 2550—RULES AND The Department made several specific party disclosures, computer model REGULATIONS FOR FIDUCIARY basic assumptions in order to establish certification, and audit requirements for RESPONSIBILITY a reasonable estimate of the paperwork the final statutory exemption will burden of this information collection: require approximately 5.2 million ■ 1. The authority citation for part 2550 • The Department assumes that 80% burden hours (with an associated is revised to read as follows: 83 equivalent cost of approximately $602 of disclosures will be distributed Authority: 29 U.S.C. 1135; and Secretary electronically via means already in million) and a cost burden of approximately $580 million in the first of Labor’s Order No. 6–2009, 74 FR 21524 existence as a usual and customary (May 7, 2009). Secs. 2550.401b–1, business practice and the costs arising year. In each subsequent year the total 2550.408b–1, 2550.408b–19, 2550.408g–1, from electronic distribution will be burden hours are estimated to be and 2550.408g–2 also issued under sec. 102, negligible. approximately 2.8 million hours (with Reorganization Plan No. 4 of 1978, 5 U.S.C. • The Department assumes that an associated equivalent cost of App. Sec. 2550.401c–1 also issued under 29 investment advisory firms will use approximately $314 million) and the U.S.C. 1101. Sections 2550.404c–1 and existing in-house resources to prepare cost burden is estimated at 2550.404c–5 also issued under 29 U.S.C. most disclosures and to maintain the approximately $431 million. 1104. Sec. 2550.407c–3 also issued under 29 U.S.C. 1107. Sec. 2550.404a–2 also issued recordkeeping systems. This assumption These paperwork burden estimates are summarized as follows: under 26 U.S.C. 401 note (sec. 657(c)(2), Pub. does not apply to the computer model L. 107–16, 115 Stat. 38, 136 (2001)). Sec. certification, the audit or the computer Type of Review: Revised Collection. Agency: Employee Benefits Security 2550.408b–1 also issued under 29 U.S.C. program used to generate disclosures for Administration, Department of Labor. 1108(b)(1). Sec. 2550.408b–19 also issued IRA participants. Titles: Final Statutory Exemption for under sec. 611(g)(3), Public Law 109–280, • 120 Stat. 780, 975 (2006). The Department assumes a the Provision of Investment Advice to combination of personnel will perform Participants and Beneficiaries of ■ the information collections with an 2. Add § 2550.408g–1 to read as Participant-Directed Individual Account follows: hourly wage rate for 2011 of Plans and IRAs. approximately $111, including both OMB Control Number: 1210–0134. § 2550.408g–1 Investment advice— wages and benefits, for a financial Affected Public: Business or other for- participants and beneficiaries. manager and approximately $27 for profit. 84 (a) In general. (1) This section clerical personnel. Legal professional Estimated Number of Respondents: provides relief from the prohibitions of 16,000. section 406 of the Employee Retirement 81 The increase in the estimated number of DC Estimated Number of Annual Income Security Act of 1974, as plans offering advice and DC plan participants Responses: 20,684,000. utilizing advice is due to updating the count to amended (ERISA or the Act), and reflect 2008 Form 5500 data, the latest year for Frequency of Response: Initially, section 4975 of the Internal Revenue which Form 5500 data is available. The counts in Annually, Upon Request, when a Code of 1986, as amended (the Code), the 2010 Proposed Rule were based on 2006 Form material change. for certain transactions in connection 5500 data. Estimated Total Annual Hour Burden: 82 with the provision of investment advice The Department estimates that no additional 5,179,000 hours in the first year; hour or cost burden will be associated with this to participants and beneficiaries. This 2,849,000 hours in each subsequent year disclosure, because it will be provided in the section, at paragraph (b), implements (with associated three year annualized normal course of engaging in an eligible investment the statutory exemption set forth at advice engagement. hour burden of 3,626,000). 83 This estimate is derived from Current sections 408(b)(14) and 408(g)(1) of Population Survey October 2003 School Employment Survey (May 2009) and the Bureau of ERISA and sections 4975(d)(17) and Supplement probit equations applied to the Labor Statistics Employment Cost Index (October 4975(f)(8) of the Code. The requirements February 2005 Contingent Worker Supplement. 2010). Clerical wage and benefits estimates are and conditions set forth in this section These equations show that approximately 81 based on metropolitan wage rates for executive apply solely for the relief described in percent of workers aged 19 to 65 had internet access secretaries and administrative assistants. Financial either at home or at work in 2005. The Department manager wage and benefits estimates are based on paragraph (b) of this section and, further assumes that one percent of these metropolitan wage estimates for financial managers. accordingly, no inferences should be participants will elect to receive paper documents Legal professional wage and benefits estimates are drawn with respect to requirements instead of electronic, thus 20 percent of participants based on metropolitan wage rates for lawyers. applicable to the provision of receive disclosures through paper media. Computer programmer wage and benefits estimates 84 Hourly wage estimates are based on data from are based on metropolitan wage rates for investment advice not addressed by this the Bureau of Labor Statistics Occupational professional computer programmers. section.

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(2) Nothing contained in ERISA the participant or beneficiary. A additional information that a plan or a section 408(g)(1), Code section fiduciary adviser shall request such participant or beneficiary may provide; 4975(f)(8), or this regulation imposes an information, but nothing in this (E) Utilize appropriate objective obligation on a plan fiduciary or any paragraph (b)(3)(i)(C) shall require that criteria to provide asset allocation other party to offer, provide or any investment advice take into account portfolios comprised of investment otherwise make available any information requested, but not options available under the plan; investment advice to a participant or furnished by a participant or (F) Avoid investment beneficiary. beneficiary, nor preclude requesting and recommendations that: (3) Nothing contained in ERISA taking into account additional (1) Inappropriately favor investment section 408(g)(1), Code section information that a plan or participant or options offered by the fiduciary adviser 4975(f)(8), or this regulation invalidates beneficiary may provide; or a person with a material affiliation or or otherwise affects prior regulations, (D) No fiduciary adviser (including material contractual relationship with exemptions, interpretive or other any employee, agent, or registered the fiduciary adviser over other guidance issued by the Department of representative) that provides investment investment options, if any, available Labor pertaining to the provision of advice receives from any party under the plan; or investment advice and the (including an affiliate of the fiduciary (2) Inappropriately favor investment circumstances under which such advice adviser), directly or indirectly, any fee options that may generate greater may or may not constitute a prohibited or other compensation (including income for the fiduciary adviser or a transaction under section 406 of ERISA commissions, salary, bonuses, awards, person with a material affiliation or or section 4975 of the Code. promotions, or other things of value) material contractual relationship with (b) Statutory exemption. (1) General. that varies depending on the basis of a the fiduciary adviser; and (G)(1) Except as provided in Sections 408(b)(14) and 408(g)(1) of participant’s or beneficiary’s selection of paragraph (b)(4)(i)(G)(2) of this section, ERISA provide an exemption from the a particular investment option; and take into account all designated prohibitions of section 406 of ERISA for (ii) The requirements of paragraphs investment options, within the meaning transactions described in section (b)(5), (6), (7), (8) and (9) and paragraph of paragraph (c)(1) of this section, 408(b)(14) of ERISA in connection with (d) of this section are met. the provision of investment advice to a available under the plan without giving (4) Arrangements that use computer participant or a beneficiary if the inappropriate weight to any investment models. For purposes of this section, an investment advice is provided by a option. arrangement is an eligible investment fiduciary adviser under an ‘‘eligible (2) A computer model shall not be advice arrangement if the only investment advice arrangement.’’ treated as failing to meet the investment advice provided under the Sections 4975(d)(17) and (f)(8) of the requirements of this paragraph merely arrangement is advice that is generated Code contain parallel provisions to because it does not make by a computer model described in ERISA sections 408(b)(14) and (g)(1). recommendations relating to the (2) Eligible investment advice. For paragraphs (b)(4)(i) and (ii) of this acquisition, holding or sale of an purposes of section 408(g)(1) of ERISA section under an investment advice investment option that: and section 4975(f)(8) of the Code, an program and with respect to which the (i) Constitutes an annuity option with ‘‘eligible investment advice requirements of paragraphs (b)(5), (6), respect to which a participant or arrangement’’ means an arrangement (7), (8) and (9) and paragraph (d) are beneficiary may allocate assets toward that meets either the requirements of met. the purchase of a stream of retirement paragraph (b)(3) of this section or (i) A computer model shall be income payments guaranteed by an paragraph (b)(4) of this section, or both. designed and operated to— insurance company, provided that, (3) Arrangements that use fee leveling. (A) Apply generally accepted contemporaneous with the provision of For purposes of this section, an investment theories that take into investment advice generated by the arrangement is an eligible investment account the historic risks and returns of computer model, the participant or advice arrangement if— different asset classes over defined beneficiary is also furnished a general (i)(A) Any investment advice is based periods of time, although nothing herein description of such options and how on generally accepted investment shall preclude a computer model from they operate; or theories that take into account the applying generally accepted investment (ii) The participant or beneficiary historic risks and returns of different theories that take into account requests to be excluded from asset classes over defined periods of additional considerations; consideration in such time, although nothing herein shall (B) Take into account investment recommendations. preclude any investment advice from management and other fees and (ii) Prior to utilization of the computer being based on generally accepted expenses attendant to the recommended model, the fiduciary adviser shall obtain investment theories that take into investments; a written certification, meeting the account additional considerations; (C) Appropriately weight the factors requirements of paragraph (b)(4)(iv) of (B) Any investment advice takes into used in estimating future returns of this section, from an eligible investment account investment management and investment options; expert, within the meaning of paragraph other fees and expenses attendant to the (D) Request from a participant or (b)(4)(iii) of this section, that the recommended investments; beneficiary and, to the extent furnished, computer model meets the requirements (C) Any investment advice takes into utilize information relating to age, time of paragraph (b)(4)(i) of this section. If, account, to the extent furnished by a horizons (e.g., life expectancy, following certification, a computer plan, participant or beneficiary, retirement age), risk tolerance, current model is modified in a manner that may information relating to age, time investments in designated investment affect its ability to meet the horizons (e.g., life expectancy, options, other assets or sources of requirements of paragraph (b)(4)(i), the retirement age), risk tolerance, current income, and investment preferences; fiduciary adviser shall, prior to investments in designated investment provided, however, that nothing herein utilization of the modified model, options, other assets or sources of shall preclude a computer model from obtain a new certification from an income, and investment preferences of requesting and taking into account eligible investment expert that the

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computer model, as modified, meets the participants and beneficiaries pursuant (4) Sets forth the specific findings of requirements of paragraph (b)(4)(i). to this section must be expressly the auditor regarding compliance of the (iii) The term ‘‘eligible investment authorized by a plan fiduciary (or, in the arrangement with the requirements of expert’’ means a person that, through case of an Individual Retirement this section. employees or otherwise, has the Account (IRA), the IRA beneficiary) (ii) With respect to an arrangement appropriate technical training or other than: The person offering the with an IRA, the fiduciary adviser: experience and proficiency to analyze, arrangement; any person providing (A) Within 30 days following receipt determine and certify, in a manner designated investment options under of the report from the auditor, as consistent with paragraph (b)(4)(iv) of the plan; or any affiliate of either. described in paragraph (b)(6)(i)(B) of this section, whether a computer model Provided, however, that for purposes of this section, shall furnish a copy of the meets the requirements of paragraph the preceding, in the case of an IRA, an report to the IRA beneficiary or make (b)(4)(i) of this section; except that the IRA beneficiary will not be treated as an such report available on its Web site, term ‘‘eligible investment expert’’ does affiliate of a person solely by reason of provided that such beneficiaries are not include any person that: Has any being an employee of such person. provided information, with the material affiliation or material (ii) In the case of an arrangement information required to be disclosed contractual relationship with the pursuant to which investment advice is pursuant to paragraph (b)(7) of this fiduciary adviser, with a person with a provided to participants and section, concerning the purpose of the material affiliation or material beneficiaries of a plan sponsored by the report, and how and where to locate the contractual relationship with the person offering the arrangement or a report applicable to their account; and fiduciary adviser, or with any employee, plan sponsored by an affiliate of such (B) In the event that the report of the agent, or registered representative of the person, the authorization described in auditor identifies noncompliance with the requirements of this section, within foregoing; or develops a computer paragraph (b)(5)(i) of this section may be 30 days following receipt of the report model utilized by the fiduciary adviser provided by the plan sponsor of such from the auditor, shall send a copy of to satisfy this paragraph (b)(4). plan, provided that the person or the report to the Department of Labor at (iv) A certification by an eligible affiliate offers the same arrangement to the following address: Investment investment expert shall— participants and beneficiaries of Advice Exemption Notification, U.S. (A) Be in writing; unaffiliated plans in the ordinary course Department of Labor, Employee Benefits (B) Contain— of its business. Security Administration, Room N–1513, (1) An identification of the (iii) For purposes of the authorization 200 Constitution Ave., NW., methodology or methodologies applied described in paragraph (b)(5)(i) of this Washington, DC 20210, or submit a in determining whether the computer section, a plan sponsor shall not be copy electronically to model meets the requirements of treated as a person providing a [email protected]. paragraph (b)(4)(i) of this section; designated investment option under the (2) An explanation of how the applied (iii) For purposes of this paragraph plan merely because one of the methodology or methodologies (b)(6), an auditor is considered designated investment options of the demonstrated that the computer model independent if it does not have a plan is an option that permits met the requirements of paragraph material affiliation or material investment in securities of the plan (b)(4)(i) of this section; contractual relationship with the person sponsor or an affiliate. (3) A description of any limitations offering the investment advice that were imposed by any person on the (6) Annual audit. (i) The fiduciary arrangement to the plan or with any eligible investment expert’s selection or adviser shall, at least annually, engage designated investment options under application of methodologies for an independent auditor, who has the plan, and does not have any role in determining whether the computer appropriate technical training or the development of the investment model meets the requirements of experience and proficiency, and so advice arrangement, or certification of paragraph (b)(4)(i) of this section; represents in writing to the fiduciary the computer model utilized under the (4) A representation that the adviser, to: arrangement. methodology or methodologies were (A) Conduct an audit of the (iv) For purposes of this paragraph applied by a person or persons with the investment advice arrangements for (b)(6), the auditor shall review sufficient educational background, technical compliance with the requirements of relevant information to formulate an training or experience necessary to this section; and opinion as to whether the investment analyze and determine whether the (B) Within 60 days following advice arrangements, and the advice computer model meets the requirements completion of the audit, issue a written provided pursuant thereto, offered by of paragraph (b)(4)(i); and report to the fiduciary adviser and, the fiduciary adviser during the audit (5) A statement certifying that the except with respect to an arrangement period were in compliance with this eligible investment expert has with an IRA, to each fiduciary who section. Nothing in this paragraph shall determined that the computer model authorized the use of the investment preclude an auditor from using meets the requirements of paragraph advice arrangement, in accordance with information obtained by sampling, as (b)(4)(i) of this section; and paragraph (b)(5) of this section, that— reasonably determined appropriate by (C) Be signed by the eligible (1) Identifies the fiduciary adviser, the auditor, investment advice investment expert. (2) Indicates the type of arrangement arrangements, and the advice pursuant (v) The selection of an eligible (i.e., fee leveling, computer models, or thereto, during the audit period. investment expert as required by this both), (v) The selection of an auditor for section is a fiduciary act governed by (3) If the arrangement uses computer purposes of this paragraph (b)(6) is a section 404(a)(1) of ERISA. models, or both computer models and fiduciary act governed by section (5) Arrangement must be authorized fee leveling, indicates the date of the 404(a)(1) of ERISA. by a plan fiduciary. (i) Except as most recent computer model (7) Disclosure to participants. (i) The provided in paragraph (b)(5)(ii) of this certification, and identifies the eligible fiduciary adviser must provide, without section, the arrangement pursuant to investment expert that provided the charge, to a participant or a beneficiary which investment advice is provided to certification, and before the initial provision of

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investment advice with regard to any use of an appropriately completed (iii) The compensation received by security or other property offered as an model disclosure form will be deemed the fiduciary adviser and affiliates investment option, a written notification to satisfy the requirements of paragraphs thereof in connection with the sale, of: (b)(7)(i) and (ii) of this section with acquisition, or holding of the security or (A) The role of any party that has a respect to such information. other property is reasonable, and material affiliation or material (iii) The notification required under (iv) The terms of the sale, acquisition, contractual relationship with the paragraph (b)(7)(i) of this section may, or holding of the security or other fiduciary adviser in the development of in accordance with 29 CFR 2520.104b– property are at least as favorable to the the investment advice program, and in 1, be provided in written or electronic plan as an arm’s length transaction the selection of investment options form. would be. available under the plan; (iv) With respect to the information (c) Definitions. For purposes of this (B) The past performance and required to be disclosed pursuant to section: historical rates of return of the paragraph (b)(7)(i) of this section, the (1) The term ‘‘designated investment designated investment options available fiduciary adviser shall, at all times option’’ means any investment option under the plan, to the extent that such during the provision of advisory designated by the plan into which information is not otherwise provided; services to the participant or beneficiary participants and beneficiaries may (C) All fees or other compensation pursuant to the arrangement— direct the investment of assets held in, that the fiduciary adviser or any affiliate (A) Maintain accurate, up-to-date or contributed to, their individual thereof is to receive (including information in a form that is consistent accounts. The term ‘‘designated compensation provided by any third with paragraph (b)(7)(ii) of this section, investment option’’ shall not include party) in connection with— (B) Provide, without charge, accurate, ‘‘brokerage windows,’’ ‘‘self-directed (1) The provision of the advice; up-to-date information to the recipient brokerage accounts,’’ or similar plan (2) The sale, acquisition, or holding of of the advice no less frequently than arrangements that enable participants any security or other property pursuant annually, and beneficiaries to select investments to such advice; or (C) Provide, without charge, accurate beyond those designated by the plan. (3) Any rollover or other distribution information to the recipient of the The term ‘‘designated investment of plan assets or the investment of advice upon request of the recipient, option’’ has the same meaning as the distributed assets in any security or and term ‘‘designated investment other property pursuant to such advice; (D) Provide, without charge, to the alternative’’ as defined in 29 CFR (D) Any material affiliation or recipient of the advice any material 2550.404a–5(h). material contractual relationship of the change to the information described in (2)(i) The term ‘‘fiduciary adviser’’ fiduciary adviser or affiliates thereof in paragraph (b)(7)(i) at a time reasonably means, with respect to a plan, a person the security or other property; contemporaneous to the change in who is a fiduciary of the plan by reason (E) The manner, and under what information. of the provision of investment advice circumstances, any participant or (8) Disclosure to authorizing referred to in section 3(21)(A)(ii) of beneficiary information provided under fiduciary. The fiduciary adviser shall, in ERISA by the person to the participant the arrangement will be used or connection with any authorization or beneficiary of the plan and who is— disclosed; described in paragraph (b)(5)(i) of this (A) Registered as an investment (F) The types of services provided by section, provide the authorizing adviser under the Investment Advisers the fiduciary adviser in connection with fiduciary with a written notice Act of 1940 (15 U.S.C. 80b–1 et seq.) or the provision of investment advice by informing the fiduciary that: under the laws of the State in which the the fiduciary adviser; (i) The fiduciary adviser intends to fiduciary maintains its principal office (G) The adviser is acting as a fiduciary comply with the conditions of the and place of business, of the plan in connection with the statutory exemption for investment (B) A bank or similar financial provision of the advice; and advice under section 408(b)(14) and (g) institution referred to in section (H) That a recipient of the advice may of the Employee Retirement Income 408(b)(4) of ERISA or a savings separately arrange for the provision of Security Act and this section; association (as defined in section 3(b)(1) advice by another adviser that could (ii) The fiduciary adviser’s of the Federal Deposit Insurance Act (12 have no material affiliation with and arrangement will be audited annually by U.S.C. 1813(b)(1)), but only if the advice receive no fees or other compensation in an independent auditor for compliance is provided through a trust department connection with the security or other with the requirements of the statutory of the bank or similar financial property. exemption and related regulations; and institution or savings association which (ii)(A) The notification required under (iii) The auditor will furnish the is subject to periodic examination and paragraph (b)(7)(i) of this section must authorizing fiduciary a copy of that review by Federal or State banking be written in a clear and conspicuous auditor’s findings within 60 days of its authorities, manner and in a manner calculated to completion of the audit. (C) An insurance company qualified be understood by the average plan (9) Other conditions. The to do business under the laws of a State, participant and must be sufficiently requirements of this paragraph are met (D) A person registered as a broker or accurate and comprehensive to if— dealer under the Securities Exchange reasonably apprise such participants (i) The fiduciary adviser provides Act of 1934 (15 U.S.C. 78a et seq.), and beneficiaries of the information appropriate disclosure, in connection (E) An affiliate of a person described required to be provided in the with the sale, acquisition, or holding of in paragraphs (c)(2)(i)(A) through (D), or notification. the security or other property, in (F) An employee, agent, or registered (B) The appendix to this section accordance with all applicable representative of a person described in contains a model disclosure form that securities laws, paragraphs (c)(2)(i)(A) through (E) of may be used to provide notification of (ii) Any sale, acquisition, or holding this section who satisfies the the information described in paragraph of a security or other property occurs requirements of applicable insurance, (b)(7)(i)(C) of this section. Use of the solely at the direction of the recipient of banking, and securities laws relating to model form is not mandatory. However, the advice, the provision of advice.

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(ii) Except as provided under 29 CFR (C) Any person 5 percent or more of apply to transactions described in 2550.408g–2, a fiduciary adviser whose interests are directly or indirectly paragraph (b) of this section occurring includes any person who develops the owned, controlled, or held, by such on or after December 27, 2011. computer model, or markets the other person. Appendix to § 2550.408g–1 computer model or investment advice (ii) For purposes of paragraph (c)(6)(i) program, utilized in satisfaction of of this section, ‘‘interest’’ means with Fiduciary Adviser Disclosure paragraph (b)(4) of this section. respect to an entity— This document contains important (3) A ‘‘registered representative’’ of (A) The combined voting power of all information about [enter name of Fiduciary another entity means a person described classes of stock entitled to vote or the Adviser] and how it is compensated for the in section 3(a)(18) of the Securities total value of the shares of all classes of investment advice provided to you. You Exchange Act of 1934 (15 U.S.C. stock of the entity if the entity is a should carefully consider this information in 78c(a)(18)) (substituting the entity for corporation; your evaluation of that advice. the broker or dealer referred to in such (B) The capital interest or the profits [enter name of Fiduciary Adviser] has been selected to provide investment advisory section) or a person described in section interest of the entity if the entity is a partnership; or services for the [enter name of Plan]. [enter 202(a)(17) of the Investment Advisers name of Fiduciary Adviser] will be providing Act of 1940 (15 U.S.C. 80b–2(a)(17)) (C) The beneficial interest of the these services as a fiduciary under the (substituting the entity for the entity if the entity is a trust or Employee Retirement Income Security Act investment adviser referred to in such unincorporated enterprise. (ERISA). [enter name of Fiduciary Adviser], section). (7) Persons have a ‘‘material therefore, must act prudently and with only (4) ‘‘Individual Retirement Account’’ contractual relationship’’ if payments your interest in mind when providing you or ‘‘IRA’’ means— made by one person to the other person recommendations on how to invest your (i) An individual retirement account pursuant to contracts or agreements retirement assets. described in section 408(a) of the Code; between the persons exceed 10 percent Compensation of the Fiduciary Adviser and (ii) An individual retirement annuity of the gross revenue, on an annual basis, Related Parties described in section 408(b) of the Code; of such other person. [enter name of Fiduciary Adviser] (is/is (iii) An Archer MSA described in (8) ‘‘Control’’ means the power to not) compensated by the plan for the advice section 220(d) of the Code; exercise a controlling influence over the it provides. (if compensated by the plan, (iv) A health savings account management or policies of a person explain what and how compensation is described in section 223(d) of the Code; other than an individual. charged (e.g., asset-based fee, flat fee, per (v) A Coverdell education savings (d) Retention of records. The fiduciary advice)). (If applicable, [enter name of account described in section 530 of the adviser must maintain, for a period of Fiduciary Adviser] is not compensated on the Code; not less than 6 years after the provision basis of the investment(s) selected by you.) (vi) A trust, plan, account, or annuity of investment advice under this section Affiliates of [enter name of Fiduciary Adviser] (if applicable enter, and other which, at any time, has been determined any records necessary for determining whether the applicable requirements of parties with whom [enter name of Fiduciary by the Secretary of the Treasury to be Adviser] is related or has a material financial described in any of paragraphs (c)(4)(i) this section have been met. A relationship) also will be providing services through (v) of this section; transaction prohibited under section for which they will be compensated. These (vii) A ‘‘simplified employee 406 of ERISA shall not be considered to services include: [enter description of pension’’ described in section 408(k) of have occurred solely because the services, e.g., investment management, the Code; or records are lost or destroyed prior to the transfer agent, custodial, and shareholder (viii) A ‘‘simple retirement account’’ end of the 6-year period due to services for some/all the investment funds described in section 408(p) of the Code. circumstances beyond the control of the available under the plan.] (5) An ‘‘affiliate’’ of another person fiduciary adviser. When [enter name of Fiduciary Adviser] recommends that you invest your assets in an means— (e) Noncompliance. (1) The relief from the prohibited transaction provisions of investment fund of its own or one of its (i) Any person directly or indirectly affiliates and you follow that advice, [enter owning, controlling, or holding with section 406 of ERISA and the sanctions name of Fiduciary Adviser] or that affiliate power to vote, 5 percent or more of the resulting from the application of section will receive compensation from the outstanding voting securities of such 4975 of the Code described in paragraph investment fund based on the amount you other person; (b) of this section shall not apply to any invest. The amounts that will be paid by you (ii) Any person 5 percent or more of transaction described in such will vary depending on the particular fund in whose outstanding voting securities are paragraphs in connection with the which you invest your assets and may range directly or indirectly owned, controlled, provision of investment advice to an from l% to l%. Specific information or held with power to vote, by such individual participant or beneficiary concerning the fees and other charges of each with respect to which the applicable investment fund is available from [enter other person; source, such as: your plan administrator, (iii) Any person directly or indirectly conditions of this section have not been investment fund provider (possibly with controlling, controlled by, or under satisfied. Internet Web site address)]. This information common control with, such other (2) In the case of a pattern or practice should be reviewed carefully before you person; and of noncompliance with any of the make an investment decision. (iv) Any officer, director, partner, applicable conditions of this section, the (if applicable enter, [enter name of copartner, or employee of such other relief described in paragraph (b) of this Fiduciary Adviser] or affiliates of [enter person. section shall not apply to any name of Fiduciary Adviser] also receive (6)(i) A person with a ‘‘material transaction in connection with the compensation from non-affiliated investment affiliation’’ with another person provision of investment advice provided funds as a result of investments you make as by the fiduciary adviser during the a result of recommendations of [enter name means— of Fiduciary Adviser]. The amount of this (A) Any affiliate of the other person; period over which the pattern or compensation also may vary depending on (B) Any person directly or indirectly practice extended. the particular fund in which you invest. This owning, controlling, or holding, 5 (f) Effective date and applicability compensation may range from l% to l%. percent or more of the interests of such date. This section shall be effective Specific information concerning the fees and other person; and December 27, 2011. This section shall other charges of each investment fund is

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available from [enter source, such as: your the investment options available under the 4975(f)(8)(J)(i) of the Internal Revenue plan administrator, investment fund provider plan (has/has not) been provided to you by Code, as amended (the Code), contains (possibly with Internet Web site address)]. [enter source, such as: your plan a parallel provision to ERISA section This information should be reviewed administrator, investment fund provider]. (if 408(g)(11)(A) that applies for purposes carefully before you make an investment applicable enter, If not provided to you, the decision. information is attached to this document.) of Code sections 4975(d)(17) and (if applicable enter, In addition to the For options with returns that vary over 4975(f)(8). This section sets forth above, [enter name of Fiduciary Adviser] or time, past performance does not guarantee requirements that must be satisfied in affiliates of [enter name of Fiduciary Adviser] how your investment in the option will order for one such fiduciary adviser to also receive other fees or compensation, such perform in the future; your investment in elect to be treated as a fiduciary with as commissions, in connection with the sale, these options could lose money. respect to a plan under an eligible acquisition or holding of investments Parties Participating in Development of investment advice arrangement. selected by you as a result of (b)(1) If an election meets the recommendations of [enter name of Advice Program or Selection of Investment Fiduciary Adviser]. These amounts are: Options requirements in paragraph (b)(2) of this [enter description of all other fees or Name, and describe role of, affiliates or section, then the person identified in compensation to be received in connection other parties with whom the fiduciary adviser the election shall be the sole fiduciary with sale, acquisition or holding of has a material affiliation or contractual adviser treated as a fiduciary by reason investments]. This information should be relationship that participated in the of developing or marketing the reviewed carefully before you make an development of the investment advice computer model, or marketing the investment decision. program (if this is an arrangement that uses investment advice program, used in an (if applicable enter, When [enter name of computer models) or the selection of eligible investment advice arrangement. Fiduciary Adviser] recommends that you investment options available under the plan. take a rollover or other distribution of assets (2) An election satisfies the from the plan, or recommends how those Use of Personal Information requirements of this paragraph (b) with assets should subsequently be invested, Include a brief explanation of the following— respect to an eligible investment advice [enter name of Fiduciary Adviser] or What personal information will be collected; arrangement if the election is in writing affiliates of [enter name of Fiduciary Adviser] How the information will be used; Parties and such writing— will receive additional fees or compensation. with whom information will be shared; How (i) Identifies the investment advice These amounts are: [enter description of all the information will be protected; and When arrangement, and the person offering the other fees or compensation to be received in and how notice of the Fiduciary Adviser’s connection with any rollover or other arrangement, with respect to which the privacy statement will be available to election is to be effective; distribution of plan assets or the investment participants and beneficiaries. of distributed assets]. This information (ii) Identifies a person who— should be reviewed carefully before you Should you have any questions about (A) Is described in any of 29 CFR make a decision to take a distribution. [enter name of Fiduciary Adviser] or the 2550.408g–1(c)(2)(i)(A) through (E), information contained in this document, you Consider Impact of Compensation on Advice (B) Develops the computer model, or may contact [enter name of contact person markets the computer model or The fees and other compensation that for fiduciary adviser, telephone number, [enter name of Fiduciary Adviser] and its address]. investment advice program, utilized in affiliates receive on account of assets in satisfaction of 29 CFR 2550.408g–1(b)(4) [enter name of Fiduciary Adviser] (enter if ■ 3. Add § 2550.408g–2 to read as with respect to the arrangement, and applicable, and non-[enter name of Fiduciary follows: (C) Acknowledges that it elects to be Adviser]) investment funds are a significant treated as the only fiduciary, and source of revenue for the [enter name of § 2550.408g–2 Investment advice— fiduciary election. fiduciary adviser, by reason of Fiduciary Adviser] and its affiliates. You developing such computer model, or (a) General. Section 408(g)(11)(A) of should carefully consider the impact of any marketing such computer model or such fees and compensation in your the Employee Retirement Income investment advice program; evaluation of the investment advice that Security Act, as amended (ERISA), (iii) Is signed by the person identified [enter name of Fiduciary Adviser] provides provides that a person who develops a in paragraph (b)(2)(ii) of this section; to you. In this regard, you may arrange for computer model or who markets a the provision of advice by another adviser computer model or investment advice (iv) Is furnished to the person who that may have no material affiliation with or program used in an ‘‘eligible investment authorized the arrangement, in receive no compensation in connection with accordance with 29 CFR 2550.408g– the investment funds or products offered advice arrangement’’ shall be treated as a fiduciary of a plan by reason of the 1(b)(5); and under the plan. This type of advice is/is not (v) Is maintained in accordance with available through your plan. provision of investment advice referred to in ERISA section 3(21)(A)(ii) to the 29 CFR 2550.408g–1(d). Investment Returns plan participant or beneficiary, and Signed at Washington, DC, this 5th day of While understanding investment-related shall be treated as a ‘‘fiduciary adviser’’ October 2011. fees and expenses is important in making for purposes of ERISA sections Phyllis C. Borzi, informed investment decisions, it is also important to consider additional information 408(b)(14) and 408(g), except that the Assistant Secretary, Employee Benefits about your investment options, such as Secretary of Labor may prescribe rules Security Administration, Department of performance, investment strategies and risks. under which only one fiduciary adviser Labor. Specific information related to the past may elect to be treated as a fiduciary [FR Doc. 2011–26261 Filed 10–24–11; 8:45 am] performance and historical rates of return of with respect to the plan. Section BILLING CODE 4510–29–P

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Reader Aids Federal Register Vol. 76, No. 206 Tuesday, October 25, 2011

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER

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. Presidential Documents 3 CFR 985...... 61933 Executive orders and proclamations 741–6000 Proposed Rules: Proclamations: The United States Government Manual 741–6000 319 ...... 65976, 65985, 65988 8723...... 62283 331...... 61228, 62312 Other Services 8724...... 62285 810...... 61287 Electronic and on-line services (voice) 741–6020 8725...... 62287 999...... 65411 Privacy Act Compilation 741–6064 8726...... 62289 1435...... 64839 Public Laws Update Service (numbers, dates, etc.) 741–6043 8727...... 62291 1700...... 63846 TTY for the deaf-and-hard-of-hearing 741–6086 8728...... 62293 8729...... 62295 8 CFR 8730...... 63529 ELECTRONIC RESEARCH Proposed Rules: 8731...... 63531 100...... 61622 World Wide Web 8732...... 63803 216...... 61288 Full text of the daily Federal Register, CFR and other publications 8733...... 63805 245...... 61288 is located at: www.fdsys.gov. 8734...... 63807 Federal Register information and research tools, including Public 8735...... 63809 9 CFR Inspection List, indexes, and links to GPO Access are located at: 8736...... 63999 56...... 65935 www.ofr.gov. 8737...... 65095 77...... 61251, 61253 E-mail 8738...... 65097 78...... 65935 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 8739...... 65099 Proposed Rules: an open e-mail service that provides subscribers with a digital Executive Orders: 71...... 62313, 63210 form of the Federal Register Table of Contents. The digital form 13585...... 62281 77...... 62313, 63210 of the Federal Register Table of Contents includes HTML and 13586...... 63533 78...... 62313, 63210 PDF links to the full text of each document. 13587...... 63811 90...... 62313, 63210 To join or leave, go to http://listserv.access.gpo.gov and select Administrative Orders: 121...... 61228, 62312 Online mailing list archives, FEDREGTOC-L, Join or leave the list Memorandums: (or change settings); then follow the instructions. Memorandum of 10 CFR PENS (Public Law Electronic Notification Service) is an e-mail September 28, 50...... 63541 service that notifies subscribers of recently enacted laws. 2011 ...... 61247 52...... 63541 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Presidential 429...... 65362 and select Join or leave the list (or change settings); then follow Determination No. 431...... 65362 the instructions. 2011–17 of 1021...... 63764 FEDREGTOC-L and PENS are mailing lists only. We cannot September 30, respond to specific inquiries. 2011 ...... 62597 Proposed Rules: 26...... 61625 Reference questions. Send questions and comments about the Presidential 50...... 63565 Federal Register system to: [email protected] Determination No. 430 ...... 61999, 62644, 63211, The Federal Register staff cannot interpret specific documents or 2011–18 of 65616, 65631, 65633 regulations. September 30, 431...... 61288, 63566 2011 ...... 62599 Reminders. Effective January 1, 2009, the Reminders, including 810...... 65634 Rules Going Into Effect and Comments Due Next Week, no longer Presidential appear in the Reader Aids section of the Federal Register. This Determination No. 11 CFR information can be found online at http://www.regulations.gov. 2012–01 of October 4, 2011 ...... 65927 104...... 61254 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 109...... 61254 longer appears in the Federal Register. This information can be Notices: found online at http://bookstore.gpo.gov/. Notice of October 19, Proposed Rules: 2011 ...... 65355 110...... 63567 111...... 63570 FEDERAL REGISTER PAGES AND DATE, OCTOBER 5 CFR 12 CFR 61033–61248...... 3 65927–66168...... 25 1201...... 63537 61249–61554...... 4 Proposed Rules: 309...... 63817 61555–61932...... 5 Ch. XXXVI ...... 63206 310...... 63817 61933–62280...... 6 Proposed Rules: 62281–62596...... 7 6 CFR 204...... 64250 62597–63148...... 11 Proposed Rules: 210...... 64259 63149–63536...... 12 31...... 62311 1310...... 64264 63537–63816...... 13 13 CFR 63817–64000...... 14 7 CFR 64001–64228...... 17 6...... 63538 108...... 63542 64229–64780...... 18 52...... 64001 120...... 63151, 63542 64781–65094...... 19 319...... 63149, 65933 123...... 63542 65095–65356...... 20 906...... 61249 125...... 63542 65357–65608...... 21 930...... 65357 Proposed Rules: 65609–65926...... 24 953...... 65360 121 ...... 61626, 62313, 63216,

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63510 20 CFR 32 CFR 97...... 63251, 63860 124...... 62313 404...... 65107, 65366 211...... 65112 98...... 61293 125...... 61626, 62313 408...... 65107 1902...... 62630 112...... 64296 126...... 62313 416...... 65107, 65366 1909...... 64237 122...... 65431 127...... 62313 422...... 65107 174...... 61647 33 CFR 180...... 61647 14 CFR Proposed Rules: 257...... 63252 21...... 64229 404...... 66006 100...... 62298, 63837 117 ...... 63839, 63840, 64009, 261...... 63252 23...... 65101 264...... 63252 21 CFR 65118, 65120, 65375 25 ...... 62603, 63818, 63822, 265...... 63252 Ch. I ...... 61565 165 ...... 61259, 61261, 61263, 63823, 65103, 65105 268...... 63252 165...... 64810 61947, 61950, 62301, 63199, 39 ...... 61033, 61036, 61255, 271...... 63252 558...... 65109 63200, 63202, 63547, 63841, 61555, 61558, 61559, 61561, 302...... 63252 64818, 64820, 65376, 65378, 62605, 63156, 63159, 63161, 1300...... 64813 721...... 65580 65380, 65609, 65963 63163, 63167, 63169, 63172, 1301...... 61563 799...... 65580 63177, 64001, 64003, 64781, 1304...... 64813 334...... 62631 64785, 64788, 64791, 64793 1306...... 64813 Proposed Rules: 41 CFR 64795, 64798, 64801, 65936, 1308...... 65371 100...... 63239 301–11...... 63844 65938, 65941 1309...... 61563 117...... 63858 61...... 63183 1311...... 64813 334...... 62692 42 CFR 71 ...... 61257, 61258, 64233, Proposed Rules: 110...... 62306 36 CFR 64234, 64235, 64236, 65106, 316...... 64868 416...... 65886 65944, 65945 870...... 64224 7...... 61266 Proposed Rules: 73...... 64003 1308...... 65424 230...... 65121 5...... 61294 97 ...... 61038, 61040, 64005, 1258...... 62632 25 CFR 71...... 63891 64006, 65951 Proposed Rules: 73...... 61206 Proposed Rules: Proposed Rules: 212...... 62694 417...... 63018 21...... 61999 514...... 62684 214...... 62694 422...... 63018 25...... 63851 523...... 63236 215...... 62694 423...... 63018 39 ...... 61633, 61638, 61641, 571...... 63237 218...... 62694 Ch. IV...... 65909 222...... 62694 61643, 61645, 62321, 62649, 26 CFR 482...... 65891 62653, 62656, 62658, 62661, 228...... 62694 483...... 63018 62663, 62667, 62669, 62671, 1 ...... 61946, 64816, 65110 241...... 62694 485...... 65891 62673, 63229, 63571, 64038, 301...... 62607 251...... 62694 64283, 64285, 64287, 64289, 602...... 61946, 61947 254...... 62694 44 CFR 64291, 64293, 64844, 64847, Proposed Rules: 292...... 62694 64...... 61954 64849, 64851, 64854, 64857, 1 ...... 62327, 62684, 63574, 67...... 61279 38 CFR 65136, 65419, 65421, 65991, 64879, 65138, 65634, 66011, Proposed Rules: 65995, 65997 66012 1...... 65133 67 ...... 61070, 61295, 61649, 43...... 64859 62006, 62329 27 CFR 39 CFR 71 ...... 63235, 64041, 64295 206...... 61070 Proposed Rules: 122...... 61052 15 CFR 9...... 63852 Proposed Rules: 46 CFR 744...... 63184 28 CFR 20...... 65639 108...... 62962 922...... 63824 111...... 62000, 65640 117...... 62962 Proposed Rules: 104...... 65112 133...... 62962 922...... 65566 Proposed Rules: 40 CFR 160...... 62962 524...... 65428 2...... 64010 164...... 62962 16 CFR 9...... 61566 180...... 62962 29 CFR 2...... 63833 52 ...... 61054, 61057, 62635, 199...... 62962 1450...... 62605 104...... 63188 62640, 63549, 64015, 64017, Proposed Rules: Proposed Rules: 500–899...... 64237 64020, 64237, 64240, 64823, 160...... 62714 Ch. II...... 62678, 64865 1952...... 63188, 63190 64825 530...... 63581 1700...... 64042 2550...... 66136 80...... 65382 531...... 63581 4022...... 63836 81...... 64825 17 CFR Proposed Rules: 82...... 61269 47 CFR 12...... 63187 570...... 61289 93...... 63554 Ch. I ...... 62309 Proposed Rules: 579...... 61289 112...... 64245 1...... 65965 Ch. 1 ...... 65999 180...... 61587, 61592 20...... 63561 30 CFR 229...... 63573 271...... 62303 32...... 61279 240...... 65784 Ch. II ...... 64432 372...... 64022 52...... 61279 249...... 63573, 65784 Ch. V...... 64432 721...... 61566 61...... 61279, 61956 Proposed Rules: 799...... 65385 64 ...... 61279, 61956, 63561, 19 CFR 75...... 63238 Proposed Rules: 65965 10...... 65365 915...... 64043 2...... 64055 69...... 61279 24...... 65365 926...... 64045, 64047 9...... 65431 73...... 62642 162...... 65365, 65953 938...... 64048 51...... 64059 101...... 65970 163...... 65365, 65953 52 ...... 61062, 61069, 61291, Proposed Rules: 31 CFR 178...... 65365 62002, 62004, 63251, 63574, 1 ...... 61295, 63257, 65472 201...... 61937 1...... 62297 63859, 63860, 64065, 64186, 15...... 61655 206...... 61937 31...... 61046 64880, 64881, 65458, 66013 25...... 65472 207...... 61937 538...... 63191, 63197 60 ...... 63878, 65138, 65653 54...... 64882 210...... 61937, 64803 560...... 63191, 63197 63...... 65138 73...... 62330 351...... 61042 1060...... 62607 81...... 65458 Proposed Rules: Proposed Rules: 82...... 65139 48 CFR Ch. II ...... 66004 1010...... 64049 93...... 63575 212...... 61279

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247...... 61279 49 CFR 50 CFR Proposed Rules: 17 ...... 61298, 61307, 61321, 252...... 61279, 61282 18...... 61597 17 ...... 61599, 61956, 62722 61330, 61482, 61532, 61782, Proposed Rules: 19...... 61597 23...... 61978 61826, 61856, 61896, 62016, 24...... 63896 523...... 65971 226...... 65324 62165, 62213, 62259, 62504, 52...... 63896 535...... 65971 600...... 61985 62740, 62900, 62928, 63094, 211...... 64885 541...... 65610 622 ...... 61284, 61285, 62309, 63360, 63420, 63444, 63480, 215...... 61296, 64297 Proposed Rules: 63563, 64248 63720, 64996, 66018 225...... 61296, 64297 236...... 63849 648 ...... 61059, 61060, 61061, 622 ...... 65324, 65662, 66021 252 ...... 61296, 64297, 64885 580...... 65485 61995, 62642, 65971 635...... 62331, 65673 9903...... 61660 Ch. X...... 63276 679 ...... 61996, 63204, 63564, 648...... 61661 1241...... 63582 65972, 65973, 65975 660...... 65155, 65673

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