Vol. 77 Friday, No. 23 February 3, 2012 Pages 5373–5680

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Vol. 77 Friday, No. 23 February 3, 2012

Pages 5373–5680

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 77, No. 23

Friday, February 3, 2012

Agricultural Marketing Service Bureau of Safety and Environmental Enforcement RULES NOTICES Marketing Orders: Agency Information Collection Activities; Proposals, Handling of Spearmint Oil Produced in Far West; Submissions, and Approvals: Revision of Salable Quantity and Allotment Oil, Gas, and Sulphur Operations in the Outer Percentage, etc., 5385–5386 Continental Shelf, 5561–5563 Revision of Cotton Futures Classification Procedures, 5379– 5381 Centers for Disease Control and Prevention PROPOSED RULES NOTICES National Organic Program, Draft Guidance: Agency Information Collection Activities; Proposals, Accredited Certifying Agents, Certified Operations, and Submissions, and Approvals, 5519–5520 Non-Certified Handlers of Certified Organic Products, 5415–5416 Coast Guard Agriculture Department RULES See Agricultural Marketing Service Drawbridge Operations: See Animal and Plant Health Inspection Service Upper Mississippi River, Rock Island, IL, 5398 See Food Safety and Inspection Service Safety Zones: Atlantic Intracoastal Waterway, Vicinity of Marine Corps Alcohol, Tobacco, Firearms, and Explosives Bureau Base, Camp Lejeune, NC, 5398–5400 PROPOSED RULES PROPOSED RULES Federal Firearms License Proceedings – Hearings, 5460– Safety Zones: 5463 Annually Recurring Marine Events in Coast Guard Southeastern New England Captain of the Port Zone, Animal and Plant Health Inspection Service 5463–5470 RULES Plum Pox Compensation, 5381–5385 Commerce Department NOTICES See Industry and Security Bureau Agency Information Collection Activities; Proposals, See International Trade Administration Submissions, and Approvals: See National Institute of Standards and Technology Importation of Animal and Poultry Products (Milk and See National Oceanic and Atmospheric Administration Eggs) Into the U.S., 5480–5481 See National Telecommunications and Information Special Need Requests Under the Plant Protection Act, Administration 5481 Commission of Fine Arts Antitrust Division NOTICES NOTICES Meetings: National Cooperative Research and Production Act of 1993: Commission of Fine Arts, 5495 Institute of Electrical and Electronics Engineers, 5573 Portland Cement Association, 5573 Proposed Final Judgments: Committee for Purchase From People Who Are Blind or U.S. v. Grupo Bimbo, S.A.B. de C. V., et al., 5574–5576 Severely Disabled NOTICES Blind or Severely Disabled, Committee for Purchase From Procurement List; Proposed Additions and Deletions, 5495– People Who Are 5496 See Committee for Purchase From People Who Are Blind or Severely Disabled Consumer Product Safety Commission NOTICES Bureau of Ocean Energy Management Meetings; Sunshine Act, 5496 NOTICES Commercial Lease of Submerged Lands for Renewable Corporation for National and Community Service Energy Development on the Outer Continental Shelf, NOTICES 5529–5545 Agency Information Collection Activities; Proposals, Commercial Leasing for Wind Power Development on the Submissions, and Approvals, 5496–5498 Outer Continental Shelf Offshore Virginia, 5545–5552 Commercial Leasing for Wind Power on the Outer Continental Shelf Offshore Maryland; Call for Defense Department Nominations, 5552–5560 See Navy Department Environmental Assessments; Availability, etc.: Commercial Wind Lease Issuance and Site Assessment Department of Transportation Activities on the Atlantic Outer Continental Shelf, See Pipeline and Hazardous Materials Safety 5560–5561 Administration

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Education Department Bell Helicopter Textron Canada Limited Helicopters, NOTICES 5425–5426 Agency Information Collection Activities; Proposals, Bell Helicopter Textron Canada, Limited (Bell) Submissions, and Approvals, 5498–5500 Helicopters, 5423–5424 Bell Helicopter Textron, Inc., Helicopters, 5427–5429 Employee Benefits Security Administration Sikorsky Aircraft Corp. Helicopters, 5418–5420 RULES Proposed Modification of Class B Airspace Area: Reasonable Contract or Arrangement Under Section Atlanta, GA, 5429–5440 408(b)(2) – Fee Disclosure, 5632–5659 NOTICES Meetings: Employment and Training Administration RTCA Special Committee 227, Standards of Navigation NOTICES Performance, 5615–5616 Negative Determinations Regarding Eligibility to Apply for Proposed Technical Standard Orders: Worker Adjustment Assistance: Terrain Awareness and Warning System, 5616–5617 2002 Reopened – Previously Denied Determinations, 5577 Federal Communications Commission Revised Denied Determinations Regarding Eligibility to RULES Apply for Worker Adjustment Assistance: Amateur Radio Use of Allocation at 5 MHz, 5406–5413 2002 Reopened – Previously Denied Determinations, NOTICES 5577 FY 2011 Service Contract Inventory and FY 2010 Service Contract Inventory Analysis; Availability, 5519 Energy Department See Federal Energy Regulatory Commission Federal Energy Regulatory Commission NOTICES Environmental Protection Agency Applications: RULES City of Hamilton, OH and American Municipal Power, Approval and Promulgation of Air Quality Implementation Inc., 5501 Plans: Stuyvesant Falls Hydroelectric Project, 5502 Amendments to Virginia’s Regulation Regarding the Combined Filings, 5503 Sulfur Dioxide National Ambient Air Quality Environmental Assessments; Availability, etc.: Standard, 5400–5403 Tres Palacios Gas Storage, LLC, Copano Plant PROPOSED RULES Interconnect Project, 5504–5505 Consumer Confidence Report, Rule Retrospective Review, Environmental Impact Statements; Availability, etc.: 5471–5472 Eagle Crest Energy Co. Eagle Mountain Pumped Storage NOTICES Hydroelectric Project, 5505–5506 Certain New Chemicals; Receipt and Status Information, Preliminary Permit Applications: 5509–5512 ORPC Maine, LLC, 5506–5507 Environmental Impact Statements; Availability, etc.: Proposed Restricted Service Lists: Weekly Receipt, 5513 Managing Properties Included in or Eligible for Inclusion FY 2011 Service Contract Inventory; Availability, 5513– in National Register of Historic Places, 5507–5508 5514 Revocations of Market Based Rate Authority, 5508–5509 Mandatory Reporting of Greenhouse Gases: Technical Conferences: Preliminary Determinations Regarding Requests to Use Dixie Pipeline Co. LLC, 5509 Provisional Global Warming Potentials, 5514–5516 Project Waivers of the American Recovery and Federal Highway Administration Reinvestment Act: NOTICES Cuyahoga County Board of Health for the Bear Creek Final Federal Agency Action on Proposed Highway in Restoration Project in Warrensville Heights, OH, etc., Utah, 5617 5516–5518 Proposed Consent Decree, Clean Air Act Citizen Suit, 5518– Federal Transit Administration 5519 NOTICES Alternative Transportation in Parks and Public Lands Equal Employment Opportunity Commission Program: RULES FY 2011 and Partial 2012 Project Selections, 5617–5627 Recordkeeping and Reporting Requirements under Title VII, ADA, and GINA, 5396–5398 Fine Arts Commission See Commission of Fine Arts Executive Office of the President See Presidential Documents Fish and Wildlife Service NOTICES Federal Aviation Administration Environmental Impact Statements; Availability, etc.: RULES Tehachapi Uplands Multiple Species Habitat Airworthiness Directives: Conservation Plan; Kern County, CA, 5564–5566 The Boeing Company Airplanes, 5386–5387 PROPOSED RULES Food and Drug Administration Airworthiness Directives: NOTICES Aeronautical Accessories Inc. High Landing Gear Aft Meetings: Crosstube Assembly, 5420–5423 Oncologic Drugs Advisory Committee, 5520–5521

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Food Safety and Inspection Service International Trade Administration NOTICES PROPOSED RULES Meetings: Withdrawal of Regulations: Codex Alimentarius Commission; Codex Committee on Imports of Cotton Woven Fabric, Short Supply Contaminants in Food, 5481–5483 Procedures, 5440–5442 Codex Alimentarius Commission; Codex Committee on NOTICES Food Additives, 5483–5484 Antidumping and Countervailing Duty Orders: Multilayered Wood Flooring from the People’s Republic Health and Human Services Department of China, 5484–5485 See Centers for Disease Control and Prevention Antidumping Duty Administrative Reviews; Results, See Food and Drug Administration Extensions, Amendments, etc.: Certain Lined Paper Products from India, 5486 Homeland Security Department Stainless Steel Bar from India, 5486–5487 See Coast Guard Sunset Reviews, 5485–5486 See U.S. Customs and Border Protection Countervailing Duty Investigations; Results, Extensions, Amendments, etc.: Housing and Urban Development Department Crystalline Silicon Photovoltaic Cells, Whether or Not RULES Assembled Into Modules, from the People’s Republic Equal Access to Housing in HUD Programs Regardless of of China, 5487–5489 Sexual Orientation or Gender Identity, 5662–5676 NOTICES International Trade Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Investigations; Terminations, Modifications and Rulings: Emergency Solutions Grants Program, 5523 Certain Muzzle-Loading Firearms and Components Inspector Candidate Assessment Questionnaire, 5522– Thereof, 5568–5569 5523 Public Housing Agency 5-Year and Annual Plan, 5524– 5525 Justice Department Single Family Mortgage Insurance on Hawaiian See Alcohol, Tobacco, Firearms, and Explosives Bureau Homelands, 5523–5524 See Antitrust Division NOTICES Federal Property Suitable as Facilities to Assist the Lodging of Settlement Agreements, 5569–5570 Homeless, 5525–5527 Lodgings of Consent Decrees under the Clean Water Act, Funding Awards: 5570 Fiscal Year 2010 Sustainable Construction in Indian Privacy Act; Systems of Records, 5570–5573 Country Small Grant Program, 5527

Indian Affairs Bureau Labor Department NOTICES See Employee Benefits Security Administration Tribal–State Class III Gaming Compact, 5566 See Employment and Training Administration See Occupational Safety and Health Administration Industry and Security Bureau RULES Land Management Bureau Export Administration Regulations Amendments: NOTICES Addition of Reference to Provision of Iran Sanctions Act, Environmental Impact Statements; Availability, etc.: etc., 5387–5389 HB In-Situ Solution Mine Project, Eddy County, NM, 5566–5567 Interior Department Filing of Plats of Survey: See Bureau of Ocean Energy Management North Carolina, 5567–5568 See Bureau of Safety and Environmental Enforcement Records of Decision: See Fish and Wildlife Service Wright Area North Hilight Field Coal Lease-by- See Indian Affairs Bureau Application, Wyoming, 5568 See Land Management Bureau See National Park Service NOTICES Maritime Administration Meetings: NOTICES National Commission on Indian Trust Administration Agency Information Collection Activities; Proposals, and Reform, 5528 Submissions, and Approvals, 5628 Trust Land Consolidation Draft Plan, 5528–5529 Requested Administrative Waiver of the Coastwise Trade Laws: Internal Revenue Service Vessel Big Game, 5628–5629 PROPOSED RULES Vessel Seven Seas, 5629 Determination of Governmental Plan Status, 5442 Indian Tribal Government Plans, 5442–5443 National Archives and Records Administration Longevity Annuity Contracts, 5443–5454 NOTICES Modifications to Minimum Present Value Requirements for Meetings: Partial Annuity Distribution Options under Defined Founding Fathers Advisory Committee, 5578–5579 Benefit Pension Plans, 5454–5460 Records Schedules; Availability, 5579–5580

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National Credit Union Administration Personnel Management Office PROPOSED RULES NOTICES Financial Derivatives Transactions to Offset Interest Rate Agency Information Collection Activities; Proposals, Risk Investment and Deposit Activities, 5416–5418 Submissions, and Approvals: Amount Due Because Of Annuity Overpayment, 5581– National Institute of Standards and Technology 5582 NOTICES Interview Survey Form, 5581 Identification of Human Cell Lines Project, 5489–5491 Meetings: Hispanic Council on Federal Employment, 5582

National Oceanic and Atmospheric Administration Pipeline and Hazardous Materials Safety Administration RULES PROPOSED RULES Fisheries of Exclusive Economic Zone Off Alaska: Miscellaneous Changes to Pipeline Safety Regulations, 5472 Chinook Salmon Bycatch Management in Bering Sea Pipeline Safety: Pollock Fishery; Economic Data Collection, 5389– Expanding the Use of Excess Flow Valves in Gas 5396 Distribution Systems to Applications Other Than Fisheries of the Caribbean, Gulf of Mexico, and South Single-Family Residences, 5472–5473 Atlantic: Coastal Migratory Pelagic Resources of the Gulf of Mexico Postal Regulatory Commission and South Atlantic; Trip Limit Increase, 5413–5414 NOTICES Fisheries of the Northeastern United States: Post Office Closings, 5582–5583 Summer Flounder Fishery; Quota Transfer, 5414 PROPOSED RULES Postal Service Pacific Halibut Fisheries; Catch Sharing Plan, 5473–5479 PROPOSED RULES NOTICES Recognition of Distribution of Periodicals via Electronic Endangered and Threatened Species: Copies, 5470–5471 Initiation of 5-Year Review for Sei Whales, 5491 Florida Keys National Marine Sanctuary Advisory Council; Presidential Documents Availability of Seats, 5492 PROCLAMATIONS General Provisions for Domestic Fisheries: Special Observances: Application for Exempted Fishing Permit, 5492–5493 American Heart Month (Proc. 8775), 5373–5374 Meetings: National African American History Month (Proc. 8776), Southwest Fisheries Science Center, 5493 5375–5376 Permit Applications: National Teen Dating Violence Awareness and Prevention Marine Mammals; File No. 15802, 5493–5494 Month (Proc. 8777), 5377–5378 ADMINISTRATIVE ORDERS National Park Service Keystone XL Pipeline Permit Provisions of Temporary NOTICES Payroll Tax Cut Continuation Act of 2011; Draft Director’s Orders; Availability: Implementation (Memorandum of January 18, 2012), Policies and Procedures Governing Integrity of Scientific 5677–5679 and Scholarly Activities, 5568 Securities and Exchange Commission National Science Foundation NOTICES RULES Agency Information Collection Activities; Proposals, Conservation of Antarctic Animals and Plants, 5403–5406 Submissions, and Approvals, 5583–5584 NOTICES Applications for Deregistration under Section 8(f) of Agency Information Collection Activities; Proposals, Investment Company Act of 1940, 5584–5585 Submissions, and Approvals, 5580–5581 Applications: Northwestern Mutual Series Fund, Inc. and Mason Street National Telecommunications and Information Advisors, LLC, 5585–5587 Administration Self-Regulatory Organizations; Proposed Rule Changes: BATS Exchange, Inc., 5588–5590 NOTICES Chicago Board Options Exchange, Inc., 5595–5605 Meetings: Chicago Stock Exchange, Inc., 5605–5606 Commerce Spectrum Management Advisory Committee, Financial Industry Regulatory Authority, Inc., 5610–5613 5494–5495 International Securities Exchange, LLC, 5587–5588 NASDAQ OMX BX, Inc., 5590–5595 NASDAQ Stock Market LLC, 5606–5609 Navy Department NOTICES Small Business Administration Meetings: NOTICES Chief of Naval Operations Executive Panel, 5498 Exemptions Sought Under 312 of the Small Business Investment Act: Occupational Safety and Health Administration C3 Capital Partners II, L.P., 5613–5614 NOTICES Meetings: State Department Maritime Advisory Committee for Occupational Safety NOTICES and Health, 5577–5578 FY 2011 Service Contract Inventory, 5614

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Keystone XL Pipeline, 5614 Meetings: Shipping Coordinating Committee, 5614–5615 Separate Parts In This Issue Surface Transportation Board NOTICES Trackage Rights Exemptions: Part II Dakota, Minnesota and Eastern Railroad Corp. from Labor Department, Employee Benefits Security Chicago, Central and Pacific Railroad Co., 5629 Administration, 5632–5659 Transportation Department See Federal Aviation Administration Part III See Federal Highway Administration Housing and Urban Development Department, 5662–5676 See Federal Transit Administration See Maritime Administration Part IV See Pipeline and Hazardous Materials Safety Administration Presidential Documents, 5677–5679 See Surface Transportation Board NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 5615 Reader Aids Consult the Reader Aids section at the end of this page for Treasury Department phone numbers, online resources, finding aids, reminders, See Internal Revenue Service and notice of recently enacted public laws. U.S. Customs and Border Protection To subscribe to the Federal Register Table of Contents NOTICES LISTSERV electronic mailing list, go to http:// Meetings: listserv.access.gpo.gov and select Online mailing list Advisory Committee on Commercial Operations of archives, FEDREGTOC-L, Join or leave the list (or change Customs and Border Protection, 5521–5522 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 47 CFR Proclamations: 2...... 5406 8775...... 5373 97...... 5406 8776...... 5375 49 CFR 8777...... 5377 Proposed Rules: Administrative Orders: 191...... 5472 Memorandums: 192 (2 documents) ...... 5472 Memorandums of 195...... 5472 January 18, 2012 ...... 5679 50 CFR 7 CFR 622...... 5413 27...... 5379 648...... 5414 301...... 5381 679...... 5389 985...... 5385 Proposed Rules: Proposed Rules: 300...... 5473 205...... 5415 12 CFR Proposed Rules: 703...... 5416 14 CFR 39...... 5386 Proposed Rules: 39 (5 documents) ...5418, 5420, 5423, 5425, 5427 71...... 5429 15 CFR 744...... 5387 902...... 5389 Proposed Rules: 336...... 5440 19 CFR Proposed Rules: 357...... 5440 24 CFR 5...... 5662 200...... 5662 203...... 5662 236...... 5662 400...... 5662 570...... 5662 574...... 5662 882...... 5662 891...... 5662 982...... 5662 26 CFR Proposed Rules: 1 (4 documents) .....5442, 5443, 5454 27 CFR Proposed Rules: 478...... 5460 29 CFR 1602...... 5396 2550...... 5632 33 CFR 117...... 5398 165...... 5398 Proposed Rules: 100...... 5463 165...... 5463 39 CFR Proposed Rules: 111...... 5470 40 CFR 52...... 5400 Proposed Rules: 141...... 5471 142...... 5471 45 CFR 670...... 5403

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Federal Register Presidential Documents Vol. 77, No. 23

Friday, February 3, 2012

Title 3— Proclamation 8775 of January 31, 2012

The President American Heart Month, 2012

By the President of the United States of America

A Proclamation Every year, heart disease takes the lives of over half a million Americans, and it remains the leading cause of death in the United States. This dev- astating epidemic leaves no one untouched; its victims are fathers and daughters, grandparents and siblings, cherished friends and community members across our country. This month, we remember the steps each of us can take to reduce the risk of heart disease and recommit to better heart health for all Americans. While genetic or hereditary factors play a part in many instances of cardiovascular disease, high cholesterol, high blood pressure, physical inactivity, obesity, tobacco use, and alcohol abuse are major risk factors that can be prevented or controlled. To take action against heart disease, I encourage all Americans to make balanced and nutritious meal choices, maintain a healthy weight, and get active. Avoiding tobacco, moderating alcohol consumption, and working with a health care provider can also help prevent or treat conditions that can lead to heart disease. Additional resources on how to reduce the risk of cardiovascular disease are available at: www.CDC.gov/HeartDisease. To help win the fight against heart disease, my Administration is working to ensure individuals and communities have the tools they need to make real gains in this critical effort. Last September, we launched the Million Hearts initiative, which is coordinating programs across Federal agencies and forging new public-private partnerships to prevent one million heart attacks and strokes over the next 5 years. Resources on how to join the initiative are available at: MillionHearts.HHS.gov. To secure our children’s heart health and end childhood obesity within a generation, First Lady Michelle Obama’s Let’s Move! initiative is encouraging healthy eating habits and promoting physical activity among families and young people. The National Institutes of Health is pursuing cutting-edge research to unlock new treatments for cardiovascular disease. And the Centers for Disease Con- trol and Prevention is working in communities across our country to help reduce risk factors and prevent heart disease. During American Heart Month, we also highlight The Heart Truth, a national awareness campaign that urges women of all ages to know their risk for heart disease. In recognition of this vital task, I encourage men and women across America to observe National Wear Red Day on Friday, February 3, and to show their support by wearing red or the campaign’s Red Dress Pin. To learn more about The Heart Truth or National Wear Red Day, visit: www.HeartTruth.gov. In acknowledgement of the importance of the ongoing fight against cardiovascular disease, the Congress, by Joint Resolution approved December 30, 1963, as amended (77 Stat. 843; 36 U.S.C. 101), has requested that the President issue an annual proclamation designating February as ‘‘American Heart Month.’’ NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, do hereby proclaim February 2012 as American Heart Month,

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and I invite all Americans to participate in National Wear Red Day on February 3, 2012. I also invite the Governors of the States, the Commonwealth of Puerto Rico, officials of other areas subject to the jurisdiction of the United States, and the American people to join me in recognizing and reaffirming our commitment to fighting cardiovascular disease. IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of January, in the year of our Lord two thousand twelve, and of the Independ- ence of the United States of America the two hundred and thirty-sixth.

[FR Doc. 2012–2592 Filed 2–2–12; 8:45 am] Billing code 3295–F2–P

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Proclamation 8776 of January 31, 2012

National African American History Month, 2012

By the President of the United States of America

A Proclamation

The story of African Americans is a story of resilience and perseverance. It traces a people who refused to accept the circumstances under which they arrived on these shores, and it chronicles the generations who fought for an America that truly reflects the ideals enshrined in our founding documents. It is the narrative of slaves who shepherded others along the path to freedom and preachers who organized against the rules of Jim Crow, of young people who sat-in at lunch counters and ordinary men and women who took extraordinary risks to change our Nation for the better. During National African American History Month, we celebrate the rich legacy of African Americans and honor the remarkable contributions they have made to perfecting our Union. This year’s theme, ‘‘Black Women in American Culture and History,’’ invites us to pay special tribute to the role African American women have played in shaping the character of our Nation—often in the face of both racial and gender discrimination. As courageous visionaries who led the fight to end slavery and tenacious activists who fought to expand basic civil rights to all Americans, African American women have long served as cham- pions of social and political change. And from the literary giants who gave voice to their communities to the artists whose harmonies and brush strokes captured hardships and aspirations, African American women have forever enriched our cultural heritage. Today, we stand on the shoulders of countless African American women who shattered glass ceilings and advanced our common goals. In recognition of their legacy, let us honor their heroic and historic acts for years to come. The achievements of African American women are not limited to those recorded and retold in our history books. Their impact is felt in communities where they are quiet heroes who care for their families, in boardrooms where they are leaders of industry, in laboratories where they are discovering new technologies, and in classrooms where they are preparing the next generation for the world they will inherit. As we celebrate the successes of African American women, we recall that progress did not come easily, and that our work to widen the circle of opportunity for all Americans is not complete. With eyes cast toward new horizons, we must press on in pursuit of a high-quality education for every child, a job for every Amer- ican who wants one, and a fair chance at prosperity for every individual and family across our Nation. During National African American History Month, we pay tribute to the contributions of past generations and reaffirm our commitment to keeping the American dream alive for the next generation. In honor of those women and men who paved the way for us, and with great expectations for those to follow, let us continue the righteous cause of making America what it should be—a Nation that is more just and more equal for all its people. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim February 2012 as

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National African American History Month. I call upon public officials, edu- cators, librarians, and all the people of the United States to observe this month with appropriate programs, ceremonies, and activities. IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of January, in the year of our Lord two thousand twelve, and of the Independ- ence of the United States of America the two hundred and thirty-sixth.

[FR Doc. 2012–2616 Filed 2–2–12; 8:45 am] Billing code 3295–F2–P

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Proclamation 8777 of January 31, 2012

National Teen Dating Violence Awareness and Prevention Month, 2012

By the President of the United States of America

A Proclamation

In America, an alarming number of young people experience physical, sexual, or emotional abuse as part of a controlling or violent dating relationship. The consequences of dating violence—spanning impaired development to physical harm—pose a threat to the health and well-being of teens across our Nation, and it is essential we come together to break the cycle of violence that burdens too many of our sons and daughters. This month, we recommit to providing critical support and services for victims of dating violence and empowering teens with the tools to cultivate healthy, respectful relationships. Though we have made substantial progress in the fight to reduce violence against women, dating violence remains a reality for millions of young people. In a 12 month period, one in 10 high school students nationwide reported they were physically hurt on purpose by their boyfriend or girlfriend, and still more experienced verbal or emotional abuse like shaming, bullying, or threats. Depression, substance abuse, and health complications are among the long-term impacts that may follow in the wake of an abusive relationship. Tragically, dating violence can also lead to other forms of violence, including sexual assault. These outcomes are unacceptable, and we must do more to prevent dating violence and ensure the health and safety of our Nation’s youth. The path toward a future free of dating violence begins with awareness. As part of my Administration’s ongoing commitment to engaging individuals and communities in this important work, Vice President Joe Biden launched the 1is2many initiative last September. In concert with awareness programs occurring across Federal agencies, the initiative calls on young men and women to take action against dating violence and sexual assault and help advance public understanding of the realities of abuse. The National Dating Abuse Helpline offers information and support to individuals struggling with unhealthy relationships. For immediate and confidential advice and referrals, I encourage concerned teens and their loved ones to contact the Helpline at 1–866–331–9474, text ‘‘loveis’’ to 77054, or visit: www.LoveIsRespect.org. Additional resources are available at: www.CDC.gov/features/datingviolence. My Administration continues to promote new and proven strategies to target teen dating violence. Last November, we announced the winners of the Apps Against Abuse technology challenge, concluding a national competition to develop innovative new tools that will empower young Americans and help prevent dating violence and sexual assault. As we move forward, we will continue to collaborate with both public and private partners to bring new violence prevention strategies to individuals and communities across our Nation. To learn more, visit: www.WhiteHouse.gov/1is2many. Reducing violence against teens and young adults is an important task for all of us. This month, we renew our commitment to breaking the silence

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about dating abuse and fostering a culture of respect in our neighborhoods, our schools, and our homes. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim February 2012 as National Teen Dating Violence Awareness and Prevention Month. I call upon all Americans to support efforts in their communities and schools, and in their own families, to empower young people to develop healthy relationships throughout their lives and to engage in activities that prevent and respond to teen dating violence. IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of January, in the year of our Lord two thousand twelve, and of the Independ- ence of the United States of America the two hundred and thirty-sixth.

[FR Doc. 2012–2634 Filed 2–2–12; 8:45 am] Billing code 3295–F2–P

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Rules and Regulations Federal Register Vol. 77, No. 23

Friday, February 3, 2012

This section of the FEDERAL REGISTER Executive Order 12988 increase operational efficiencies have contains regulatory documents having general This final rule has been reviewed prompted the Cotton and Tobacco applicability and legal effect, most of which Programs to propose the use of Smith- are keyed to and codified in the Code of under Executive Order 12988, Civil Justice Reform. It is not intended to Doxey classification data in the cotton Federal Regulations, which is published under futures classification process. 50 titles pursuant to 44 U.S.C. 1510. have retroactive effect. There are no administrative procedures which must Currently, the futures classification The Code of Federal Regulations is sold by be exhausted prior to any judicial process is a two-step process that occurs the Superintendent of Documents. Prices of challenge to the provisions of this final after the Smith-Doxey classification in new books are listed in the first FEDERAL rule. which an initial futures classification is REGISTER issue of each week. immediately verified by a review— Background commonly referred to as a final futures AMS Cotton and Tobacco Programs is DEPARTMENT OF AGRICULTURE classification. When verified by a revising procedures for providing futures classification, Smith-Doxey Agricultural Marketing Service services related to the classification of classification data will serve as the cotton futures as authorized by Act by initial futures classification with the 7 CFR Part 27 using Smith-Doxey classification data in verifying futures classification serving the cotton futures classification process. as the final futures classification, The Act requires USDA-certified quality reducing the number of futures [Doc. #AMS–CN–10–0073; CN–10–005] measurements for each bale included in classifications required in many futures contracts for the purpose of instances. Verification of Smith-Doxey RIN 0581–AD16 verifying that each bale meets the classing data is necessary because minimum quality requirements for certain quality characteristics— Revision of Cotton Futures cotton futures trading. especially color—are known to change Classification Procedures USDA was first directed to provide over time and when cotton is subjected cotton classification services to AGENCY: Agricultural Marketing Service, to certain environmental conditions. USDA. producers of cotton under the Smith- Doxey Act of April 13, 1937 (Pub. L. 75– In cases where the comparison of ACTION: Final rule. 28). Therefore, the original classification Smith-Doxey data and futures classification data fail to pass pre- SUMMARY: The Agricultural Marketing of a cotton bale’s sample and quality data which results from this established tolerances, a second futures Service (AMS) is amending the classification will be required. The use procedures for cotton futures quality classification is commonly referred to as the Smith-Doxey classification or Smith- of Smith-Doxey classification data will classification services by using Smith- significantly reduce the need for yet Doxey classification data in the cotton Doxey data. While cotton classification is not mandatory, practically every another cotton futures classification. futures classification process. In The proposed changes would improve addition, references to a separate and cotton bale grown in the United States today is classed by USDA under the operational efficiency while potentially optional review of cotton futures improving the integrity and accuracy of certification are being eliminated to authority of the Cotton Statistics and Estimates Act (7 U.S.C. 471–476) and classification data provided to the reflect current industry practices. These cotton industry. changes in procedures for cotton futures the U.S. Cotton Standards Act (7 U.S.C. For the reasons set forth above, this quality classification services, as well as 51–65) and under regulations found in rule amends 7 CFR part 27—Cotton proposed conforming changes, reflect 7 CFR part 28—Cotton Classing, Testing, Classification Under Cotton Futures advances in cotton fiber quality and Standards. The U.S. cotton industry Legislation, which establishes the measurement and data processing made uses Smith-Doxey classification data to procedures for determining cotton since the regulations were last updated assign quality-adjusted market values to classification for cotton submitted for in 1992. U.S. cotton and market U.S. cotton both domestically and internationally. futures certification. Specific changes DATES: Effective Date: March 5, 2012. Although the Smith-Doxey classification required to implement the revised FOR FURTHER INFORMATION CONTACT: and the futures classification are futures classification procedure include Darryl Earnest, Deputy Administrator, independent measures of cotton quality the elimination of outdated procedures Cotton & Tobacco Programs, AMS, that serve different purposes, the Smith- in sections 27.61–27.67, 27.69 and 27.72 USDA, 3275 Appling Road, Memphis, Doxey data is used by the cotton used to guide optional reviews of TN 38133. Telephone (901) 384–3060, merchant community to indicate which futures classifications and the facsimile (901) 384–3021, or email bales may be tenderable against a cotton elimination of references to fees charged [email protected]. futures contract. for ‘‘initial classification and SUPPLEMENTARY INFORMATION: USDA’s cotton classification certification’’, ‘‘review classification and capabilities have dramatically improved certification’’ and ‘‘combination Executive Order 12866 as a result of the extensive technological services’’ in section 27.80. Conforming This final rule has been determined to progress, increasing data accuracy and changes remove references to eliminated be not significant for purposes of operational efficiency. In addition to the sections 27.9, 27.14, 27.21., 27.36 and Executive Order 12866, and, therefore, increased accuracy and reliability of 27.47 and apply current organizational has not been reviewed by the Office of Smith-Doxey data, improvements in terminology in paragraph (h) of section Management and Budget (OMB). data management and the desire to 27.2 and section 27.39.

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As stated above, the cotton futures voluntarily use the AMS cotton futures § 27.14 Filing of classification requests. classification includes a process by classification services annually under Requests for futures classification which an initial futures classification is the Cotton Futures Act (Act) (7 U.S.C. shall be filed with the Quality followed up by a futures final 15b). Many of these cotton merchants Assurance Division within 10 days after classification. While not mandatory, this are small businesses under the criteria sampling and before classification of the two-stage process has been deemed established by the Small Business samples. appropriate by the industry. Therefore, Administration (13 CFR 121.201). sections 27.61–27.67, 27.69 and 27.72, Revisions being proposed reflect the § 27.21 [Removed and Reserved] which address optional reviews of progress made in quality determination ■ futures classifications, are irrelevant. 5. Section 27.21 is removed and and data dissemination. The proposed reserved. Furthermore, reference to ‘‘initial process changes in the classification of classification and certification’’ fees in cotton futures will yield increases of ■ 6. Section 27.36 is revised to read as paragraph (a) of section 27.80 are efficiency to the benefit of the cotton follows: removed to avoid confusion with Smith- marketing industry. Doxey classifications and to reflect that § 27.36 Classification determinations There are no Federal rules that initial classification fees are already based on official standards. duplicate, overlap, or conflict with this specified in paragraph (b) of 7 CFR All cotton shall be classified on the rule. 28.909. Likewise, reference to ‘‘review basis of the official cotton standards of classification and certification’’ fees in In compliance with Office of the United States in effect at the time of paragraph (b) of section 27.80 are Management and Budget (OMB) such classification. regulations (5 CFR part 1320), which removed since fees for review ■ classifications are already specified in 7 implement the Paperwork Reduction 7. Section 27.39 is revised to read as CFR 28.911. Act (PRA) (44 U.S.C. 3501–3520), the follows: The term ‘‘combination services’’ in information collection requirements § 27.39 Issuance of classification records. paragraph (d) of section 27.80 reflects contained in the regulation to be the current practice of performing an amended have been previously Except as otherwise provided in this ‘‘initial’’ futures classification and an approved by OMB and were assigned section, as soon as practicable after the immediate ‘‘review’’ futures control number 0581–0008, Cotton classification of cotton has been classification. Since Smith-Doxey Classing, Testing and Standards. completed by the Cotton and Tobacco Programs, the Quality Assurance classification data serves as the initial List of Subjects in 7 CFR Part 27 futures classification when verified by a Division shall issue an electronic cotton ‘‘review’’ futures classification, these Commodity futures, Cotton. classification record showing the results services are simply defined as ‘‘futures For the reasons set forth in the of such classification. Each electronic classification services.’’ preamble 7 CFR part 27 is amended as record shall bear the date of its issuance. follows: The electronic record shall show the Summary of Comments identification of the cotton according to A proposed rule was published on PART 27—[AMENDED] the information in the possession of the September 29, 2011, with a comment Cotton and Tobacco Programs, the period of September 29, 2011 through ■ 1. The authority citation for 7 CFR classification of the cotton and such October 31, 2011. (76 FR 60388). No part 27 continues to read as follows: other facts as the Deputy Administrator may require. comments were received by AMS from Authority: 7 U.S.C. 15b, 7 U.S.C. 4736, 7 individuals or various organizations U.S.C. 1622(g). ■ 8. Section 27.47 is revised to read as representing segments of the cotton follows: industry. ■ 2. Section 27.2 paragraph (h) is revised to read as follows: § 27.47 Tender or delivery of cotton; Regulatory Flexibility Act and conditions. Paperwork Reduction Act § 27.2 Terms defined. Subject to the provisions of §§ 27.52 Pursuant to requirements set forth in * * * * * through 27.55, no cotton shall be the Regulatory Flexibility Act (RFA) (5 (h) Quality Assurance Division. The tendered or delivered on a basis grade U.S.C. 601–612), AMS has considered Quality Assurance Division at Memphis, contract unless on or prior to the date the economic impact of this action on Tennessee; shall provide supervision of fixed for delivery under such contract, small entities and has determined that futures cotton classification. and in advance of final settlement of the its implementation will not have a * * * * * contract, the person making the tender significant economic impact on a ■ shall furnish to the person receiving the substantial number of small entities. 3. Section 27.9 is revised to read as same a valid outstanding cotton Fees paid by users of the service are not follows: classification record complying with the changed by this action; implementation § 27.9 Classing Offices; Quality Assurance regulations in this subpart, showing of the new procedures indicates the Division. such cotton to be tenderable on a basis existing fees remain sufficient to fully Classing Offices shall be maintained grade contract. reimburse AMS for provision of the at points designated for the purpose by services. § 27.61 [Removed and Reserved] The purpose of the RFA is to fit the Administrator. The Quality regulatory actions to the scale of Assurance Division shall provide ■ 9. The undesignated center heading businesses subject to such actions so supervision of futures cotton preceding § 27.61 is removed and that small businesses will not be classification and perform other duties § 27.61 is removed and reserved. as assigned by the Deputy disproportionately burdened. There are §§ 27.62–27.67 [Removed and Reserved] approximately sixty cotton merchant Administrator. organizations of various sizes active in ■ 4. Section 27.14 is revised to read as ■ 10. Sections 27.62–27.67 are removed trading U.S. cotton. Cotton merchants follows: and reserved.

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§ 27.69 [Removed and Reserved] consider all comments that we receive the destruction of infected and exposed ■ 11. Section 27.69 is removed and on or before April 3, 2012. trees. reserved. ADDRESSES: You may submit comments The first documented case of plum by either of the following methods: pox in the United States was detected in § 27.72 [Removed and Reserved] • Federal eRulemaking Portal: Go to an Adams County, PA, orchard in 1999. ■ 12. Section 27.72 is removed and http://www.regulations.gov/ In 2006, additional detections were reserved. #!documentDetail;D=APHIS-2011-0004- made in New York and Michigan. ■ 13. Section 27.80 is revised to read as 0001. Through cooperative Federal/State follows: • Postal Mail/Commercial Delivery: efforts, plum pox has been eradicated in Send your comment to Docket No. Pennsylvania and Michigan. Currently, § 27.80 Fees; review classification, futures portions of Niagara, Orleans, and Wayne classification and supervision. APHIS–2011–0004, Regulatory Analysis and Development, PPD, APHIS, Station Counties, NY, are the only areas in the For services rendered by the Cotton 3A–03.8, 4700 River Road Unit 118, United States quarantined because of and Tobacco Programs pursuant to this Riverdale, MD 20737–1238. plum pox. subpart, whether the cotton involved is The regulations in Subpart—Plum Supporting documents and any tenderable or not, the person requesting Pox (7 CFR 301.74 through 301.74–5), comments we receive on this docket the services shall pay fees as follows: referred to below as the regulations, may be viewed at http:// (a) [Reserved] quarantine areas of the United States www.regulations.gov/ (b) [Reserved] where plum pox has been detected and #!docketDetail;D=APHIS-2011-0004 or (c) [Reserved] restrict the interstate movement of in our reading room, which is located in (d) Futures classification—$3.50 per regulated articles (e.g., trees, seedlings, room 1141 of the USDA South Building, bale. root stock, budwood, branches, twigs, 14th Street and Independence Avenue Dated: January 30, 2012. and leaves of susceptible Prunus spp.) SW., Washington, DC. Normal reading from quarantined areas to prevent the David R. Shipman, room hours are 8 a.m. to 4:30 p.m., spread of plum pox virus (PPV) into Acting Administrator, Agricultural Marketing Monday through Friday, except uninfected areas of the United States. Service. holidays. To be sure someone is there to [FR Doc. 2012–2382 Filed 2–2–12; 8:45 am] help you, please call (202) 690–2817 In addition to the quarantine and BILLING CODE 3410–02–P before coming. interstate movement restrictions in the regulations, § 310.74–5 also provides for FOR FURTHER INFORMATION CONTACT: Dr. the payment of compensation to eligible DEPARTMENT OF AGRICULTURE S. Anwar Rizvi, Plum Pox National owners of commercial stone fruit Program Manager, PPQ, APHIS, 4700 orchards, including direct marketers, Animal and Plant Health Inspection River Road Unit 26, Riverdale, MD and fruit tree nurseries. Compensation Service 20737–1231; (301) 734–4313. payments are provided to eligible SUPPLEMENTARY INFORMATION: orchard owners to mitigate losses 7 CFR Part 301 associated with the destruction of trees Background [Docket No. APHIS–2011–0004] in order to control plum pox pursuant Plum pox is an extremely serious viral to an emergency action notification RIN 0579–AD58 disease of plants that can affect many (EAN) issued by the U.S. Department of Prunus (stone fruit) species, including Agriculture’s (USDA) Animal and Plant Plum Pox Compensation plum, peach, apricot, almond, nectarine, Health Inspection Service (APHIS). AGENCY: Animal and Plant Health and sweet and tart cherry. A number of Payments are also provided to eligible Inspection Service, USDA. wild and ornamental Prunus species nursery owners to mitigate the net ACTION: Interim rule and request for may also be susceptible to this disease. revenue losses associated with the comments. Infection eventually results in severely prohibition on the movement or sale of reduced fruit production, and the fruit nursery stock as a result of the issuance SUMMARY: We are amending the plum that is produced is often misshapen and of an EAN by APHIS with respect to pox regulations to provide for the blemished. In Europe, plum pox has regulated articles within the nursery in payment of compensation to eligible been present for a number of years and order to control plum pox. owners of non-fruit-bearing ornamental is considered to be the most serious The compensation provisions of tree nurseries and to increase the disease affecting susceptible Prunus § 301.74–5 were established to reduce amount of compensation that may be varieties. Plum pox is transmitted the economic effect of the plum pox paid to eligible owners of commercial locally by various aphid species, as well quarantine on affected commercial stone fruit orchards and fruit tree as by budding and grafting with infected growers and nursery owners, thus nurseries whose trees are required to be plant material, and spreads over longer ensuring their continued cooperation destroyed in order to prevent the spread distances through movement of infected with the survey and eradication of plum pox. We are also providing budwood, nursery stock, and other plant activities being conducted by APHIS updated instructions for the submission parts. and State plant health agencies. The of claims for compensation. These There are no known effective methods availability of compensation played an changes are necessary to provide for treating trees or other plant material important role in the successful adequate compensation to persons who infected with plum pox, nor are there eradication of plum pox from Adams are economically affected by the plum any known effective prophylactic County, PA. Affected owners of pox quarantine and the associated State treatments to prevent the disease from commercial stone fruit orchards and and Federal eradication efforts. This occurring in trees that are exposed to fruit tree nurseries in the quarantined action will assist our efforts to eradicate the disease due to their proximity to areas of New York are eligible for, and plum pox in the United States. infected trees. Without effective have received, compensation payments DATES: This interim rule is effective treatments, the only option for in connection with the destruction of upon February 3, 2012. We will preventing the spread of the disease is trees and the resulting loss in income

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associated with the ongoing eradication $18,519 per acre for all other orchard specific to fruit tree nurseries, studies efforts in that State. owners. We have based the amount of have proven that non-fruit-bearing The compensation provisions for the increased compensation on the ornamental trees are susceptible to plum commercial stone fruit orchards and recommendations of a panel composed pox and may serve as host material for fruit tree nurseries were promulgated in of APHIS and State representatives, the virus. As such, they represent a risk 2000 following the establishment of the industry representatives, and university to eradication efforts and are included plum pox quarantine and regulations. scientists. The increased amounts are in the list of regulated articles in Subsequently, in 2004 we amended the derived from increasing the calculated § 301.74–2 of the regulations. Currently, regulations to provide for the payment, price per bushel and taking into account three varieties of non-fruit-bearing under certain circumstances, of the increased costs of production and of ornamental trees have been verified as compensation to direct market growers, land preparation. The initial regulatory host material for plum pox: Purpleleaf who we defined as growers who flexibility analysis prepared for this plum varieties, dwarf flowering almond produce fruit and sell the fruit rule, which may be viewed on the varieties, and sandcherry varieties. themselves for premium prices at Regulations.gov Web site (see Because nurseries containing non-fruit- farmers markets. The 2004 rule also ADDRESSES above for instructions for bearing ornamental trees may be subject added provisions for the payment of accessing Regulations.gov), provides a to the same prohibitions on the compensation for stone fruit trees detailed explanation of the methodology movement or sale of nursery stock as destroyed at less than 1 year of age. is used to calculate the updated those containing fruit trees, we are Since that 2004 final rule, we have not compensation rates. The methodology amending the regulations to provide made any adjustments to the used is the same as that used to that owners of non-fruit-bearing compensation provisions of the determine the original compensation ornamental tree nurseries are eligible for regulations. rates. compensation. We are also amending the regulations Paragraph (a) of § 301.74–5 describes Increased Payment Amounts in § 301.74–5(b)(2) to increase the the individuals who are eligible to Due to changes in management amount of compensation that may be receive compensation from USDA to practices by stone fruit growers and paid to eligible owners of fruit tree mitigate losses or expenses incurred direct marketers and in fruit tree nurseries for net revenues lost from because of the plum pox quarantine and nurseries, along with the effects of their first and second year crops as the emergency actions. In this rule, we are inflation and increases in the prices for result of the issuance of an EAN. We are adding a new paragraph (a)(3) to state the products of commercial stone fruit doing so by increasing the average price that the owner of a non-fruit-bearing orchards and nurseries containing stone per tree, which is one of the factors ornamental tree nursery will be eligible fruit trees, the compensation amounts in considered in the formula for arriving at to receive compensation for net revenue § 310.74–5 no longer accurately reflect the amount of compensation to be paid. losses associated with the prohibition the economic losses experienced by The average price per tree for a first on the movement or sale of nursery grove owners, direct marketers, and year crop (trees that were expected to be stock as a result of the issuance of an nursery owners who are subject to an sold in the year during which the EAN EAN by APHIS with respect to regulated EAN issued by APHIS in order to was issued) has been $4.65 for all tree articles within the nursery in order to prevent the spread of plum pox. types, and the average price per tree for control plum pox. Further, the State/Federal eradication a second year crop (trees that would be Paragraph (b) of § 301.74–5 sets out program has adopted the expected to be sold in the year following the amounts that eligible individuals recommendations of plum pox experts the year during which the EAN was may receive upon approval of their to remove all potentially exposed host issued) has been $4.65 for plum and claims. In this rule, we are adding a new trees within a 500-meter radius from an apricot trees and $3.30 for peach and paragraph (b)(3) that provides that the infected tree, so it has become nectarine trees. In this rule, we are owner of a non-fruit-bearing ornamental increasingly necessary to update the setting the average price per tree at tree nursery will be eligible to receive plum pox compensation rates to reflect $5.22 for plum and apricot trees and compensation for up to 85 percent of the current market conditions and thereby $3.69 for peach and nectarine trees for net revenue losses associated with the ensure the continued cooperation of both first and second year crops. We prohibition on the movement or sale of business operations affected by the based these changes on the adjusted nursery stock as a result of the issuance eradication program. Therefore, in this base price for a field-grown 18-inch fruit of an EAN with respect to regulated interim rule, we are amending § 301.74– or nut tree found in the Eligible Plant articles within the nursery in order to 5 to raise the payment amounts found List (a listing of insurable plants control plum pox. This is consistent in paragraph (b) of that section. approved by USDA’s Risk Management with the existing provisions in § 301.74– The current amounts of compensation Agency) and Plant Price Schedule (a 5(b)(2) regarding the payment of for owners of commercial stone fruit schedule of prices for insurable nursery compensation to eligible owners of fruit orchards, including direct marketers, are plants) for the 2011 and Succeeding tree nurseries. Net revenues will be presented in two tables in § 310.74– Crop Years Nursery Crop Insurance calculated using an average price of 5(b)(1). Depending on the age of the Program. $10.80 per tree or shrub. This amount is trees and based on a 3-year fallow based on the average base prices for Eligible Nurseries period, those amounts range from two- and five-gallon container-grown $2,403 to a maximum of $25,859 per As discussed above, owners of fruit deciduous trees and shrubs from the acre for direct marketers and $15,000 tree nurseries may be eligible to receive Plant Price Schedule used in the per acre for all other orchard owners. compensation for net revenue losses Nursery Crop Insurance Program cited The new compensation amounts, which associated with the prohibition on the above. are also dependent on the age of the tree movement or sale of nursery stock as a and based on a 3-year fallow period, result of the issuance of an EAN by Application Forms will range from a minimum of $3,302 APHIS with respect to regulated articles The current regulations provide a for all growers to a maximum of $29,743 within the nursery in order to control mailing address in Pennsylvania from per acre for direct marketers and plum pox. While the regulations are which the form for submitting a claim

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for compensation may be obtained and obtained from the person listed under intergovernmental consultation with to which the completed form must be FOR FURTHER INFORMATION CONTACT. State and local officials. (See 7 CFR part submitted. Because plum pox has been The current compensation rates were 3015, subpart V.) eradicated in Pennsylvania, our established in 2000 and 2004 during the Executive Order 12988 Pennsylvania State office will no longer initial plum pox outbreak in process compensation claims. Pennsylvania. Earnings by stone fruit This rule has been reviewed under Therefore, we are amending the farmers and nurseries have since Executive Order 12988, Civil Justice regulations to provide alternative changed due to inflation and changes in Reform. This rule: (1) Preempts all State instructions for the submission of management practices. This revision of and local laws and regulations that are claims. Specifically, we are providing a the plum pox compensation rates will inconsistent with this rule; (2) has no link to the APHIS Web site where help ensure compliance with the retroactive effect; and (3) does not individuals seeking to file a claim will quarantine and provide an incentive for require administrative proceedings find the mailing address, telephone maintaining 500-meter buffers around before parties may file suit in court number, and email address for the positive sites, as recommended by challenging this rule. National Director of the Plum Pox USDA plum pox experts and in contrast Eradication Program from whom the to the 50-meter buffers that have been Paperwork Reduction Act form for submitting a claim for used by some growers. This interim rule contains no compensation may be obtained and The revised compensation rates are information collection or recordkeeping subsequently submitted. Federal and based on the same methodology as was requirements under the Paperwork State officials with the plum pox used to determine the current rates. Reduction Act of 1995 (44 U.S.C. 3501 eradication program will also be able to USDA compensates for up to 85 percent et seq.). provide this information in person to of the difference in value between affected growers, direct marketers, and destroyed and replanted orchards. The List of Subjects in 7 CFR Part 301 nursery owners in the quarantined area. compensation rate depends on the year Agricultural commodities, Plant in an orchard’s life cycle that diseases and pests, Quarantine, Immediate Action destruction of the trees occurs. Reporting and recordkeeping Immediate action is necessary to Assuming a 3-year fallow period requirements, Transportation. reduce the economic effect of the plum following the destruction of an orchard, Accordingly, we are amending 7 CFR pox quarantine on affected commercial the revised compensation payments part 301 as follows: stone fruit growers and nursery owners, range from $3,302 to $18,519 per acre, thus ensuring the continued cooperation when the farmer sells to processors or PART 301—DOMESTIC QUARANTINE of growers and nursery owners with the wholesalers; and $3,302 to $29,743 per NOTICES survey and eradication activities being acre, when the farmer sells directly to conducted by the State of New York and consumers (such as at farmers’ markets). ■ 1. The authority citation for part 301 APHIS. Owners of fruit tree nurseries and continues to read as follows: Under these circumstances, the non-fruit-bearing tree nurseries who meet the eligibility requirements will be Authority: 7 U.S.C. 7701–7772 and 7781– Administrator has determined that prior 7786; 7 CFR 2.22, 2.80, and 371.3. notice and opportunity for public compensated by USDA for up to 85 Section 301.75–15 issued under Sec. 204, comment are contrary to the public percent of the net revenues lost from Title II, Public Law 106–113, 113 Stat. interest and that there is good cause their crops. The lost net revenues for 1501A–293; sections 301.75–15 and 301.75– under 5 U.S.C. 553 for making this non-fruit-bearing tree nurseries will be 16 issued under Sec. 203, Title II, Public Law action effective less than 30 days after calculated using an average price of 106–224, 114 Stat. 400 (7 U.S.C. 1421 note). publication in the Federal Register. $10.80 per tree or shrub. The lost net ■ 2. Section 301.74–5 is amended as We will consider comments we revenues for fruit tree nurseries will be follows: receive during the comment period for calculated using an average price per ■ a. By adding a new paragraph (a)(3) to this interim rule (see DATES above). tree at $5.22 for plum and apricot trees read as set forth below. After the comment period closes, we and $3.69 for peach and nectarine trees ■ b. By revising the tables in paragraphs will publish another document in the for both first and second year crops. (b)(1)(i) and (b)(1)(ii) to read as set forth Federal Register. The document will To date, a total of 11 peach growers and 12 nursery owners in the below. include a discussion of any comments ■ we receive and any amendments we are quarantined areas in New York have c. In paragraph (b)(2)(i)(B), by making to the rule. been compensated for the destruction of removing the figure ‘‘$4.65’’ and adding PPV-infected and -exposed trees and the words ‘‘$5.22 for plum and apricot Executive Order 12866 and Regulatory nursery stock. Most, if not all, of the trees and $3.69 for peach and nectarine Flexibility Act affected farms and nurseries are trees’’ in its place. This interim rule has been determined considered to be small entities, based on ■ d. In paragraph (b)(2)(ii)(B), by to be not significant for the purposes of the Small Business Administration removing the words ‘‘$4.65 for plum Executive Order 12866 and, therefore, standard of annual receipts of not more and apricot trees and $3.30’’ and adding has not been reviewed by the Office of than $750,000 and national sales data. the words ‘‘$5.22 for plum and apricot Management and Budget. These businesses will directly benefit trees and $3.69’’ in their place. In accordance with 5 U.S.C. 603, we from the higher compensation rates, and ■ e. By adding a new paragraph (b)(3) to have performed an initial regulatory eradication of the disease will be more read as set forth below. flexibility analysis, which is effectively achieved. ■ f. By revising paragraph (c) summarized below, regarding the introductory text to read as set forth economic effects of this rule on small Executive Order 12372 below. entities. The full analysis may be This program/activity is listed in the ■ g. In the heading of paragraph (c)(3), viewed on the Regulations.gov Web site Catalog of Federal Domestic Assistance by adding the words ‘‘and owners of (see ADDRESSES above for instructions under No. 10.025 and is subject to non-fruit-bearing ornamental tree for accessing Regulations.gov) or Executive Order 12372, which requires nurseries’’ after the word ‘‘nurseries’’.

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§ 301.74–5 Compensation. compensation for net revenue losses respect to regulated articles within the (a) * * * associated with the prohibition on the nursery in order to control plum pox. (3) Owners of non-fruit-bearing movement or sale of nursery stock as a (b) * * * ornamental tree nurseries. The owner of result of the issuance of an emergency (1) * * * a non-fruit-bearing ornamental tree action notification by APHIS with nursery will be eligible to receive (i) * * *

Maximum compensation rate ($/acre, equal to Maximum additional Maximum additional Age of trees (years) 85% of loss in value) compensation ($/acre, compensation ($/acre, based on 3-year fallow equal to 85% of loss in equal to 85% of loss in period value) for 4th fallow year value) for 5th fallow year

Less than 1 ...... $3,302 $954 $842 1 ...... 11,639 1,936 1,721 2 ...... 16,327 1,936 1,721 3 ...... 20,725 1,936 1,721 4 ...... 26,222 1,936 1,721 5 ...... 28,820 1,936 1,721 6 ...... 29,592 1,936 1,721 7 ...... 29,743 1,936 1,721 8 ...... 29,196 1,936 1,721 9 ...... 28,581 1,936 1,721 10 ...... 27,889 1,936 1,721 11 ...... 27,110 1,936 1,721 12 ...... 26,234 1,936 1,721 13 ...... 25,248 1,936 1,721 14 ...... 24,140 1,936 1,721 15 ...... 22,892 1,936 1,721 16 ...... 21,489 1,936 1,721 17 ...... 20,054 1,936 1,721 18 ...... 18,582 1,936 1,721 19 ...... 17,070 1,936 1,721 20 ...... 15,513 1,936 1,721 21 ...... 13,905 1,936 1,721 22 ...... 12,382 1,936 1,721 23 ...... 10,955 1,936 1,721 24 ...... 9,638 1,936 1,721 25 ...... 8,442 1,936 1,721

(ii) * * *

Less than 1 ...... $3,302 $954 $842 1 ...... 6,959 1,072 953 2 ...... 10,090 1,072 953 3 ...... 12,737 1,072 953 4 ...... 16,263 1,072 953 5 ...... 17,929 1,072 953 6 ...... 18,423 1,072 953 7 ...... 18,519 1,072 953 8 ...... 18,167 1,072 953 9 ...... 17,771 1,072 953 10 ...... 17,325 1,072 953 11 ...... 16,823 1,072 953 12 ...... 16,259 1,072 953 13 ...... 15,625 1,072 953 14 ...... 14,911 1,072 953 15 ...... 14,107 1,072 953 16 ...... 13,204 1,072 953 17 ...... 12,279 1,072 953 18 ...... 11,331 1,072 953 19 ...... 10,356 1,072 953 20 ...... 9,352 1,072 953 21 ...... 8,314 1,072 953 22 ...... 7,330 1,072 953 23 ...... 6,408 1,072 953 24 ...... 5,554 1,072 953 25 ...... 4,777 1,072 953

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* * * * * spearmint oil salable quantity from intra-seasonal increase in the salable (3) Owners of non-fruit-bearing 693,141 pounds to 733,913 pounds, and quantity and allotment percentage for ornamental tree nurseries. Owners of the allotment percentage from each class of oil was warranted. non-fruit-bearing ornamental tree 34 percent to 36 percent. In addition, Therefore, this rule continues in effect nurseries who meet the eligibility the interim rule increased the Native the action that increased the Scotch requirements of paragraph (a)(3) of this spearmint oil salable quantity from spearmint oil salable quantity from section will be compensated for up to 85 1,012,949 pounds to 1,266,161 pounds, 693,141 pounds to 733,913 pounds and percent of the net revenues lost from and the allotment percentage from allotment percentage from 34 percent to their crop as the result of the issuance 44 percent to 55 percent. This change is 36 percent. In addition, this rule of an emergency action notification. Net expected to moderate extreme continues in effect the action that revenues will be calculated using an fluctuations in the supply and price of increased the Native spearmint oil average price of $10.80 per tree or spearmint oil and to help maintain salable quantity from 1,012,949 pounds shrub. stability in the Far West spearmint oil to 1,266,161 pounds and allotment (c) How to apply. The form necessary market. percentage from 44 percent to to submit a claim for compensation may DATES: Effective June 1, 2011, through 55 percent. be obtained from the National Director May 31, 2012. In an interim rule published in the of the Plum Pox Eradication Program FOR FURTHER INFORMATION CONTACT: Federal Register on October 6, 2011, contact listed at http:// Barry Broadbent, Marketing Specialist, and effective June 1, 2011 through May www.aphis.usda.gov/plant_health/ 31, 2012, (76 FR 61933, Doc. No. AMS– _ _ _ or Gary Olson, Regional Manager, plant pest info/plum pox/index.shtml. Northwest Marketing Field Office, FV–10–0094, FV11–985–1 IR), § 985.230 Claims for trees or nursery stock Marketing Order and Agreement was amended to reflect the destroyed on or before February 3, 2012 Division, Fruit and Vegetable Programs, aforementioned increases in the salable must be received within 60 days after AMS, USDA; Telephone: (503) 326– quantities and allotment percentages for February 3, 2012. Claims for trees or 2724, Fax: (503) 326–7440, or Email: Scotch and Native spearmint oil for the nursery stock destroyed after February [email protected] or 2011–2012 marketing year. 3, 2012 must be received within 60 days [email protected]. Final Regulatory Flexibility Analysis after the destruction of the trees or Small businesses may obtain nursery stock. Claims must be submitted Pursuant to requirements set forth in information on complying with this and the Regulatory Flexibility Act (RFA), the as follows: other marketing order regulations by * * * * * Agricultural Marketing Service (AMS) viewing a guide at the following Web has considered the economic impact of Done in Washington, DC, this 30th day of site: www.ams.usda.gov/ this action on small entities. January 2012. MarketingOrdersSmallBusinessGuide; Accordingly, AMS has prepared this Kevin Shea, or by contacting Laurel May, Marketing final regulatory flexibility analysis. Acting Administrator, Animal and Plant Order and Agreement Division, Fruit The purpose of the RFA is to fit Health Inspection Service. and Vegetable Programs, AMS, USDA, regulatory actions to the scale of [FR Doc. 2012–2448 Filed 2–2–12; 8:45 am] 1400 Independence Avenue SW., STOP business subject to such actions in order BILLING CODE 3410–34–P 0237, Washington, DC 20250–0237; that small businesses will not be unduly Telephone: (202) 720–2491, Fax: (202) or disproportionately burdened. 720–8938, or Email: Marketing orders issued pursuant to the DEPARTMENT OF AGRICULTURE [email protected]. Act, and the rules issued thereunder, are SUPPLEMENTARY INFORMATION: unique in that they are brought about Agricultural Marketing Service This rule is issued under Marketing Order No. through group action of essentially 7 CFR Part 985 985 (7 CFR part 985), as amended, small entities acting on their own regulating the handling of spearmint oil behalf. [Doc. Nos. AMS–FV–10–0094; FV11–985–1A produced in the Far West (Washington, There are 8 spearmint oil handlers FIR] Idaho, Oregon, and designated parts of subject to regulation under the order, Nevada and Utah), hereinafter referred and approximately 32 producers of Marketing Order Regulating the to as the ‘‘order.’’ The order is effective Scotch spearmint oil and approximately Handling of Spearmint Oil Produced in under the Agricultural Marketing 88 producers of Native spearmint oil in the Far West; Revision of the Salable Agreement Act of 1937, as amended the regulated production area. Small Quantity and Allotment Percentage for (7 U.S.C. 601–674), hereinafter referred agricultural service firms are defined by Class 1 (Scotch) and Class 3 (Native) to as the ‘‘Act.’’ the Small Business Administration Spearmint Oil for the 2011–2012 The Department of Agriculture (SBA) as those having annual receipts of Marketing Year (USDA) is issuing this rule in less than $7,000,000, and small AGENCY: Agricultural Marketing Service, conformance with Executive Order agricultural producers are defined as USDA. 12866. those having annual receipts of less than ACTION: Affirmation of interim rule as The handling of spearmint oil $750,000. (13 CFR 121.201) final rule. produced in the Far West is regulated by Based on the SBA’s definition of 7 CFR part 985. Under the authority of small entities, the Committee estimates SUMMARY: The Department of the order, salable quantities and that two of the eight handlers regulated Agriculture (USDA) is adopting, as a allotment percentages were established by the order could be considered small final rule, without change, an interim for both Scotch and Native spearmint oil entities. Most of the handlers are large rule that revised the quantity of Class 1 for the 2011–2012 marketing year. corporations involved in the (Scotch) and Class 3 (Native) spearmint However, early in the 2011–2012 international trading of essential oils oil that handlers may purchase from, or marketing year, it became evident to the and the products of essential oils. In handle on behalf of, producers during Committee and the industry that addition, the Committee estimates that 8 the 2011–2012 marketing year. The demand for spearmint oil was greater of the 32 Scotch spearmint oil producers interim rule increased the Scotch than previously projected and that an and 22 of the 88 Native spearmint oil

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producers could be classified as small assigned OMB No. 0581–0178, Dated: January 30, 2012. entities under the SBA definition. Thus, Vegetable and Specialty Crop Marketing Robert C. Keeney, a majority of handlers and producers of Orders. No changes in those Acting Administrator, Agricultural Marketing Far West spearmint oil may not be requirements as a result of this action Service. classified as small entities. are necessary. Should any changes [FR Doc. 2012–2376 Filed 2–2–12; 8:45 am] The use of volume control regulation become necessary, they would be BILLING CODE 3410–02–P allows the industry to fully supply submitted to OMB for approval. spearmint oil markets while avoiding This rule will not impose any the negative consequences of over- DEPARTMENT OF TRANSPORTATION supplying these markets. Volume additional reporting or recordkeeping control is believed to have little or no requirements on either small or large Federal Aviation Administration effect on consumer prices of products spearmint oil handlers. As with all containing spearmint oil and likely does Federal marketing order programs, 14 CFR Part 39 not result in fewer retail sales of such reports and forms are periodically products. Without volume control, reviewed to reduce information [Docket No. FAA–2010–1206; Directorate producers would not be limited in the requirements and duplication by Identifier 2009–NM–216–AD; Amendment 39–16868; AD 2011–24–04] production and marketing of spearmint industry and public sector agencies. In oil. Under those conditions, the addition, USDA has not identified any RIN 2120–AA64 spearmint oil market would likely relevant Federal rules that duplicate, Airworthiness Directives; The Boeing fluctuate widely. Periods of oversupply overlap or conflict with this rule. could result in low producer prices and Company Airplanes a large volume of oil stored and carried Further, the Committee’s meeting was widely publicized throughout the AGENCY: Federal Aviation over to future crop years. Periods of Administration (FAA), DOT. undersupply could lead to excessive spearmint oil industry and all interested ACTION: Final rule; correction. price spikes and could drive end users persons were invited to attend the to source flavoring needs from other meeting and participate in Committee SUMMARY: The FAA is correcting an markets, potentially causing long term deliberations. Like all Committee airworthiness directive (AD) that economic damage to the domestic meetings, the August 17, 2011, meeting published in the Federal Register. That spearmint oil industry. The order’s was a public meeting and all entities, AD applies to certain Model DC–10–10, volume control provisions have been both large and small, were able to DC–10–10F, and MD–10–10F airplanes. successfully implemented in the express their views on this issue. The airplane manufacturer name stated domestic spearmint oil industry for Comments on the interim rule were in the subject line, product nearly three decades and provide required to be received on or before identification section, and paragraph (c) benefits for producers, handlers, December 5, 2011. No comments were of that AD, is incorrect. Also, the email manufacturers, and consumers. address provided in paragraphs (i)(1) This rule continues in effect the received. Therefore, for the reasons given in the interim rule, we are and (j) of that AD is incorrect. This action that increased the quantity of document corrects those errors. In all Scotch and Native spearmint oil that adopting the interim rule as a final rule, without change. other respects, the original document handlers may purchase from, or handle remains the same. on behalf of, producers during the To view the interim rule, go to: DATES: This final rule is effective 2011–2012 marketing year, which ends http://www.regulations.gov/ February 3, 2012. The effective date for on May 31, 2012. The Scotch spearmint #!documentDetail;D=AMS-FV-10-0094- AD 2011–24–04, Amendment 39–16868 oil salable quantity was increased from 0003. (76 FR 73491, November 29, 2011) 693,141 pounds to 733,913 pounds and remains January 3, 2012. the allotment percentage from This action also affirms information 34 percent to 36 percent. Additionally, contained in the interim rule concerning ADDRESSES: You may examine the AD the Native spearmint oil salable quantity Executive Orders 12866 and 12988, the docket on the Internet at http:// was increased from 1,012,949 pounds to Paperwork Reduction Act (44 U.S.C. www.regulations.gov; or in person at the 1,266,161 pounds and the allotment Chapter 35), and the E-Gov Act (44 Docket Management Facility between percentage from 44 percent to U.S.C. 101). 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD 55 percent. After consideration of all relevant docket contains this AD, the regulatory The Committee reached its material presented, it is found that evaluation, any comments received, and recommendation to increase the salable finalizing the interim rule, without quantity and allotment percentage for other information. The address for the change, as published in the Federal Docket Office (phone: (800) 647–5527) both Scotch and Native spearmint oil Register (76 FR 61933, October 6, 2011) after careful consideration of all is Document Management Facility, U.S. will tend to effectuate the declared available information, and believes that Department of Transportation, Docket policy of the Act. the levels recommended will achieve Operations, M–30, West Building the objectives sought. Without the List of Subjects in 7 CFR Part 985 Ground Floor, Room W12–140, 1200 increase, the Committee believes the New Jersey Avenue SE., Washington, industry would not be able to Marketing agreements, Oils and fats, DC 20590. satisfactorily meet current market Reporting and recordkeeping FOR FURTHER INFORMATION CONTACT: demand. requirements, Spearmint oil. Nenita Odesa, Aerospace Engineer, In accordance with the Paperwork Airframe Branch, ANM–120L, FAA, Los Accordingly, the interim rule that Reduction Act of 1995, (44 U.S.C. Angeles Aircraft Certification Office, amended 7 CFR part 985 and that was Chapter 35), the order’s information 3960 Paramount Boulevard, Lakewood, collection requirements have been published at 76 FR 61933 on October 6, California 90712–4137; phone: (562) previously approved by the Office of 2011, is adopted as a final rule, without 627–5234; fax: (562) 627–5210; email: Management and Budget (OMB) and change. [email protected].

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SUPPLEMENTARY INFORMATION: (c) Applicability DEPARTMENT OF COMMERCE Airworthiness Directive 2011–24–04, This AD applies to The Boeing Company amendment 39–16868 (76 FR 73491, Model DC–10–10, DC–10–10F, and MD–10– Bureau of Industry and Security November 29, 2011), currently requires 10F airplanes; certificated in any category; as repetitive inspections for cracking on identified in Boeing Alert Service Bulletin 15 CFR Part 744 the lower cap of the rear spar of the left DC10–57A156, Revision 2, dated August 23, [Docket No. 110718395–1482–01] and right wings between stations 2011. RIN 0694–AF30 Xors=417 and the outboard edge of the * * * * * lower cap splice of the wing rear spar ■ Amendment to the Export at station Xors=400; temporary and In the Federal Register of November Administration Regulations: Addition permanent repairs if necessary; and 29, 2011, on page 73493, in the third of a Reference to a Provision of the repetitive inspections of repaired areas, column, paragraph (i)(1) of AD 2011– Iran Sanctions Act of 1996 (ISA) and and corrective actions if necessary, for 24–04 Amendment 39–16868 (76 FR 73491, November 29, 2011), is corrected Statement of the Licensing Policy for certain Model DC–10–10, DC–10–10F, Transactions Involving Persons to read as follows: and MD–10–10F airplanes. Sanctioned Under the ISA As published, the airplane * * * * * manufacturer name specified in the (1) The Manager, Los Angeles Aircraft AGENCY: Bureau of Industry and subject line, product identification Certification Office, (ACO) FAA, has the Security, Department of Commerce. section, and paragraph (c) of AD 2011– authority to approve AMOCs for this AD, if ACTION: Final rule. 24–04, Amendment 39–16868 (76 FR requested using the procedures found in 14 SUMMARY: In this rule, the Bureau of 73491, November 29, 2011), is incorrect. CFR 39.19. Send information to ATTN: Industry and Security (BIS) amends the As published, the email address Nenita Odesa, Aerospace Engineer, Airframe Branch, ANM–120L, FAA, Los Angeles ACO, Export Administration Regulations provided in paragraphs (i)(1) and (j) of (EAR) to add a reference to the Iran AD 2011–24–04, Amendment 39–16868 3960 Paramount Boulevard, Lakewood, California 97012–4137; phone: 562–627– Sanctions Act of 1996 (ISA), which (76 FR 73491, November 29, 2011), is states BIS’s licensing policy for export incorrect. 5234; fax: 562–627–5210; email: [email protected]. and reexport transactions that involve No other part of the preamble or persons sanctioned pursuant to certain regulatory information has been * * * * * enumerated statutes. In this rule, BIS changed; therefore, only the changed ■ In the Federal Register of November provides notice to the public that it has portions of the final rule are being 29, 2011, on page 73494, in the first a general policy of denial for export and published in the Federal Register. column, paragraph (j) of AD 2011–24–04 reexport license applications in which a The effective date of this AD remains Amendment 39–16868 (76 FR 73491, person sanctioned by the State January 3, 2012. November 29, 2011), is corrected to read Department under the ISA is a party to as follows: the transaction. BIS also makes Correction of Non-Regulatory Text technical corrections to enhance clarity * * * * * In the Federal Register of November and consistency. 29, 2011, AD 2011–24–04, Amendment (i) Related Information DATES: This rule is effective February 3, 39–16868 (76 FR 73491, November 29, For more information about this AD, 2012. 2011), is corrected as follows: contact Nenita Odesa, Aerospace Engineer, FOR FURTHER INFORMATION CONTACT: On page 73491, in the second column, Airframe Branch, ANM–120L, FAA, Los Theodore Curtin, Sr. Export Policy in the subject line, change the subject Angeles ACO, 3960 Paramount Boulevard, Analyst, Foreign Policy Controls line to read as follows: Lakewood, California 97012–4137; phone: Division, Bureau of Industry and 562–627–5234; fax: 562–627–5210; email: Security, Department of Commerce, by ‘‘Airworthiness Directives; The Boeing [email protected]. Company Airplanes.’’ telephone (202) 482–1975 or by email to * * * * * [email protected]. Correction of Regulatory Text SUPPLEMENTARY INFORMATION: Issued in Renton, Washington, on January § 39.13 [Corrected] 23, 2012. Background ■ In the Federal Register of November Kalene C. Yanamura, Basis of Amendment 29, 2011, on page 73492, in the third Acting Manager, Transport Airplane Directorate, Aircraft Certification Service. The Iran Sanctions Act of 1996 (50 column, the product identification line U.S.C. 1701 note) (ISA) requires the of AD 2011–24–04, Amendment 39– [FR Doc. 2012–2295 Filed 2–2–12; 8:45 am] President to sanction persons 16868 (76 FR 73491, November 29, BILLING CODE 4910–13–P determined to have engaged in certain 2011), is corrected to read as follows: actions that help Iran develop * * * * * petroleum resources, produce refined 2011–24–04 The Boeing Company: petroleum resources, or acquire refined Amendment 39–16868; Docket No. petroleum products. Sanctions must FAA–2010–1206; Directorate Identifier also be imposed, pursuant to the ISA, on 2009–NM–216–AD. persons determined to have taken * * * * * certain actions to help Iran acquire or ■ In the Federal Register of November develop certain weapons of mass 29, 2011, on page 73492, in the third destruction, missiles, or advanced column, paragraph (c) of AD 2011–24– conventional weapons. In a September 04 Amendment 39–16868 (76 FR 73491, 23, 2010 Presidential Memorandum, the November 29, 2011), is corrected to read President delegated the authority to as follows: impose sanctions under the ISA to the * * * * * Secretary of State.

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Pursuant to that delegation, the State As defined in the EAR, the term number 0694–0088, ‘‘Multi-Purpose Department makes a determination ‘‘person’’ applies to both natural Application,’’ which carries a burden whether to impose sanctions. Guidance persons and entities such as hour estimate of 58 minutes to prepare on sanctions imposed by the Secretary corporations and organizations. and submit form BIS–748. Total burden of State under the ISA is available at Also, in this rule, BIS makes technical hours associated with the PRA and http://www.state.gov/e/eeb/esc/ corrections to Section 744.19 of the EAR OMB control number 0694–0088 are not iransanctions/. Exporters should contact to update statutory citations and make expected to increase as a result of this the Department of State directly if they conforming changes. This rule updates rule. have questions about ISA-related the reference to the Iran 3. This rule does not contain policies sanctions. Nonproliferation Act of 2000, which has with Federalism implications as that Upon making its determination, the been amended on several occasions and term is defined under Executive Order State Department publishes in the is currently referred to as the Iran, North 13132. Federal Register notices of the Korea, and Syria Nonproliferation Act, 4. The provisions of the imposition of sanctions under the ISA. adds the U.S. Code citation for the Iran Administrative Procedure Act (5 U.S.C. There are several possible sanctions that Nonproliferation Act of 2000, and 553) requiring notice of proposed may be imposed under the ISA amends the citations for the statutes rulemaking, the opportunity for public including a prohibition implemented by referenced in Section 744.19(a), (b), and participation, and a delay in effective BIS on the issuance by the U.S. (c) to refer solely to the U.S. Code date, are inapplicable because this Government of a specific license or citations. regulation involves a military or foreign other specific permission or authority to Since August 21, 2001, the Export affairs function of the United States (see export goods or technology to a Administration Act of 1979, as 5 U.S.C. 553(a)(1)). Further, no other sanctioned person under the Export amended, has been in lapse and the law requires that a notice of proposed Administration Act of 1979, as amended President, through Executive Order rulemaking and an opportunity for (50 U.S.C. App. §§ 2401–2420). 13222 of August 17, 2001 (3 CFR, 2001 public comment be given for this rule. Comp. 783 (2002)), as extended most Because a notice of proposed Amendment to the EAR: Addition of a recently by the Notice of August 12, Reference to the ISA rulemaking and an opportunity for 2011 (76 FR 50661 (August 16, 2011)), public comment are not required to be This rule amends the Export has continued the EAR in effect under given for this rule by 5 U.S.C. 553, or Administration Regulations (EAR) at 15 the International Emergency Economic by any other law, the analytical CFR 744.19 to state that, consistent with Powers Act. BIS continues to carry out requirements of the Regulatory the sanctions programs described in the provisions of the Export Flexibility Act (5 U.S.C. 601 et seq.) are Section 744.19(a), (b), and (c), BIS will Administration Act of 1979, as not applicable. Therefore, this rule is apply a policy of denial when reviewing amended, as appropriate and to the issued in final form. export or reexport license applications extent permitted by law, pursuant to in which a person sanctioned under the Executive Order 13222. List of Subjects in 15 CFR Part 744 ISA is a party to the transaction. Rulemaking Requirements Exports, Reporting and recordkeeping Currently, Section 744.19 of the EAR requirements, Terrorism. states that BIS’s policy is to deny export 1. Executive Orders 13563 and 12866 Accordingly, part 744 of the Export or reexport license applications if a direct agencies to assess all costs and Administration Regulations (15 CFR person who is a party to the transaction benefits of available regulatory (i.e., the applicant, other party alternatives and, if regulation is Parts 730–774) is amended as follows: authorized to receive the license, necessary, to select regulatory PART 744—[AMENDED] purchaser, intermediate consignee, approaches that maximize net benefits ultimate consignee, or end user) is (including potential economic, ■ 1. The authority citation for 15 CFR subject to a sanction issued pursuant to environmental, public health and safety Part 744 continues to read as follows: one of three statutory authorities: (1) effects, distributive impacts, and Authority: Et seq.; 42 U.S.C. 2139a; 22 The Iran-Iraq Arms Nonproliferation Act equity). Executive Order 13563 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. of 1992 (Pub. L. 102–484); (2) the Iran, emphasizes the importance of 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. North Korea, and Syria Nonproliferation quantifying both costs and benefits, of 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Act (Pub. L. 106–178); or (3) Section reducing costs, of harmonizing rules, Comp., p. 608; E.O. 12938, 59 FR 59099, 11B(b)(1)(B)(i) or (ii) of the Export and of promoting flexibility. This rule 3 CFR, 1994 Comp., p. 950; E.O. 12947, 60 Administration Act of 1979, as amended has been determined to be not FR 5079, 3 CFR, 1995 Comp., p. 356; E.O. (50 U.S.C. App. §§ 2401–2420). In this significant for purposes of Executive 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. rule, BIS amends Section 744.19 to add Order 12866. 228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 a reference to a fourth statute, the ISA. 2. Notwithstanding any other Comp., p. 208; E.O. 13222, 66 FR 44025, 3 Also, this rule clarifies in Section provisions of law, no person is required CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; Notice of 744.19 that the policy of denial applies to respond to or be subject to a penalty January 13, 2011, 76 FR 3009 (January 18, to any person sanctioned under one of for failure to comply with a collection 2011); Notice of August 12, 2011, 76 FR the four statutes who is a party to the of information, subject to the 50661 (August 16, 2011); Notice of November transaction (i.e., the applicant, other requirements of the Paperwork 9, 2011, 76 FR 70319 (November 10, 2011). party authorized to receive a license, Reduction Act of 1995 (44 U.S.C. 3501 ■ 2. Revise § 744.19 to read as follows: purchaser, intermediate consignee, et seq.) (PRA), unless that collection of ultimate consignee, or end-user). To information displays a currently valid § 744.19 Licensing Policy Regarding make this clarification, this rule Office of Management and Budget Persons Sanctioned Pursuant to Specified replaces the term ‘‘entity’’ that (OMB) Control Number. This rule Statutes. previously appeared in Section 744.19 involves a collection of information Notwithstanding any other licensing of the EAR with ‘‘person’’ in order to be subject to the PRA. This collection has policy elsewhere in the EAR, BIS will consistent with the four statutes and been approved by the Office of deny any export or reexport license BIS’s licensing policy under the EAR. Management and Budget under control application if any person who is a party

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to the transaction (i.e., the applicant, DEPARTMENT OF COMMERCE FOR FURTHER INFORMATION CONTACT: Jeff other party authorized to receive a Hartman, (907) 586–7442, or Patsy A. license, purchaser, intermediate National Oceanic and Atmospheric Bearden, (907) 586–7008. consignee, ultimate consignee, or end- Administration SUPPLEMENTARY INFORMATION: NMFS user) is subject to one or more of the manages the U.S. groundfish fisheries of sanctions described in paragraphs (a), 15 CFR Part 902 the Bering Sea and Aleutian Islands (b), (c), and (e) of this section and will Management Area (BSAI) in the deny any export or reexport license 50 CFR Part 679 Exclusive Economic Zone under the application for an item listed on the [Docket No. 110207103–2041–02] Fishery Management Plan for Commerce Control List with a reason for Groundfish of the Bering Sea and control of MT if a person who is a party RIN 0648–BA80 Aleutian Islands Management Area to the transaction is subject to a sanction (FMP). The North Pacific Fishery described in paragraph (d) of this Fisheries of the Exclusive Economic Management Council (Council) section. Zone Off Alaska; Chinook Salmon prepared the FMP pursuant to the Bycatch Management in the Bering Magnuson-Stevens Fishery (a) A sanction issued pursuant to the Sea Pollock Fishery; Economic Data Conservation and Management Act Iran-Iraq Arms Nonproliferation Act of Collection (Magnuson-Stevens Act) 16 U.S.C. 1801, 1992 (50 U.S.C. 1701 note) that et seq. Regulations implementing the prohibits the issuance of any license to AGENCY: National Marine Fisheries FMP appear at 50 CFR part 679. General or by the sanctioned person. Service (NMFS), National Oceanic and regulations that pertain to U.S. fisheries (b) A sanction issued pursuant to the Atmospheric Administration (NOAA), appear at subpart H of 50 CFR part 600. Iran, North Korea, and Syria Commerce. This rule implements the Chinook Nonproliferation Act (50 U.S.C. 1701 ACTION: Final rule. Salmon Economic Data Report (EDR) note) that prohibits the granting of a Program, which will provide NMFS SUMMARY: NMFS issues a final rule to with additional data to assess the license and requires the suspension of implement the Chinook Salmon effectiveness of the Chinook salmon an existing license for the transfer to Economic Data Report Program, which bycatch management measures foreign persons of items, the export of will evaluate the effectiveness of implemented under Amendment 91 to which is controlled under the Export Chinook salmon bycatch management the FMP. The EDR consists of one new Administration Act of 1979, as amended measures for the Bering Sea pollock data collection and two revised data (50 U.S.C. app. 2401–2420), or the fishery that were implemented under collections. The Chinook Salmon EDR Export Administration Regulations. Amendment 91 to the Fishery program applies to owners and Management Plan for Groundfish of the (c) A sanction issued pursuant to operators of catcher vessels, catcher/ Bering Sea and Aleutian Islands section 11B(b)(1)(B)(ii) of the Export processors, motherships, and the six Management Area (FMP). Members of Administration Act of 1979, as amended Western Alaska Community the American Fisheries Act catcher (50 U.S.C. app. 2401–2420), that Development Quota (CDQ) Program vessels, catcher/processor, and prohibits the issuance of new licenses groups qualified to participate in the mothership sectors as well as for exports to the sanctioned person of pollock (Theragra chalcogramma) representatives for the six western items controlled pursuant to the Export fishery in the Bering Sea subarea of the Alaska Community Development Quota Administration Act of 1979, as BSAI. This rule also applies to the Program organizations that presently amended. representatives of the above described receive allocations of Bering Sea pollock participants in the Bering Sea pollock (d) A sanction issued pursuant to will submit the data collected for this fishery. section 11B(b)(1)(B)(i) of the Export program. This rule is intended to Administration Act of 1979, as amended promote the goals and objectives of the Background (50 U.S.C. app. 2401–2420), that FMP, the Magnuson-Stevens Fishery NMFS implemented Amendment 91 prohibits the issuance of new licenses Conservation and Management Act, and for exports to the sanctioned person of (75 FR 53026, August 30, 2010) to other applicable law. balance the need to minimize bycatch of MTCR Annex equipment or technology DATES: This final rule is effective March controlled pursuant to the Export Chinook salmon in the Bering Sea 5, 2012. pollock fishery with the potential costs Administration Act of 1979, as ADDRESSES: Electronic copies of this of bycatch restrictions on the pollock amended. rule, the Regulatory Impact Review fishery. In addition to limiting the (e) A sanction issued pursuant to the (RIR), and Final Regulatory Flexibility amount of Chinook salmon that may be Iran Sanctions Act of 1996 (50 U.S.C. Analysis (FRFA) may be obtained from caught by the pollock fishery, 1701 note) that prohibits the issuance of the NMFS Alaska Region Web site at Amendment 91 includes innovative a specific license or grant of any other http://alaskafisheries.noaa.gov. industry-designed incentives, such as specific permission or authority to Written comments regarding the the use of penalties for vessels that export any goods or technology to a burden-hour estimates or other aspects exceed a sector-established Chinook sanctioned person under the Export of the collection-of-information salmon PSC limit. These industry- Administration Act of 1979, as amended requirements contained in this final rule enforced incentives are intended to (50 U.S.C. app. 2401–2420). may be submitted by mail to NMFS, minimize Chinook salmon bycatch to Alaska Region, P.O. Box 21668, Juneau, the extent practicable in all years, and Dated: January 30, 2012. AK 99802–1668, Attn: Ellen Sebastian, to prevent bycatch from reaching the Kevin J. Wolf, Records Officer; in person at NMFS, established limit in most years. Assistant Secretary for Export Alaska Region, 709 West 9th Street, Amendment 91 also allows NMFS to Administration. Room 420A, Juneau, Alaska; by email to allocate transferrable Chinook salmon [FR Doc. 2012–2465 Filed 2–2–12; 8:45 am] [email protected]; or by prohibited species catch (PSC) to an BILLING CODE 3510–33–P fax to (202) 395–7285. entity representing the catcher/

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processor sector, mothership sector, will allow NMFS to analyze and commenter requests that NMFS require inshore cooperatives, and CDQ groups compare annual and seasonal changes the reporting of these data only in an participating in the Bering Sea pollock in the pollock fleet under Amendment IPA annual report, and make optional fishery. The Amendment 91 program 91. Specifically, the new EDR reports the reporting of these data by each AFA applies to owners and operators of will gather information on authorized cooperative in the AFA cooperative catcher vessels, catcher/processors, transfers of Chinook salmon prohibited annual report. The commenter points motherships, inshore processors, and species catch; vessel movements on the out that it is difficult for each AFA the six CDQ Program groups fishing grounds; and pollock cooperative to be informed of a different participating in the pollock fishery in allocations, sub-allocations, and AFA cooperative’s records of sub- the Bering Sea subarea of the BSAI. transfers between members in an AFA allocations and catches, and that In developing Amendment 91, the cooperative. coordinating data from multiple sources Council used the best scientific The analysis NMFS will conduct with into a single report without some information available, including catch these data will assist NMFS and the centralized repository for this data accounting data, observer data and Council to evaluate the effectiveness of: would be difficult. In contrast, each IPA vessel monitoring system data, to (1) The IPA incentives in times of high may include parties from multiple sufficiently analyze the Chinook and low levels of Chinook salmon cooperatives, and so an IPA bycatch management measures abundance; (2) the Chinook salmon PSC representative has the ability to request, approved by the Secretary. The Council limits; and (3) the performance standard organize, and report that information determined that it needed additional in reducing Chinook salmon bycatch. from each AFA cooperative. data in order to evaluate the longer-term This analysis also can examine how Response: NMFS agrees with this effectiveness of the industry’s incentives Amendment 91 affects where, when, comment with respect to the reporting and the hard cap for reducing salmon and how pollock fishing and Chinook of information about the sub-allocations prohibited species catch in the Bering salmon bycatch occur. Additionally, of Chinook salmon PSC and pollock. Sea pollock fishery. NMFS will use the data to study and NMFS proposed the option of reporting verify conclusions regarding the all Chinook salmon PSC and pollock Actions Implemented by Rule effectiveness of Amendment 91 to sub-allocation data as well as the Under this final rule, NMFS minimize Chinook salmon bycatch to number of salmon caught at the end of establishes economic data requirements the extent practicable, as described by each season in either the AFA to implement the Chinook salmon EDR industry in an IPA annual report. cooperative annual report or the IPA program. In addition to the previous The Council recommended that the report, but not both. The reason for data sources, the EDR now includes data collection program should be providing the option is to avoid three new data forms: (1) The Chinook limited in scope to minimize the duplicate data reporting requirements. Salmon Prohibited Species Catch (PSC) industry burden of recordkeeping and NMFS originally believed that providing Compensated Transfer Report (CTR); (2) reporting. They also recognized that the a mutually exclusive choice for either the Vessel Fuel Survey; and (3) the quantity and quality of data submitted an AFA cooperative representative or Vessel Master Survey. The persons may only partially address the purpose the IPA representative to submit that required to submit the EDR include and need statement for this action. This data would provide some additional vessel owners, vessel leaseholders, or collection provides additional flexibility for the industry. The vessel masters of American Fisheries information to status quo data sources, commenter provides new information Act (AFA) vessels, depending on the but may not answer all the Council’s that this approach may create additional requirements listed in each form. Chinook salmon bycatch policy reporting burden and will not provide Submitters also include representatives questions. Accordingly, the Council the flexibility intended by NMFS. for, or participants in, an AFA catcher/ may propose future revisions to the data NMFS believes that an IPA processor or mothership sector, inshore collection as industry develops representative can aggregate sub- cooperative, CDQ groups, or parties to experience with both the data collection allocation and catch data received from an incentive plan agreement (IPA). program and Amendment 91. The members of an AFA cooperative who This rule amends other existing preamble to the proposed rule (76 FR also are party to an IPA. Under the final recordkeeping and reporting 42099, July 18, 2011) includes detailed rule, NMFS continues to require the requirements, including the (1) IPA information on the management AFA cooperative representative to Annual Report; (2) Catcher Vessel Trawl background and need for the action. submit information on sub-allocations Gear Groundfish Daily Fishing Logbook; of Chinook salmon PSC and pollock in Comments and Responses (3) Catcher/processor Trawl Gear an IPA annual report. However, NMFS, Electronic Logbook; and (4) eLandings NMFS invited comments on the will not require submission of that landing report. The rule also adds new proposed rule through August 17, 2011 information in the AFA cooperative data requirements for existing (76 FR 42099, July 18, 2011). NMFS annual report. NMFS will continue to groundfish logbooks and landing reports received one submission containing five require the reporting of retained and on trawl vessels’ movements to avoid unique comments on the proposed rule. discarded Chinook salmon PSC and Chinook salmon bycatch. The rule The comments are summarized and pollock in both the IPA annual report revises data requirements regarding responded to below. and the AFA cooperative annual report. transfers of Chinook salmon PSC and Comment 1: To avoid duplicate Comment 2: Representatives for the pollock among AFA participants in IPA reporting of an AFA cooperative’s AFA cooperative or sector-level entity Annual Reports. vessels’ sub-allocations and seasonal are not likely to be informed of the price harvest of the number of Chinook of each transaction for Chinook salmon What the Amendments Accomplish salmon PSC and the amount of pollock PSC. Therefore, the quality of data in The information required in the three metric tons (mt), the proposed rule the Chinook Transfer Report (CTR) will new EDR forms and in the revisions to required reporting of these data in either not be improved by requiring this price existing recordkeeping and reporting the IPA annual report in § 679.21(f)(13) data from these representatives. requirements includes a combination of or in the AFA cooperative annual report Response: NMFS disagrees with the quantitative and qualitative data that in § 679.61(f)(2) but not in both. The comment that a representative for an

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AFA cooperative or sector level entity checked, the vessel owner should not be Comment 5: Under the proposed rule, should be removed from the persons required to complete remaining sections persons submitting an EDR will be required to submit a CTR. NMFS of the Vessel Master Survey. The check required to respond within 20 days of a proposed a broad approach to identify box should be similar to the check box NMFS information request. A 20-day the persons that may have knowledge of on the Vessel Fuel Survey. time limit is an unreasonable number of CTR price data. When NMFS proposed Response: NMFS agrees with this days to expect a response, and a 90-day this rule, the Amendment 91 program comment. This is a minor revision to the interval of time for responding to a had been implemented recently, and Vessel Master Survey that will reduce request for additional data for verifying little information was available about unnecessary reporting burden. NMFS the accuracy of an EDR will be more which industry participants would have proposed the use of a similar check box practical. knowledge about the details of the for simplifying the reporting in the Response: NMFS disagrees with this pricing of each Chinook salmon PSC Vessel Fuel Survey. Adding a check box comment. The 20-day limit for transaction. Accordingly, NMFS to indicate that the vessel did not responding to an inquiry from NMFS for proposed to gather information about participate in the Bering Sea pollock additional information does not apply to the pricing from the parties most likely fishery should reduce the burden of all three Chinook salmon EDR data to have that information. Under this reporting information in other fields of forms as stated in the public comment, rule, the four persons required to report the form. Thus, NMFS has added a but only to the CTR. Data required for price and amounts of Chinook salmon check box to the Vessel Master Survey the Vessel Master Survey and Vessel PSC transfers in the CTR are (1) the to indicate if the vessel did not Fuel Survey is generally qualitative and owner or leaseholder of an AFA- participate in the Bering Sea pollock based on the opinion of an owner or permitted vessel; (2) the representative fishery during the reporting year. In that vessel master. NMFS does not require for an AFA cooperative; (3) the sector- event, the vessel owner will not be that submitters record and retain level entity; and (4) the CDQ group. required to complete the remaining additional logs or records to support the NMFS is aware that not all these sections of the Vessel Master Survey. qualitative responses, and will not audit persons may have transferred Chinook This revision to the survey does not these responses with requests for salmon PSC allocation and paid or amend regulatory text in the final rule, additional data. Data required for the received money for the transfer during but is added to the Recordkeeping and CTR would include persons or entities the reporting year. In response to this Reporting requirements for the Vessel party to specific transactions. The comment, and to reduce reporting Master Survey (OMB Control Number identity of persons, prices and the burden, NMFS has added a check box 0648–0633). amounts included in a given transaction for the CTR are records that NMFS to the certification page of the CTR for Comment 4: The commenter does not expects submitters to retain to support any owner or leaseholder of an AFA object to requiring a vessel owner to permitted vessel and the representative this data collection and other reporting. submit each Vessel Master Survey filled of any entity that received an allocation The 20-day time limit for responding to out by a vessel master, but suggests the of Chinook PSC from NMFS to indicate a request from NMFS to submit vessel owner should not be held if he/she did or did not participate in additional data for a CTR was modeled responsible if the vessel master fails to any qualifying Chinook salmon PSC after EDR regulations for both the BSAI submit a completed and accurate Vessel transactions. If the submitter did not Crab Rationalization Program (70 FR Master Survey. participate in any qualifying Chinook 10174, March 2, 2005) and the salmon PSC transactions, then he/she Response: NMFS proposed that a Amendment 80 program (72 FR 52668, may submit only the certification page vessel owner or leaseholder of an AFA- September 14, 2007). Submitters of data and is not required to fill out any permitted vessel used to harvest pollock from each of those two ongoing data additional data. in the Bering Sea in the previous year collection programs have successfully If NMFS removes the requirement for must submit all Vessel Master Surveys responded within the 20-day time limit. a representative of an AFA cooperative completed by each vessel master who There are no requirements in the three or sector-level entity to submit a CTR or fished on the owner’s vessel and verify Chinook EDRs that would justify a certification page, NMFS will not be that each vessel master listed on the different or longer response period to able to differentiate between a certification page of the form was a agency requests for additional representative of an AFA cooperative vessel master of the owner’s AFA- information on the CTR. Revising the that had conducted a Chinook salmon permitted vessel. This responsibility is 20-day limit to a different interval will PSC transaction and failed to submit the assigned to the vessel owner because the create an inconsistency with these CTR, and a representative that had not owner is the individual most likely to established EDR programs. conducted any qualifying Chinook hire a vessel master and arrange for In both the BSAI Crab Rationalization salmon PSC transactions. NMFS collection of any information relevant to and Amendment 80 EDR programs, the believes that the requirement for the operation of the vessel. Also, NMFS protocol for implementing the 20-day representatives of an AFA cooperative has no current database of vessel time limit for a submitter to respond to or sector-level entity to submit the CTR masters names and contact information a NMFS request for additional is necessary to ensure that all persons that would allow for contact of each information is invoked only after NMFS involved in monetary exchange for vessel master operating a given vessel. has completed a formal and multi-day Chinook salmon PSC fill out a CTR, and Instead, vessel owners or leaseholders sequence of steps for contacting that the CTR reporting burden for those are required to collect the completed submitters. The protocol for the that did not pay or receive money for a data forms from each vessel master and sequence of phone, email, and letter transfer is minimal. submit them to NMFS, but are not contacts with a submitter of any EDR Comment 3: The Vessel Master responsible for the accuracy or from whom NMFS requests additional Survey should include on the Vessel completeness of information completed information requires three weeks to a Owner Certification Page a ‘‘check box’’ by the vessel master. A vessel owner or month, prior to NMFS concluding that to indicate that the vessel did not leaseholder, however, may be contacted NMFS data collection staff are unable to participate in the Bering Sea pollock by NMFS to assist in verifying the solicit a response from an EDR fishery during the reporting year and, if identity of vessel masters. submitter. The total elapsed time prior

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to forwarding a request to NOAA Office and discarded catch of pollock and all submitted on or before June 1, 2013, and of Law Enforcement for assistance in Chinook salmon PSC in the AFA annual each year thereafter. This clarification is contacting a submitter is approximately cooperative report consistent with the included to eliminate ambiguity six to eight weeks. Based on the history intent of the AFA annual cooperative regarding whether the submission of of the submitter contact process for the report to collect information on retained Chinook bycatch EDR data should begin BSAI Crab Rationalization and and discarded catch of pollock and all in 2012 or 2013. Amendment 80 EDRs, in only a single PSC. NMFS will not revise § 679.61 in instance has NMFS requested that the this final rule. Classification NOAA Office of Law Enforcement assist NMFS makes minor corrections in the The Administrator, Alaska Region, in contacting an EDR submitter. The final rule to create consistent NMFS determined that this final rule is NOAA Office for Law Enforcement submission requirements for both the necessary for the conservation and issued a formal warning to the submitter regulations and the instructions in the management of the groundfish fisheries for not responding to a NMFS request Vessel Master Survey. In the regulatory off Alaska and that it is consistent with for audit information on a Crab EDR. text, NMFS clarifies that the vessel the Magnuson-Stevens Act and other Based on experience in these EDR master must complete the vessel master applicable law. programs, in the final rule, NMFS certification page in the Vessel Master Small Entity Compliance Guide retains the 20-day time limit for Survey, and the vessel owner or responding to a formal request for leaseholder must complete the vessel The preamble to the proposed rule additional information on a submitted owner certification. NMFS also clarifies and this final rule serve as the small EDR. that the vessel owner or leaseholder entity compliance guide required by must electronically submit to NMFS all Section 212 of the Small Business Changes From the Proposed Rule the Vessel Master Survey certification Regulatory Enforcement Fairness Act of In response to public comment on the pages and vessel survey forms as well as 1996. This action does not require any proposed rule, NMFS will not revise the the vessel owner certification. additional compliance from small AFA cooperative’s annual reporting NMFS makes additional corrections to entities that is not described in the requirements at § 679.61(f). NMFS is the submission dates for an IPA annual preamble. Copies of this final rule are removing the proposed options for report and the three Chinook salmon available from the NMFS Alaska Region reporting certain information on EDR reports to correspond with the Web site at http://alaskafisheries.noaa. Chinook salmon PSC and pollock in effective date of this final rule. The first gov. either an IPA annual report or an AFA correction clarifies that new data on the cooperative’s annual report. sub-allocations, retained catch, and Executive Order 12866 Additionally, NMFS removes the discarded catch of Chinook salmon PSC This rule has been determined to be proposed provision to require that IPA and pollock required in an IPA annual not significant for purposes of Executive annual reports at § 679.21(f)(13)(ii)(E) report at § 679.21(f)(13)(ii)(E) and Order 12866. include the number of Chinook salmon (f)(13)(ii)(F), must be submitted on or Regulatory Flexibility Act PSC and the amount of pollock at the before April 1, 2013, for the calendar start of each season sub-allocated to year of 2012, rather than June 1, 2012, A final regulatory flexibility analysis each participating vessel, as well as the for the calendar year of 2011. (FRFA) was prepared, as required by number of Chinook salmon PSC and Submission dates for most of the data section 604(a) of the Regulatory amount of pollock (mt) caught at the required in an IPA annual report will Flexibility Act (RFA). NMFS did not end of each season, unless reported in continue to be April 1, 2012. IPA receive any comments on the initial an AFA cooperative’s annual report representatives will still be required to regulatory flexibility analysis (IRFA) under § 679.61(f)(2). NMFS removes the include a description of (1) the and the FRFA incorporates the IRFA phrase ‘‘unless reported under incentive measures for the previous year and provides a summary of the analyses § 679.61(f)(2)’’ in response to a public (§ 679.21(f)(13)(ii)(A)); (2) how completed to support the action. A copy comment for the reasons explained incentives affect each vessel of this analysis is available from NMFS above under Comments and Responses. (§ 679.21(f)(13)(ii)(B)); (3) whether the (see ADDRESSES). An IPA annual report, therefore, must incentives achieve salmon savings Need for and Objectives of the Rule include the above-described (§ 679.21(f)(13)(ii)(C)); and (4) the information. amendments to the terms of the IPA This action is needed because current Another change NMFS makes from (§ 679.21(f)(13)(ii)(C)). sources of data collected under the proposed rule is to remove the NMFS includes a minor clarification Amendment 91, including catch proposed requirement that the AFA to the requirements for the IPA annual accounting, observer, and vessel cooperative’s annual report at report at § 679.21(f)(13)(ii)(F)(1)((iv) and monitoring system data, do not provide § 679.61(f)(2)(vii) include data on the (f)(13)(ii)(F)(2)((iv). NMFS adds the all the industry data that is necessary for sub-allocations and catch of Chinook word ‘‘PSC’’ to the phrase, ‘‘number of analysis of the management measures salmon PSC and pollock. This change Chinook salmon transferred’’ wherever implemented to reduce Chinook salmon responds to the public comment it appears in the paragraph. These two bycatch. The Council proposed to referred to above, and is explained phrases are revised to state, ‘‘number of address those data limitations by under Comments and Responses. Chinook salmon PSC transferred.’’ This creating the EDR. The EDR provides NMFS also withdraws all proposed revision is required for consistency with data to evaluate the effectiveness of: (1) revisions to § 679.61(f)(2)(ii) that would reference to Chinook salmon PSC in the The IPA incentives in times of high and have moved the reporting of retained preceding paragraph at low levels of salmon bycatch; (2) and discarded catch of pollock and § 679.21(f)(13)(ii)(F)(1). Chinook salmon PSC limits; and (3) the Chinook salmon PSC from NMFS clarifies the submission dates performance standard in terms of § 679.61(f)(2)(ii) to a different location for the three Chinook salmon EDR reducing salmon bycatch. The EDR data in the AFA cooperative’s annual report reports at § 679.65(b) through (d) by allows for the evaluation of how at § 679.61(f)(2)(vii). NMFS will specifying that the CTR, Vessel Master Amendment 91 affects where, when, continue to require reporting of retained Survey, and Vessel Fuel Survey must be and how pollock fishing and salmon

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bycatch occur. The EDR program also Description of Significant Alternatives Based upon the best available will provide data for the agency to study and a Description of Steps Taken To scientific data and consideration of the and verify conclusions drawn by Minimize the Significant Economic objectives of this action, the Council industry in an IPA annual report. Impacts on Small Entities and NMFS determined there are no To minimize impacts on small alternatives to this action that have the Significant Issues Raised by the Public potential to accomplish the stated Comments entities, NMFS did not select some options considered in the RIR that may objectives of the Magnuson-Stevens Act The proposed rule was published on have expanded the amount of data and any other applicable statutes as well July 18, 2011 (76 FR 42099). An IRFA available to evaluate the effectiveness of as minimize any significant adverse was prepared for the proposed rule and Amendment 91. For example, requiring economic impact of the rule on small was described in the classifications reporting of additional detailed roe entities. The analysis did not identify section of the preamble to the rule. The production as well as expanded any Federal rules that will duplicate, public comment period ended on Chinook salmon transfer data, revenue overlap, or conflict with the action. This August 17, 2011. No comments specific data, and daily operating cost data were rule requires revisions to some existing to the IRFA were received. Five considered but rejected because these recordkeeping and reporting comments were received specific to the data may not be recorded by the requirements and includes one new action and were summarized in the industry in a consistent and uniform collection of information to implement new EDR forms. preamble to this final rule under manner, and would be costly for Comments and Responses. submitters to report. Alternatives 2 and Collection-of-Information Requirements 3 included options for expanding the Number and Description of Small frequency of reporting and the amount This rule contains collection-of Entities Directly Regulated by the Rule of data to be collected beyond those information requirements subject to the Paperwork Reduction Act (PRA) that The directly regulated entities for this required by this final rule. These more detailed data were to be collected have been approved by the OMB. The final action are the members of the during or at the end of each fishing trip, collections are listed below by OMB commercial fishing fleet that participate and included (1) the use of ledger forms control number. in the directed pollock trawl fishery in for recording the amount Chinook the Bering Sea. Under a conservative OMB Control Number 0648–0634 salmon PSC or pollock allocations and application of the Small Business transfers; (2) the reporting of the price Public reporting burden per response Administration criterion and the best for each transfer of Chinook salmon PSC is estimated to average 23 minutes for a available data from 2010, there are six or pollock; and (3) the reporting of the catcher vessel trawl gear daily fishing small entities out of an estimated 122 amount of fuel used, activities log; and 35 minutes for an AFA catcher/ respondents eligible to submit the EDR associated with each interval of fuel use, processor trawl gear electronic log book. that will be directly regulated by the and the price paid for fuel. These OMB Control Number 0648–0633 final action. All the non-CDQ AFA- alternatives were not selected because affiliated pollock entities directly the cost and burden of collecting the Public reporting burden per response regulated by this action were members additional data during or at the end of is estimated to average 40 hours for a of AFA cooperatives in 2010 and, a fishing trip would have been CTR; 8 hours for a Vessel Fuel Survey; therefore, NMFS considers them substantial, and additional experience and 3 hours for a Vessel Master Survey. ‘‘affiliated’’ non-small entities for RFA operating under Amendment 91 is OMB Control Number 0648–0401 purposes. To provide the estimates of required before industry could refine the number of non-CDQ AFA-affiliated recordkeeping for the Council to further Public reporting burden per response pollock entities that were not small, consider more detailed information. is estimated to average 40 hours for an NMFS matched earnings from all Alternative 1 was not selected IPA Annual Report. Alaskan fisheries for 2010 with the because it does not address the OMB Control Number 0648–0515 vessels that participated in the AFA- objectives of the Chinook salmon EDR affiliated pollock fleet for that year. Due program to increase the quality and Public reporting burden per response to their status as non-profit quantity of data for assessing the effects is estimated to average 35 minutes for a corporations, the six CDQ groups are of Amendment 91 IPAs, the PSC limits, mothership eLandings landing report. identified as ‘‘small’’ entities. This and the performance standard on when, Reporting burden includes the time action directly regulates the six CDQ where, and how pollock fishing and for reviewing instructions, searching groups, and NMFS considers the CDQ Chinook salmon bycatch occur. existing data sources, gathering and groups to be small entities for RFA Alternative 4 was chosen because the maintaining the data needed, and purposes. As described in regulations limited scope of the data collected will completing and reviewing the collection implementing the RFA (13 CFR 121.103) likely increase the quality and quantity of information. the CDQ groups’ affiliations with other of data used to assess the effects of Send comments regarding burden large entities do not define them as large Amendment 91 IPAs, the PSC limits, estimates or any other aspect of this data entities. Complete descriptions of the and the performance standard on when, collection, including suggestions for CDQ groups and the impacts of this where, and how pollock fishing and reducing the burden, to NMFS (see action are located in sections 2.5 and Chinook salmon bycatch occur; will ADDRESSES); email to OIRA_ 6.10.3 of the Final Environmental inform the Council and NMFS regarding [email protected], or fax to Impact Statement/Regulatory Impact the development of a more expansive (202) 395–7285. Review/Final Regulatory Flexibility data collection program in the future; Notwithstanding any other provision Analysis for Amendment 91 that may be and is feasible to implement in a timely of the law, no person is required to obtained from http://www.regulations. manner. Alternative 4 will have the respond to, and no person shall be gov or from the NMFS Alaska Region least impact of the four alternatives on subject to penalty for failure to comply Web site at http://alaskafisheries.noaa. small entities while continuing to meet with, a collection of information subject gov. the objectives of the action. to the requirements of the PRA, unless

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that collection of information displays a Title 15—Commerce and Foreign Trade ■ c. Revise entries in alphanumeric currently valid OMB control number. Chapter IX—National Oceanic and order for ‘‘and ‘‘679.21(f) and (g)’’; and List of Subjects Atmospheric Administration, Department of 679.5(e) and (f)’’ Commerce ■ d. Add entries for ‘‘679.65(a), (c), and 15 CFR Part 902 (d)’’ and ‘‘679.65(b) through (e)’’. Reporting and recordkeeping PART 902—NOAA INFORMATION The additions and revisions read as requirements. COLLECTION REQUIREMENTS UNDER THE PAPERWORK REDUCTION ACT: follows: 50 CFR Part 679 OMB CONTROL NUMBERS § 902.1 OMB control numbers assigned Alaska, Fisheries, Reporting and pursuant to the Paperwork Reduction Act. recordkeeping requirements. ■ 1. The authority citation for part 902 * * * * * Dated: January 30, 2012. continues to read as follows: Alan D. Risenhoover, Authority: 44 U.S.C. 3501 et seq. (b) * * * Acting Deputy Assistant Administrator for ■ Regulatory Programs, National Marine 2. In § 902.1, in the table in paragraph Fisheries Service. (b), under the entry ‘‘50 CFR:’’ For the reasons set out in the ■ a. Remove the entry for ‘‘679.5(c)’’; preamble, NMFS amends 15 CFR part ■ b. Add an entry in alphanumeric 902 and 50 CFR part 679 as follows: order for ‘‘679.5(c), (e), and (f)’’;

CFR part or section where the information collection requirement is Current OMB control number (all numbers begin with 0648–) located

******* 50 CFR.

******* 679.5(c), (e), and (f) ...... –0213, –0272, –0330, –0513, –0515, and –0634.

******* 679.5(e) and (f) ...... –0401.

******* 679.21(f) and (g) ...... –0393, –0401, and –0608.

******* 679.65(a), (c), and (d) ...... –0634, and –0515. 679.65(b) through (e) ...... –0633.

*******

Title 50—Wildlife and Fisheries salmon PSC Compensated Transfer pollock in the Bering Sea, indicate with Report. a check mark (X) whether, prior to the Chapter VI—Fishery Conservation and Management, National Oceanic and * * * * * haul, the operator moved fishing Atmospheric Administration, Department of ■ 5. In § 679.5: location primarily to avoid Chinook Commerce ■ a. Revise paragraph (c)(4)(vi) salmon bycatch. introductory text; * * * * * PART 679—FISHERIES OF THE ■ b. Add paragraphs (c)(4)(vi)(I) and (e) * * * EXCLUSIVE ECONOMIC ZONE OFF (e)(6)(i)(A)(12); and (6) * * * ALASKA ■ c. Revise paragraphs (f)(1)(vii), (i) * * * (f)(2)(ii), and (f)(7). (A) * * * (12) For deliveries from catcher ■ 3. The authority citation for part 679 The additions and revisions read as follows: vessels directed fishing for pollock in continues to read as follows: the Bering Sea, indicate whether, prior Authority: 16 U.S.C. 773 et seq.; 1801 et § 679.5 Recordkeeping and reporting to the haul, the operator of the catcher seq.; 3631 et seq., Pub. L. 108–447. (R&R). vessel moved fishing location primarily * * * * * to avoid Chinook salmon bycatch. ■ 4. In § 679.2, add a definition for (c) * * * * * * * * ‘‘designated data collection auditor’’ in (4) * * * (f) * * * alphabetical order to read as follows: (vi) Catch-by-haul information. The (1) * * * operator must record the following (vii) AFA and CDQ trawl catcher/ § 679.2 Definitions. information (see paragraphs (c)(4)(vi)(A) processors. The operator of an AFA * * * * * through (I) of this section) for each haul catcher/processor or any catcher/ Designated data collection auditor (see § 679.2). If no catch occurred for a processor harvesting pollock CDQ must (DDCA) means the NMFS-designated given day, write ‘‘no catch.’’ use a combination of NMFS-approved contractor to perform the functions of a * * * * * catcher/processor trawl gear ELB and data collection auditor for the Chinook (I) Movement to Avoid Salmon. If a eLandings to record and report catcher vessel is directed fishing for groundfish and PSC information. In the

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ELB, the operator must enter processor (A) For paragraphs (f)(13)(ii)(A) implement specific portions of the identification information; catch-by- through (D) of this section, in each year Chinook salmon EDR program are set haul information; prohibited species following the year in which the IPA is out under paragraphs (a)(1) through (4) discard or disposition data for all first effective; of this section: salmon species in each haul; and (B) For paragraphs (f)(13)(ii)(E) and (1) Daily fishing logbook (DFL), indicate whether, prior to the haul, the (F) of this section, in 2013 and each year catcher vessel trawl gear. See operator moved fishing location thereafter. § 679.5(c)(4). primarily to avoid Chinook salmon (ii) Information requirements. The (2) Electronic logbook (ELB), AFA and bycatch. In eLandings, the operator IPA Annual Report must contain the CDQ trawl catcher/processors. See must enter processor identification, following information: § 679.5(f) in combination with groundfish production data, and (A) A comprehensive description of eLandings pursuant to § 679.5(e). groundfish and prohibited species the incentive measures in effect in the (3) IPA Annual Report. See discard or disposition data for all previous year; § 679.21(f)(13). prohibited species except salmon. (B) A description of how these (4) AFA cooperative annual reporting (2) * * * incentive measures affected individual requirement. See § 679.61(f)(2). (ii) Reporting groundfish by ELB. If vessels; (b) Chinook salmon PSC the User is unable to submit commercial (C) An evaluation of whether Compensated Transfer Report (CTR). (1) fishery information due to hardware, incentive measures were effective in An owner or leaseholder of an AFA- software, or Internet failure for a period achieving salmon savings beyond levels permitted vessel and the representative longer than the required reporting time, that would have been achieved in of any entity that received an allocation contact NMFS Inseason Management at absence of the measures; of Chinook salmon PSC from NMFS (907) 586–7228 for instructions. When (D) A description of any amendments must submit a CTR, Part 1, each the hardware, software, or Internet is to the terms of the IPA that were calendar year, for the previous calendar restored, the User must enter this same approved by NMFS since the last annual year. information into the electronic logbook report and the reasons that the (2) Any person who transferred (ELB) or other NMFS-approved amendments to the IPA were made; Chinook salmon PSC allocation after software. (E) Sub-allocation to each January 20, and paid or received money * * * * * participating vessel of the number of for the transfer, must submit a (7) ELB data submission—(i) Catcher/ Chinook salmon PSC and amount of completed CTR (Part 1 and Part 2) for processors. The operator of a catcher/ pollock (mt) at the start of each fishing the previous calendar year. processor must transmit ELB data season, and number of Chinook salmon (3) The CTR is available through the directly to NMFS online through PSC and amount of pollock (mt) caught Internet on the NMFS Alaska Region eLandings or other NMFS-approved at the end of each season; and Web site at http://alaskafisheries.noaa. data transmission mechanism, by 2400 (F) In-season transfers—(1) Transfers gov, or by contacting NMFS at (206) hours, A.l.t., each day to record the among entities. For in-season transfer of 526–6414. previous day’s hauls. Chinook salmon PSC or pollock among (4) Beginning in 2013, and each year (ii) Catcher vessels. The operator of a AFA cooperatives, entities eligible to catcher vessel must transmit ELB data thereafter, the completed CTR must be receive Chinook salmon PSC submitted electronically on or before directly to NMFS as an email allocations, or CDQ groups, provide the attachment or to NMFS through a 1700, A.l.t., on June 1, following the following information: instructions on the form. shoreside processor, SFP, or mothership (i) Date of transfer; (c) Vessel Fuel Survey. (1) An owner who received his/her groundfish catch. (ii) Name of transferor; or leaseholder of an AFA-permitted Through a prior agreement with the (iii) Name of transferee; catcher vessel, the operator of a (iv) Number of Chinook salmon PSC vessel must submit all completed Vessel mothership or the manager of a transferred; and Fuel Surveys for each vessel used to shoreside processor or SFP will forward (v) Amount of pollock (mt) harvest pollock in the Bering Sea in a the ELB data transfer to NMFS as an transferred. given year. email attachment within 24 hours of (2) Transfers among IPA vessels. (2) The Vessel Fuel Survey is completing receipt of the catcher Transfers among vessels participating in available through the Internet on the vessel’s catch. the IPA provide the following NMFS Alaska Region Web site at http://alaskafisheries.noaa.gov, or by * * * * * information: contacting NMFS at (206) 526–6414. ■ 6. In § 679.21, paragraph (f)(12)(vii) is (i) Date of transfer; (ii) Name of transferor; (3) The owner or leaseholder annually redesignated as (f)(13) and revised to must submit a completed Vessel Fuel read as follows. (iii) Name of transferee; (iv) Number of Chinook salmon PSC Survey, electronically on or before 1700, § 679.21 Prohibited species bycatch transferred; and A.l.t., on June 1, 2013, and each year management. (v) Amount pollock (mt) transferred. thereafter, following the instructions on * * * * * * * * * * the form. (d) Vessel Master Survey. (1) For any (f) * * * ■ 7. Section 679.65 is added to read as (13) IPA Annual Report. The AFA-permitted vessel used to harvest follows: representative of each approved IPA pollock in the Bering Sea in the must submit a written annual report to § 679.65 Bering Sea Chinook Salmon previous year: the Council at the address specified in Bycatch Management Program Economic (i) The vessel master must complete § 679.61(f). The Council will make the Data Report (Chinook salmon EDR the Vessel Master Survey, and the annual report available to the public. program). Vessel Master certification following the (i) Submission deadline. The IPA (a) Requirements. NMFS developed instructions on the form. Annual Report must be postmarked or the regulations under this section to (ii) An owner or leaseholder must received by the Council no later than implement the Chinook salmon EDR complete the Vessel owner certification April 1, as follows program. Additional regulations that following instructions on the form.

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(iii) An owner or leaseholder must FOR FURTHER INFORMATION CONTACT: action’’ under section 3(f) of the Order submit all Vessel Master Surveys, and Thomas J. Schlageter, Assistant Legal 12866, and does not require an each Vessel owner certification Counsel, (202) 663–4668, or Erin N. assessment of potential costs and electronically on or before 1700, A.l.t., Norris, Senior Attorney, (202) 663–4876, benefits under section 6(a)(3) of the on June 1, 2013, and each year Office of Legal Counsel, 131 M Street Order. thereafter, following the instructions on NE., Washington, DC 20507. Copies of Paperwork Reduction Act the form. this notice are available in the following (2) The Vessel Master Survey is alternate formats: large print, Braille, This final rule contains information available through the Internet on the electronic computer disk, and audio collection requirements subject to NMFS Alaska Region Web site at tape. Requests for this notice in an review and approval by the Office of http://alaskafisheries.noaa.gov, or by alternative format should be made to the Management and Budget under the contacting NMFS at (206) 526–6414. Publications Center at 1–(800) 699–3362 Paperwork Reduction Act. It is (e) Chinook salmon EDR verification (voice), 1–(800) 800–3302 (TTY), or estimated that the public recordkeeping and audit procedures. NMFS or the (703) 821–2098 (Fax—this is not a toll burden will not increase significantly as designated data collection agent (DDCA) free number). a result of the amendments because all will conduct verification of Chinook SUPPLEMENTARY INFORMATION: On May employers affected by them are already salmon EDR information with the 21, 2008, President George W. Bush required to retain all personnel or persons identified at § 679.65(b)(1), signed the Genetic Information employment records that they make or (b)(2), (c)(1), (d)(1)(i), and (d)(1)(ii). Nondiscrimination Act of 2008 (GINA) keep for a specified period of time, and (1) The persons identified at into law. Title II of GINA protects job the only new requirement is that they § 679.65(b)(1), (b)(2), (c)(1), (d)(1)(i), and applicants, current and former retain any of those records relevant to a (d)(1)(ii) must respond to inquiries by employees, labor union members, and charge of discrimination filed under NMFS and its DDCA for purposes of the apprentices and trainees from GINA until the charge is resolved. As CTR, within 20 days of the date of discrimination based on their genetic required by the Paperwork Reduction issuance of the inquiry. information. The coverage in title II of Act, the Equal Employment Opportunity (2) The persons identified at GINA corresponds with that of title VII Commission has submitted to the Office § 679.65(b)(1) and (b)(2) must provide of the Civil Rights Act of 1964, as of Management and Budget a request for copies of additional data to facilitate amended, covering employers with 15 approval of these information collection verification by NMFS and its DDCA for or more employees, employment requirements under section 3507(d) of purposes of the CTR. These paper or agencies, labor unions, and joint labor- the Act. electronic copies may include, but are management training programs, as well Collection title: Recordkeeping under not limited to, previously audited or as federal sector employers. Title II Title VII, the ADA, and GINA. reviewed financial statements, became effective on November 21, 2009. OMB number: 3046–0040. worksheets, tax returns, invoices, EEOC has issued interpretive Description of affected public: receipts, and other original documents regulations under GINA (See 75 FR Employers with 15 or more employees substantiating the data submitted. 68912). Further, EEOC issued a final are subject to Title VII, the ADA, and * * * * * rule implementing changes to its GINA. [FR Doc. 2012–2361 Filed 2–2–12; 8:45 am] administrative and procedural Number of respondents: 899,580. BILLING CODE 3510–22–P regulations in a separate notice found at Reporting hours: Not applicable. 74 FR 63981. On June 2, 2011, EEOC Number of forms: None. proposed to amend its recordkeeping Federal cost: None. EQUAL EMPLOYMENT OPPORTUNITY regulations to add references to GINA Abstract: Section 207 of GINA, 42 COMMISSION and sought public comment (76 FR U.S.C. 2000ff et seq., incorporates the 31892). EEOC received only one powers, procedures, and remedies 29 CFR Part 1602 comment, from an association of state found in section 709 of Title VII. credit unions. The comment expressed Section 709(c) of Title VII, 42 U.S.C. RIN 3046–AA89 support for the proposed changes. 2000e-8(c), requires the Commission to Accordingly, the Commission has Recordkeeping and Reporting establish regulations pursuant to which decided to adopt its proposed changes Requirements Under Title VII, the ADA, employers subject to the Act shall as its final rule. The final rule does not and GINA preserve certain records to assist the require the creation of any documents or EEOC in assuring compliance with the AGENCY: Equal Employment impose any reporting requirements. It Act’s nondiscrimination in employment Opportunity Commission. imposes the same record retention requirements. Any of the records ACTION: Final rule. requirements under GINA that apply maintained which are subsequently under Title VII and the ADA, i.e., any disclosed to the EEOC during an SUMMARY: The Equal Employment records made or kept must be retained investigation are protected from public Opportunity Commission (EEOC or for the period of time specified in the disclosure by the confidentiality Commission), through this final rule, Title VII and ADA regulations provision in section 709(e) of Title VII. extends its existing recordkeeping Regulatory Procedures EEOC has previously issued requirements under title VII of the Civil recordkeeping regulations under Title Rights Act of 1964 (Title VII) and the Executive Orders 12866 and 13563 VII and the ADA which require all Americans with Disabilities Act (ADA) The Commission has complied with covered entities to preserve all to entities covered by title II of the the principles in section 1(b) of employment and personnel records that Genetic Information Nondiscrimination Executive Order 12866, Regulatory they make or keep for a specified period Act of 2008 (GINA), which prohibits Planning and Review, as supplemented of time, and to preserve all records employment discrimination based on by Executive Order 13563, Improving relevant to a Title VII or ADA charge genetic information. Regulation and Regulatory Review. This until the charge is resolved. This DATES: Effective Date: April 3, 2012. rule is not a ‘‘significant regulatory revision extends these same

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requirements to entities covered by —Retention of Records When Charge is employees, approximately 822,000 of GINA. Filed: For firms that have which are small firms (entities with 15– Burden statement: This recordkeeping recordkeeping systems in place, the 500 employees) according to data requirement does not require reports or fact that a charge is filed should not provided by the Small Business the creation of new documents; it impose any additional burden, Administration Office of Advocacy. See merely requires retention of documents because we assume that employers set Firm Size Data at http://sba.gov/advo/ that the employer has already made or up their recordkeeping systems in research/data.html#us. We estimate that kept, and the burden imposed by these such a way as to ensure that records there will be 200 new charges filed regulations is therefore minimal. An related to a charge are retained in under GINA per year. We estimate that employer subject to the existing accordance with EEOC regulations. typical human resources professionals requirements in 29 CFR part 1602 Effect of Proposed Change on Existing will need to dedicate no more than ten currently must retain all personnel or Burdens minutes per charge to ensure that the employment records made or kept by employer’s existing record retention —Establishing Recordkeeping System: that employer for the period specified in system retains any personnel documents There will be no increase in the the regulations, and must retain any relevant to a charge of discrimination existing burden as a result of this records relevant to charges filed under under GINA until the resolution of the regulatory change. As stated above, Title VII or the ADA until final matter. We further estimate that the established firms bear no burden disposition of those matters, which may median hourly pay rate of an HR because their systems for retaining be longer than one year. This professional is approximately $46.40. personnel and employment records rulemaking requires employers to also See Bureau of Labor Statistics, are already in place. The burden retain documents relevant to charges Occupational Employment and Wages, imposed upon new firms created after filed under GINA until final disposition May 2009 at http://www.bls.gov/oes/ the regulatory change becomes of those charges. current/oes113049.htm. Therefore, the effective would be the same as the cost of spending ten minutes per charge Existing Burdens Prior to Change burden shouldered by new firms prior would be approximately $7.73 (one- to the change because it will take no —Establishing Recordkeeping System: sixth of $46.40). Even assuming that longer to set up a recordkeeping every one of the estimated 200 GINA There are approximately 899,580 system to retain records relevant to employers subject to the charges is filed against a small business, Title VII, ADA, and GINA charges EEOC does not believe that a cost of recordkeeping requirement in Part than it did to set up a recordkeeping approximately $7.73 per charge will be 1602. According to our prior system to retain records relevant to significant for the impacted small calculations, the previously approved Title VII and ADA charges. As a result entities. Further, if each of the 200 Title VII and ADA recordkeeping of the above-mentioned decrease in GINA charges was filed against a requirement in Part 1602 imposed a the number of new firms, we estimate different small entity, 200 affected firms total burden on covered employers in that the aggregate burden for new out of 822,000 is not a substantial the aggregate of approximately 16,002 firms of establishing a compliant number of small firms. Accordingly, the hours, which represented the recordkeeping system decreased to Commission certifies under 5 U.S.C. aggregated time that had to be spent 15,818 hours. by all new firms taken together (an —Retention of Records When Charge is 605(b) that this rule will not have a estimated 96,013 covered firms per Filed: The only employers who may significant economic impact on a year) to ensure that their record be subject to an increased burden are substantial number of small entities maintenance systems complied with those existing firms that become because any burden it may impose on EEOC’s recordkeeping requirements. parties to charges filed under GINA business entities is minimal. For this For the current approval process, we and must therefore ensure that reason, a regulatory flexibility analysis used more recent data on the number relevant records are retained until the is not required. of new firms (an estimated 94,910 per final disposition of the GINA charges. Unfunded Mandates Reform Act of 1995 year), which decreased the total We estimate that an employer that is burden to 15,818 hours. Based on the a party to a GINA charge will need This final rule will not result in the fact that these regulations do not less than ten minutes to ensure that expenditure by State, local, or tribal require employers to create any its previously existing system of governments, in the aggregate, or by the records and do not impose any retaining records pertinent to charges private sector, of $100 million or more reporting requirements, but merely filed under Title VII and the ADA is in any one year, and it will not require employers to maintain the revised to retain records relating to significantly or uniquely affect small records that they do create, we charges filed under GINA (based upon governments. Therefore, no actions were estimate that it would take each new our estimate that a new firm would deemed necessary under the provisions firm ten minutes or less to comply. A need ten minutes to ensure that any of the Unfunded Mandates Reform Act summary of the recordkeeping recordkeeping system it maintains of 1995. requirements covered by this notice, complies with EEOC regulations). Congressional Review Act which covered entities may use to Assuming that 200 GINA charges will familiarize themselves and their staffs be filed, that each charge is filed This action does not substantially with EEOC’s recordkeeping against a different employer, and affect the rights or obligations of non- requirements, is available at http:// using a burden estimate of ten agency parties and, accordingly, is not www.eeoc.gov/employers/ minutes per charge, the annual a ‘‘rule’’ as that term is used by the recordkeeping_obligations.cfm. aggregate burden would increase by Congressional Review Act (Subtitle E of Established firms bear no burden only about 33 hours to 15,851. the Small Business Regulatory under this analysis, because their Enforcement Fairness Act of 1996 systems for retaining personnel and Regulatory Flexibility Act (SBREFA)). Therefore, the reporting employment records are already in Title II of GINA applies to all requirement of 5 U.S.C. 801 does not place. employers with fifteen or more apply.

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List of Subjects in 29 CFR Part 1602 ADDRESSES: Documents mentioned in DEPARTMENT OF HOMELAND Administrative practice and this preamble as being available in the SECURITY procedure, Equal Employment docket are part of docket USCG–2012– Coast Guard Opportunity. 0022 and are available online by going to http://www.regulations.gov, inserting Dated: January 30, 2012. USCG–2012–0022 in the ‘‘Keyword’’ 33 CFR Part 165 For the Commission. box and then clicking ‘‘Search’’. They Jacqueline A. Berrien, are also available for inspection or [Docket No. USCG–2011–1166] Chair. copying at the Docket Management Facility (M–30), U.S. Department of Accordingly, part 1602 is amended as RIN 1625–AA00 follows: Transportation, West Building Ground Floor, Room W12–140, 1200 New Jersey Safety Zone; Atlantic Intracoastal PART 1602—RECORDKEEPING AND Avenue SE., Washington, DC 20590, Waterway, Vicinity of Marine Corps REPORTING REQUIREMENTS UNDER between 9 a.m. and 5 p.m., Monday Base, Camp Lejeune, NC TITLE VII, THE ADA, AND GINA through Friday, except Federal holidays. FOR FURTHER INFORMATION CONTACT: If AGENCY: Coast Guard, DHS. ■ 1. The authority citation for part 1602 you have questions on this rule, call or ACTION: Temporary final rule. continues to read as follows: email Eric A. Washburn, Bridge Authority: 42 U.S.C. 2000e–8, 2000e–12; Administrator, Western Rivers, Coast SUMMARY: The Coast Guard is 44 U.S.C. 3501 et seq.; 42 U.S.C. 12117; 42 Guard; telephone (314) 269–2378, email establishing a safety zone on the U.S.C. 2000ff–6. [email protected]. If you have Atlantic Intracoastal Waterway (AICW) questions on viewing the docket, call adjacent to Marine Corps Base (MCB) §§ 1602.14, 1602.21, 1602.28, 1602.31 Renee V. Wright, Program Manager, Camp Lejeune, North Carolina, which [Amended] Docket Operations, telephone (202) encompasses the navigable waters of the ■ 2. Amend part 1602 by removing the 366–9826. AICW between Mile Hammock Bay and words ‘‘title VII or the ADA’’ and adding SUPPLEMENTARY INFORMATION: The U.S. the Onslow Swing Bridge in support of in their place the words ‘‘title VII, the Army Rock Island Arsenal requested a military training operations. This action ADA, or GINA’’ in the following places: temporary deviation for the Rock Island is necessary to provide for safety of life a. § 1602.14. Railroad and Highway Drawbridge, on navigable waters during the military b. § 1602.21(b). across the Upper Mississippi River, mile training operation. This action is c. § 1602.28(a). 482.9, at Rock Island, Illinois to remain intended to restrict vessel traffic on the d. § 1602.31. in the closed-to-navigation position for Atlantic Intracoastal Waterway to [FR Doc. 2012–2420 Filed 2–2–12; 8:45 am] a four-hour period from 7:30 a.m. to protect mariners from the hazards BILLING CODE 6570–01–P 11:30 a.m., September 23, 2012, while a associated with military training marathon is held between the cities of operations. Davenport, IA and Rock Island, IL. The DATES: This rule is effective from 7 a.m. Rock Island Railroad and Highway DEPARTMENT OF HOMELAND on February 6, 2012 through 4 p.m. on Drawbridge currently operates in SECURITY February 7, 2012. accordance with 33 CFR 117.5, which ADDRESSES: Comments and material Coast Guard states the general requirement that drawbridges shall open promptly and received from the public, as well as documents mentioned in this preamble 33 CFR Part 117 fully for the passage of vessels when a request to open is given in accordance as being available in the docket, are part [Docket Number USCG–2012–0022] with the subpart. of docket USCG–2011–1166 and are There are no alternate routes for available online by going to http://www. Drawbridge Operation Regulation; vessels transiting this section of the regulations.gov, inserting USCG–2011– Upper Mississippi River, Rock Island, Upper Mississippi River. 1166 in the ‘‘Keyword’’ box, and then IL The Rock Island Railroad and clicking ‘‘Search.’’ This material is also Highway Drawbridge, in the closed-to- available for inspection or copying at AGENCY: Coast Guard, DHS. navigation position, provides a vertical the Docket Management Facility (M–30), ACTION: Notice of temporary deviation clearance of 23.8 feet above normal U.S. Department of Transportation, from regulations. pool. Navigation on the waterway West Building Ground Floor, Room SUMMARY: The Commander, Eighth consists primarily of commercial tows W12–140, 1200 New Jersey Avenue SE., Coast Guard District, has issued a and recreational watercraft. This Washington, DC 20590, between 9 a.m. temporary deviation from the regulation temporary deviation has been and 5 p.m., Monday through Friday, governing the operation of the Rock coordinated with waterway users. No except Federal holidays. Island Railroad and Highway objections were received. FOR FURTHER INFORMATION CONTACT: If Drawbridge across the Upper In accordance with 33 CFR 117.35(e), you have questions on this temporary Mississippi River, mile 482.9, at Rock the drawbridge must return to its regular rule, call or email Chief Warrant Officer Island, Illinois. The deviation is operating schedule immediately at the Joseph Edge, Waterways Management necessary to allow the Quad City end of the designated time period. This Division Chief, Sector North Carolina, Marathon to cross the bridge. This deviation from the operating regulations Coast Guard; telephone (252) 247–4525, deviation allows the bridge to be is authorized under 33 CFR 117.35. email [email protected]. If you maintained in the closed-to-navigation Dated: January 12, 2012. have questions on viewing the docket, position for four hours. Eric A. Washburn, call Renee V. Wright, Program Manager, DATES: This deviation is effective from Bridge Administrator, Western Rivers. Docket Operations, telephone (202) 7:30 a.m. to 11:30 a.m. on September 23, [FR Doc. 2012–2387 Filed 2–2–12; 8:45 am] 366–9826. 2012. BILLING CODE 9110–04–P SUPPLEMENTARY INFORMATION:

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Regulatory Information the Coast Guard is establishing safety in the NPRM we offered to assist small On January 10, 2012, we published a zones on the specified navigable waters entities in understanding the rule so notice of proposed rulemaking (NPRM) of the Atlantic Intracoastal Waterway. that they could better evaluate its effects on them and participate in the entitled Safety Zone; Atlantic Regulatory Analyses Intracoastal Waterway, Vicinity of rulemaking process. We developed this rule after Small businesses may send comments Marine Corps Base, Camp Lejeune, NC considering numerous statutes and on the actions of Federal employees in the Federal Register (77 FR 1431). executive orders related to rulemaking. who enforce, or otherwise determine We received no comments on the Below we summarize our analyses compliance with, Federal regulations to proposed rule. No public meeting was based on 13 of these statutes or the Small Business and Agriculture requested, and none was held. executive orders. Regulatory Enforcement Ombudsman Under 5 U.S.C. 553(d)(3), the Coast and the Regional Small Business Guard finds that good cause exists for Regulatory Planning and Review Regulatory Fairness Boards. The making this rule effective less than 30 This rule is not a significant Ombudsman evaluates these actions days after publication in the Federal regulatory action under section 3(f) of annually and rates each agency’s Register. Delaying the effective date Executive Order 12866, Regulatory responsiveness to small business. If you would be contrary to the public interest, Planning and Review, and does not wish to comment on actions by since immediate action is needed to require an assessment of potential costs employees of the Coast Guard, call ensure the safety of the participants, and benefits under section 6(a)(3) of that 1–(888) REG–FAIR (1–(888) 734–3247). patrol vessels, and other vessels Order. The Office of Management and The Coast Guard will not retaliate transiting the event area. However, the Budget has not reviewed it under that against small entities that question or Coast Guard will provide advance Order. complain about this rule or any policy notifications to users of the effected We expect the economic impact of or action of the Coast Guard. waterways via marine information this rule to be so minimal that a full broadcasts, local notice to mariners, Regulatory Evaluation is unnecessary. Collection of Information commercial radio stations and area Although this regulation restricts access This rule calls for no new collection newspapers. to the safety zone, the effect of this rule of information under the Paperwork Background and Purpose will not be significant because: (i) The Reduction Act of 1995 (44 U.S.C. 3501– safety zone will be in effect for a limited 3520). On February 6 and 7, 2012 the Marine duration; (ii) the zone is of limited size; Corps Base, Camp Lejeune, North and (iii) the Coast Guard will make Federalism Carolina will be conducting military notifications via maritime advisories so A rule has implications for federalism training operations on the navigable mariners can adjust their plans under Executive Order 13132, waters of the Atlantic Intracoastal accordingly. ° ′ ″ Federalism, if it has a substantial direct Waterway between position 34 32 51 effect on State or local governments and N, 077°19′36″ W and 34°34′15″ N, Small Entities ° ′ ″ would either preempt State law or 077 16 16 W (NAD 1983). Due to the Under the Regulatory Flexibility Act impose a substantial direct cost of need to protect mariners from the (5 U.S.C. 601–612), we have considered compliance on them. We have analyzed hazards associated with the military whether this rule would have a this rule under that Order and have training operations, vessel traffic will be significant economic impact on a determined that it does not have temporary restricted between Mile substantial number of small entities. implications for federalism. Hammock Bay and the Onslow Swing The term ‘‘small entities’’ comprises Bridge. small businesses, not-for-profit Unfunded Mandates Reform Act The Coast Guard is establishing a organizations that are independently The Unfunded Mandates Reform Act safety zone on specified waters of the owned and operated and are not of 1995 (2 U.S.C. 1531–1538) requires Atlantic Intracoastal Waterway between dominant in their fields, and Federal agencies to assess the effects of position 34°32′51″ N, 077°19′36″ W and governmental jurisdictions with their discretionary regulatory actions. In 34°34′15″ N, 077°16′16″ W (NAD 1983). populations of less than 50,000. particular, the Act addresses actions This safety zone will be established in The Coast Guard certifies under 5 that may result in the expenditure by a the vicinity of Camp Lejeune, NC from U.S.C. 605(b) that this rule will not have State, local, or tribal government, in the 7 a.m. until 11 a.m., and from 12:01 a significant economic impact on a aggregate, or by the private sector of p.m. until 4 p.m. on February 6, 2012, substantial number of small entities $100,000,000 or more in any one year. from 7 a.m. until 11 a.m., and from because the zone will only be in place Though this rule will not result in such 12:01 p.m. until 4 p.m. on February 7, for a limited duration, it is limited in an expenditure, we do discuss the 2012. In the interest of public safety, size, and maritime advisories will be effects of this rule elsewhere in this general navigation within the safety issued allowing the mariners to adjust preamble. zone will be restricted during the their plans accordingly. specified date and times. Except for This rule would affect the following Taking of Private Property participants and vessels authorized by entities, some of which might be small This rule will not effect a taking of the Coast Guard Captain of the Port or entities: The owners and operators of private property or otherwise have his representative, no person or vessel vessels intending to transit or anchor in taking implications under Executive may enter or remain in the regulated that portion of the Atlantic Intracoastal Order 12630, Governmental Actions and area. Waterway from 7 a.m. to 4 p.m. on Interference with Constitutionally February 6 and 7, 2012. Protected Property Rights. Discussion of Comments and Changes The Coast Guard did not receive Assistance for Small Entities Civil Justice Reform comments in response to the notice of Under section 213(a) of the Small This rule meets applicable standards proposed rulemaking (NPRM) published Business Regulatory Enforcement in sections 3(a) and 3(b)(2) of Executive in the Federal Register. Accordingly, Fairness Act of 1996 (Pub. L. 104–121), Order 12988, Civil Justice Reform, to

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minimize litigation, eliminate Environment Carolina or his designated ambiguity, and reduce burden. We have analyzed this rule under representatives. (2) The operator of any vessel in the Protection of Children Department of Homeland Security Management Directive 023–01 and immediate vicinity of this safety zone We have analyzed this rule under Commandant Instruction M16475.lD, shall: (i) Stop the vessel immediately upon Executive Order 13045, Protection of which guide the Coast Guard in being directed to do so by any Children from Environmental Health complying with the National commissioned, warrant or petty officer Risks and Safety Risks. This rule is not Environmental Policy Act of 1969 on shore or on board a vessel that is an economically significant rule and (NEPA)(42 U.S.C. 4321–4370f), and displaying a U.S. Coast Guard Ensign. does not create an environmental risk to have concluded this action is one of a (ii) Proceed as directed by any health or risk to safety that may category of actions which do not commissioned, warrant or petty officer disproportionately affect children. individually or cumulatively have a on shore or on board a vessel that is significant effect on the human Indian Tribal Governments displaying a U.S. Coast Guard Ensign. environment. This rule is categorically This rule does not have tribal (3) The Captain of the Port, Sector excluded, under figure 2–1, paragraph North Carolina can be reached through implications under Executive Order (34)(g), of the Instruction. This rule 13175, Consultation and Coordination the Sector Duty Officer at Sector North involves establishment of a temporary Carolina in Wilmington, North Carolina with Indian Tribal Governments, safety zone. An environmental analysis because it does not have a substantial at telephone Number 910–343–3880. checklist and a categorical exclusion (4) The Coast Guard Representatives direct effect on one or more Indian determination are available in the tribes, on the relationship between the enforcing the safety zone can be docket where indicated under contacted on VHF–FM marine band Federal Government and Indian tribes, ADDRESSES. or on the distribution of power and radio channel 13 (165.65Mhz) and responsibilities between the Federal List of Subjects in 33 CFR Part 165 channel 16 (156.8 MHz). Government and Indian tribes. (d) Enforcement Period: This Harbors, Marine safety, Navigation regulation will be enforced from 7 a.m. Energy Effects (water), Reporting and recordkeeping until 11 a.m., and from 12:01 p.m. until requirements, Security measures, 4 p.m. on February 6, 2012; from 7 a.m. We have analyzed this rule under Waterways. Executive Order 13211, Actions until 11 a.m., and from 12:01 p.m. until For the reasons discussed in the 4 p.m. on February 7, 2012. Concerning Regulations That preamble, the Coast Guard amends 33 Significantly Affect Energy Supply, CFR part 165 as follows: Dated: January 20, 2012. Distribution, or Use. We have Anthony Popiel, determined that it is not a ‘‘significant PART 165—REGULATED NAVIGATION Captain, U.S. Coast Guard, Captain of the energy action’’ under that order because AREAS AND LIMITED ACCESS AREAS Port Sector North Carolina. it is not a ‘‘significant regulatory action’’ [FR Doc. 2012–2390 Filed 2–2–12; 8:45 am] ■ under Executive Order 12866 and is not 1. The authority citation for part 165 BILLING CODE 9110–04–P likely to have a significant adverse effect continues to read as follows: on the supply, distribution, or use of Authority: 33 U.S.C. 1231; 46 U.S.C. energy. The Administrator of the Office Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; ENVIRONMENTAL PROTECTION of Information and Regulatory Affairs 33 CFR 1.05–1, 6.04–1, 6.04–6, 160.5; Pub. L. AGENCY has not designated it as a significant 107–295, 116 Stat. 2064; Department of energy action. Therefore, it does not Homeland Security Delegation No. 0170.1. 40 CFR Part 52 require a Statement of Energy Effects ■ 2. Add § 165.T05–1166 to read as under Executive Order 13211. [EPA–R03–OAR–2011–0731; FRL–9625–8] follows: Technical Standards Approval and Promulgation of Air § 165.T05–1166 Safety Zone; Atlantic Quality Implementation Plans; Virginia; The National Technology Transfer Intracoastal Waterway, Vicinity of Marine Amendments to Virginia’s Regulation and Advancement Act (NTTAA) (15 Corps Base, Camp Lejeune, NC. Regarding the Sulfur Dioxide National U.S.C. 272 note) directs agencies to use (a) Regulated Area. The following area Ambient Air Quality Standard voluntary consensus standards in their is a safety zone: specified waters of the regulatory activities unless the agency Captain of the Port Sector North AGENCY: Environmental Protection provides Congress, through the Office of Carolina zone, as defined in 33 CFR Agency (EPA). Management and Budget, with an 3.25–20, in the vicinity of the Atlantic ACTION: Final rule. explanation of why using these Intracoastal Waterway between position standards would be inconsistent with 34°32′51″ N/077°19′36″ W and SUMMARY: EPA is approving a State applicable law or otherwise impractical. 34°34′15″ N/077°16′16″ W (NAD 1983). Implementation Plan (SIP) revision Voluntary consensus standards are (b) Definition: For the purposes of this submitted by the Commonwealth of technical standards (e.g., specifications part, Captain of the Port Representative Virginia (Virginia). This revision of materials, performance, design, or means any U.S. Coast Guard pertains to amendments of Virginia’s operation; test methods; sampling commissioned, warrant or petty officer regulations regarding the 2010 1-hour procedures; and related management who has been authorized by the Captain primary national ambient air quality systems practices) that are developed or of the Port, Sector North Carolina, North standard (NAAQS) for sulfur dioxide adopted by voluntary consensus Carolina to act on his behalf. (SO2). This action is being taken under standards bodies. (c) Regulations: (1) In accordance with the Clean Air Act (CAA). This rule does not use technical the general regulations in § 165.23 of DATES: Effective Date: This final rule is standards. Therefore, we did not this part, entry into this zone is effective on March 5, 2012. consider the use of voluntary consensus prohibited unless authorized by the ADDRESSES: EPA has established a standards. Captain of the Port, Sector North docket for this action under Docket ID

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Number EPA–R03–OAR–2011–0731. All conditions, for an environmental order is granted immunity from documents in the docket are listed in assessment (audit) ‘‘privilege’’ for administrative or civil penalty. The the http://www.regulations.gov Web voluntary compliance evaluations Attorney General’s January 12, 1998 site. Although listed in the electronic performed by a regulated entity. The opinion states that the quoted language docket, some information is not publicly legislation further addresses the relative renders this statute inapplicable to available, i.e., confidential business burden of proof for parties either enforcement of any Federally authorized information (CBI) or other information asserting the privilege or seeking programs, since ‘‘no immunity could be whose disclosure is restricted by statute. disclosure of documents for which the afforded from administrative, civil, or Certain other material, such as privilege is claimed. Virginia’s criminal penalties because granting copyrighted material, is not placed on legislation also provides, subject to such immunity would not be consistent the Internet and will be publicly certain conditions, for a penalty waiver with Federal law, which is one of the available only in hard copy form. for violations of environmental laws criteria for immunity.’’ Publicly available docket materials are when a regulated entity discovers such Therefore, EPA has determined that available either electronically through violations pursuant to a voluntary Virginia’s Privilege and Immunity http://www.regulations.gov or in hard compliance evaluation and voluntarily statutes will not preclude the copy for public inspection during discloses such violations to the Commonwealth from enforcing its normal business hours at the Air Commonwealth and takes prompt and program consistent with the Federal Protection Division, U.S. Environmental appropriate measures to remedy the requirements. In any event, because Protection Agency, Region III, 1650 violations. Virginia’s Voluntary EPA has also determined that a state Arch Street, Philadelphia, Pennsylvania Environmental Assessment Privilege audit privilege and immunity law can 19103. Law, Va. Code Sec. 10.1–1198, provides affect only state enforcement and cannot FOR FURTHER INFORMATION CONTACT: a privilege that protects from disclosure have any impact on Federal Asrah Khadr, (215) 814–2071, or by documents and information about the enforcement authorities, EPA may at email at [email protected]. content of those documents that are the any time invoke its authority under the SUPPLEMENTARY INFORMATION: product of a voluntary environmental CAA, including, for example, sections assessment. The Privilege Law does not I. Background 113, 167, 205, 211 or 213, to enforce the extend to documents or information (1) requirements or prohibitions of the state Throughout this document, whenever that are generated or developed before plan, independently of any state the commencement of a voluntary ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean enforcement effort. In addition, citizen environmental assessment; (2) that are EPA. On October 14, 2011 (76 FR enforcement under section 304 of the prepared independently of the 63859), EPA published a notice of CAA is likewise unaffected by this, or assessment process; (3) that demonstrate proposed rulemaking (NPR) for Virginia. any, state audit privilege or immunity a clear, imminent and substantial The NPR proposed approval of law. amendments to Virginia’s regulation danger to the public health or regarding the SO2 NAAQS. The formal environment; or (4) that are required by IV. Final Action SIP revision was submitted by Virginia law. EPA is approving the Virginia SIP on July 12, 2011. Additional background On January 12, 1998, the revision that adopts the 2010 1-hour information behind this SIP revision is Commonwealth of Virginia Office of the primary SO NAAQS under Regulation discussed in detail in the NPR. EPA Attorney General provided a legal 2 received no comments on this NPR. opinion that states that the Privilege 9VAC5–30–30 and updates documents Law, Va. Code Sec. 10.1–1198, incorporated by reference found under II. Summary of SIP Revision precludes granting a privilege to 40 CFR Part 50 under Regulation In June 2010, EPA revised the primary documents and information ‘‘required 9VAC5–20–21.E.1. SO2 NAAQS, establishing a 1-hour by law,’’ including documents and V. Statutory and Executive Order standard at the level of 75 parts per information ‘‘required by Federal law to Reviews billion (ppb). The amendments to maintain program delegation, Virginia’s regulations include the authorization or approval,’’ since A. General Requirements adoption of the 2010 1-hour SO2 Virginia must ‘‘enforce Federally Under the CAA, the Administrator is NAAQS and the nullification of the authorized environmental programs in a required to approve a SIP submission existing annual and 24-hour primary manner that is no less stringent than that complies with the provisions of the SO2 NAAQS one year after area their Federal counterparts. * * *’’ The CAA and applicable Federal regulations. designations for the 2010 1-hour opinion concludes that ‘‘[r]egarding 42 U.S.C. 7410(k); 40 CFR 52.02(a). primary SO2 NAAQS. These § 10.1–1198, therefore, documents or Thus, in reviewing SIP submissions, amendments can be found under other information needed for civil or EPA’s role is to approve state choices, criminal enforcement under one of these Regulation 9VAC5–30–30. There were provided that they meet the criteria of programs could not be privileged also administrative changes regarding the CAA. Accordingly, this action because such documents and these amendments. These changes merely approves state law as meeting information are essential to pursuing include updates to documents Federal requirements and does not enforcement in a manner required by incorporated by reference under 40 CFR impose additional requirements beyond Federal law to maintain program Part 50, as well as administrative those imposed by state law. For that changes regarding those updates. These delegation, authorization or approval.’’ Virginia’s Immunity Law, Va. Code reason, this action: changes can be found under Regulation • 9VAC5–20–21.E.1. Sec. 10.1–1199, provides that ‘‘[t]o the Is not a ‘‘significant regulatory extent consistent with requirements action’’ subject to review by the Office III. General Information Pertaining to imposed by Federal law,’’ any person of Management and Budget under SIP Submittals From the making a voluntary disclosure of Executive Order 12866 (58 FR 51735, Commonwealth of Virginia information to a state agency regarding October 4, 1993); In 1995, Virginia adopted legislation a violation of an environmental statute, • Does not impose an information that provides, subject to certain regulation, permit, or administrative collection burden under the provisions

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of the Paperwork Reduction Act (44 not approved to apply in Indian country review may be filed, and shall not U.S.C. 3501 et seq.); located in the state, and EPA notes that postpone the effectiveness of such rule • Is certified as not having a it will not impose substantial direct or action. significant economic impact on a costs on tribal governments or preempt This action pertaining to amendments substantial number of small entities tribal law. of Virginia’s regulations regarding the under the Regulatory Flexibility Act B. Submission to Congress and the 2010 1-hour SO2 NAAQS may not be (5 U.S.C. 601 et seq.); Comptroller General challenged later in proceedings to • Does not contain any unfunded enforce its requirements. (See section mandate or significantly or uniquely The Congressional Review Act, 5 307(b)(2).) affect small governments, as described U.S.C. 801 et seq., as added by the Small in the Unfunded Mandates Reform Act Business Regulatory Enforcement List of Subjects in 40 CFR Part 52 of 1995 (Pub. L. 104–4); Fairness Act of 1996, generally provides Environmental protection, Air • Does not have Federalism that before a rule may take effect, the pollution control, Incorporation by implications as specified in Executive agency promulgating the rule must reference, Sulfur oxides. Order 13132 (64 FR 43255, August 10, submit a rule report, which includes a 1999); copy of the rule, to each House of the Dated: January 17, 2012. • Is not an economically significant Congress and to the Comptroller General W.C. Early, regulatory action based on health or of the United States. EPA will submit a Acting Regional Administrator, Region III. safety risks subject to Executive Order report containing this action and other 40 CFR Part 52 is amended as follows: 13045 (62 FR 19885, April 23, 1997); required information to the U.S. Senate, • Is not a significant regulatory action the U.S. House of Representatives, and PART 52—[AMENDED] subject to Executive Order 13211 (66 FR the Comptroller General of the United 28355, May 22, 2001); States prior to publication of the rule in ■ 1. The authority citation for 40 CFR • Is not subject to requirements of the Federal Register. A major rule part 52 continues to read as follows: Section 12(d) of the National cannot take effect until 60 days after it Authority: 42 U.S.C. 7401 et seq. Technology Transfer and Advancement is published in the Federal Register. Act of 1995 (15 U.S.C. 272 note) because This action is not a ‘‘major rule’’ as Subpart VV—Virginia application of those requirements would defined by 5 U.S.C. 804(2). be inconsistent with the CAA; and ■ 2. In § 52.2420, the table in paragraph C. Petitions for Judicial Review • Does not provide EPA with the (c) is amended by revising the entry for discretionary authority to address, as Under section 307(b)(1) of the CAA, Section 5–30–30. The table in paragraph appropriate, disproportionate human petitions for judicial review of this (e) is amended by adding an entry for health or environmental effects, using action must be filed in the United States Documents Incorporated by Reference practicable and legally permissible Court of Appeals for the appropriate after the thirteenth existing entry for methods, under Executive Order 12898 circuit by April 3, 2012. Filing a petition Documents Incorporated by Reference. (59 FR 7629, February 16, 1994). for reconsideration by the Administrator The amendments read as follows: In addition, this rule does not have of this final rule does not affect the tribal implications as specified by finality of this action for the purposes of § 52.2420 Identification of plan. Executive Order 13175 (65 FR 67249, judicial review nor does it extend the * * * * * November 9, 2000), because the SIP is time within which a petition for judicial (c) * * *

EPA-APPROVED VIRGINIA REGULATIONS AND STATUTES

State State citation Title/subject effective EPA approval date Explanation [former SIP date citation]

******* 9 VAC 5 Chapter 30—Ambient Air Quality Standards [Part III]

******* 5–30–30 ...... Sulfur Oxides (Sulfur Dioxide) ...... 5/25/11 2/3/12 [Insert page num- Addition of paragraphs ber where the docu- A.2 through A.4; revi- ment begins]. sions to paragraphs A.1, C. and D.

*******

* * * * * (e) ** *

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Applicable State Name of non-regulatory SIP revision geographic area submittal date EPA approval date Additional explanation

******* Documents Incorporated by Reference (9 VAC Statewide ...... 5/25/11 2/3/12 [Insert page Addition of paragraphs 5–20–21, Section E.1.a.(1)). number where the (1)(a) and (1)(u). The document begins]. citations of all other paragraphs are revised.

*******

[FR Doc. 2012–2334 Filed 2–2–12; 8:45 am] managed area (ASMA 7) and five principles underlying and requirements BILLING CODE 6560–50–P historical sites and monuments in of E.O. 12988 are not implicated. Antarctica (HSM 83–87). Federalism and Consultation and Public Participation NATIONAL SCIENCE FOUNDATION Coordination With Indian Tribal The addition of these areas and sites Governments 45 CFR Part 670 merely reflects decisions already made by the Antarctic Treaty Parties at The Foundation has considered this Conservation of Antarctic Animals and various international ATCM meetings. final rule under the requirements of E.O. Plants Because these amendments involve a 13132 on federalism and has determined that the final rule conforms AGENCY: National Science Foundation. foreign affairs function, the provisions with the federalism principles set out in ACTION: Final rule. of Executive Order 12866 and the Administrative Procedure Act (5 U.S.C. this E.O.; will not impose any SUMMARY: Pursuant to the Antarctic 553), requiring notice of proposed compliance costs on the States; and will Conservation Act of 1978, The National rulemaking, opportunity for public not have substantial direct effects on the Science Foundation (NSF) is amending participation, and delay in effective States, the relationship between the its regulations to reflect newly date, are inapplicable. Further, because Federal government and the States, or designated Antarctic Specially Protected no notice of proposed rulemaking is the distribution of power and Areas (ASPA), Antarctic Specially required for this rule, the Regulatory responsibilities among the various Managed Areas (ASMA) and Historical Flexibility Act (5 U.S.C. 601–612) does levels of government. Therefore, the Sites or Monuments (HSM). These not apply. Although this rule is exempt Foundation has determined that no additions reflect measures already from the Regulatory Flexibility Act, it further assessment of federalism adopted by the Antarctic Treaty Parties has nonetheless been determined that implications is necessary. at recent Antarctic Treaty Consultative this rule will not have a significant Meetings (ATCM). Finally, the impact on a substantial number of small Moreover, the Foundation has regulation is being revised to correct businesses. Finally, as the agency has determined that promulgation of this some typographical and numbering determined that this action pertains to final rule does not require advance errors. the foreign affairs function of the United consultation with Indian Tribal officials as set forth in E.O. 13175, Consultation DATES: Effective February 3, 2012. States it accordingly is not a ‘‘rule’’ as and Coordination with Indian Tribal FOR FURTHER INFORMATION CONTACT: that term is used by the Congressional Bijan Gilanshah, Office of the General Review Act (5 U.S.C. 801–808). Governments. Counsel, (703) 292–8060. Therefore, the reporting requirement of 5 U.S.C. 801 does not apply. Energy Effects SUPPLEMENTARY INFORMATION: The Antarctic Conservation Act of 1978, as Environmental Impact The Foundation has reviewed this amended (‘‘ACA’’) (16 U.S.C. 2401, et This final rule makes conforming final rule under E.O. 13211, Actions seq.) implements the Protocol on changes to the National Science Concerning Regulations That Environmental Protection to the Foundation’s regulations to reflect the Significantly Affect Energy Supply, Antarctic Treaty (‘‘the Protocol’’). substantive outcomes of recent Distribution, or Use. The Foundation Annex V contains provisions for the Antarctic Treaty Consultative Meetings. has determined that this final rule does protection of specially designated areas The actions taken by the Antarctic not constitute a significant energy action specially managed areas and historic Treaty Parties to specially protect and as defined in the E.O. sites and monuments. Section 2405 of manage these new Antarctic areas and Unfunded Mandates title 16 of the ACA directs the Director historic resources will result in added of the National Science Foundation to protection of the Antarctic environment Pursuant to Title II of the Unfunded issue such regulations as are necessary and its historic resources. Mandates Reform Act of 1995 (2 U.S.C. and appropriate to implement Annex V 1531–1538), the Foundation has to the Protocol. No Takings Implications assessed the effects of this final rule on The Antarctic Treaty Parties, which The Foundation has determined that State, local, and Tribal governments and includes the United States, periodically the final rule will not involve the taking the private sector. This final rule will adopt measures to establish additional of private property pursuant to E.O. not compel the expenditure of $100 specially protected areas, specially 12630. managed areas and historical sites or million or more by any State, local, or monuments in Antarctica. This rule is Civil Justice Reform Tribal government or anyone in the being revised to reflect three newly The Foundation has considered this private sector. Therefore, a statement added Antarctic specially protected final rule under E.O. 12988 on civil under section 202 of the act is not areas (ASPAs 168–171), one specially justice reform and determined the required.

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Controlling Paperwork Burdens on the ASPA 107 Emperor Island, Dion ASPA 139 Biscoe Point, Anvers Island, Public Islands, Marguerite Bay, Antarctic Palmer Archipelago Peninsula ASPA 140 Parts of Deception Island, This final rule does not contain any ASPA 108 Green Island, Berthelot South Shetland Islands recordkeeping or reporting requirements Islands, Antarctic Peninsula ASPA 141 Yukidori Valley, or other information collection ASPA 109 Moe Island, South Orkney Langhovde, Lutzow-Holm Bay requirements as defined in 5 CFR part Islands ASPA 142 Svarthamaren 1320 that are not already required by ASPA 110 Lynch Island, South Orkney ASPA 143 Marine Plain, Mule law or not already approved for use. Islands Peninsula, Vestfold Hills, Princess Accordingly, the review provisions of ASPA 111 Southern Powell Island and Elizabeth Land the Paperwork Reduction Act of 1995 adjacent islands, South Orkney ASPA 144 Chile Bay (Discovery Bay), (44 U.S.C. 3501 et seq.) and its Islands Greenwich Island, South Shetland implementing regulations at 5 CFR part ASPA 112 Coppermine Peninsula, Islands 1320 do not apply. Robert Island, South Shetland Islands ASPA 145 Port Foster, Deception List of Subjects in 45 CFR Part 670 ASPA 113 Litchfield Island, Arthur Island, South Shetland Islands Harbour, Anvers Island, Palmer ASPA 146 South Bay, Doumer Island, Administrative practice and Archipelago procedure, Antarctica, Exports, Imports, Palmer Archipelago ASPA 114 Northern Coronation Island, ASPA 147 Ablation Valley and Plants, Reporting and recordkeeping South Orkney Islands requirements, Wildlife. Ganymede Heights, Alexander Island ASPA 115 Lagotellerie Island, ASPA 148 Mount Flora, Hope Bay, Dated: January 18, 2012. Marguerite Bay, Graham Land Antarctic Peninsula Lawrence Rudolph, ASPA 116 New College Valley, ASPA 149 Cape Shirreff and San General Counsel. Caughley Beach, Cape Bird, Ross Talmo Island, Livingston Island, Island South Shetland Islands Pursuant to the authority granted by ASPA 117 Avian Island, Marguerite 16 U.S.C. 2405(a)(1), NSF hereby ASPA 150 Ardley Island, Maxwell Bay, Antarctic Peninsula Bay, King George Island (25 de Mayo) amends 45 CFR part 670 as set forth ASPA 118 Summit of Mount below: ASPA 151 Lions Rump, King George Melbourne, Victoria Land Island, South Shetland Islands PART 670—[AMENDED] ASPA 119 Davis Valley and Forlidas ASPA 152 Western Bransfield Strait Pond, Dufek Massif, Pensacola ASPA 153 Eastern Dallmann Bay ■ 1. The authority citation for part 670 Mountains ASPA 154 Botany Bay, Cape Geology, continues to read as follows: ASPA 120 Pointe-Geologie Victoria Land Archipelego, Terre Adelie Authority: 16 U.S.C. 2405, as amended. ASPA 155 Cape Evans, Ross Island ASPA 121 Cape Royds, Ross Island ASPA 156 Lewis Bay, Mount Erebus, ■ 2. Section 670.29 is revised to read as ASPA 122 Arrival Heights, Hut Point Ross Island follows: Peninsula, Ross Island ASPA 157 Backdoor Bay, Cape Royds, ASPA 123 Barwick and Balham Ross Island § 670.29 Designation of Antarctic Specially Valleys, Southern Victoria Land ASPA 158 Hut Point, Ross Island Protected Areas, Specially Managed Areas ASPA 124 Cape Crozier, Ross Island ASPA 159 Cape Adare, Borchgrevink and Historic Sites and Monuments. ASPA 125 Fildes Peninsula, King Coast George Island (25 de Mayo) (a) The following areas have been ASPA 160 Frazier Islands, Windmill designated by the Antarctic Treaty ASPA 126 Byers Peninsula, Livingston Island, South Shetland Islands Islands, Wilkes Land, East Antarctica Parties for special protection and are ASPA 161 Terra Nova Bay, Ross Sea hereby designated as Antarctic Specially ASPA 127 Haswell Island ASPA 128 Western shore of Admiralty ASPA 162 Mawson’s Huts, Cape Protected Areas (ASPA). The Antarctic Denison, Commonwealth Bay, George Conservation Act of 1978, as amended, Bay, King George Island, South Shetland Islands V Land, East Antarctica prohibits, unless authorized by a permit, ASPA 163 Dakshin Gangotri Glacier, any person from entering or engaging in ASPA 129 Rothera Point, Adelaide Island Dronning Maud Land activities within an ASPA. Detailed ASPA 164 Scullin and Murray maps and descriptions of the sites and ASPA 130 Tramway Ridge, Mount Erebus, Ross Island Monoliths, Mac. Robertson Land complete management plans can be ASPA 165 Edmonson Point, Wood obtained from the National Science ASPA 131 Canada Glacier, Lake Fryxell, Taylor Valley, Victoria Land Bay, Ross Sea Foundation, Office of Polar Programs, ASPA 166 Port-Martin, Terre Adelie National Science Foundation, Room ASPA 132 Potter Peninsula, King George Island (Isla 25 de Mayo) ASPA 167 Hawker Island, Vestfold 755, 4201 Wilson Boulevard, Arlington, Hills, Ingrid Christensen Coast, Virginia 22230. (South Shetland Islands) ASPA 133 Harmony Point, Nelson Princess Elizabeth Land, East ASPA 101 Taylor Rookery, Mac. Island, South Shetland Islands Antarctica Robertson Land ASPA 134 Cierva Point and offshore ASPA 168 Mount Harding, Grove ASPA 102 Rookery Islands, Holme islands, Danco Coast, Antarctic Mountains, East Antarctica Bay, Mac. Robertson Land Peninsula ASPA 169 Amanda Bay, Ingrid ASPA 103 Ardery Island and Odbert ASPA 135 North-eastern Bailey Christensen Coast, Princess Elizabeth Island, Budd Coast, Wilkes Land Peninsula, Budd Coast, Wilkes Land Land, East Antarctica ASPA 104 Sabrina Island, Northern ASPA 136 Clark Peninsula, Budd ASPA 170 Marion Nunataks, Charcot Ross Sea, Antarctica Coast, Wilkes Land Island, Antarctic Peninsula ASPA 171 ASPA 105 Beaufort Island, McMurdo ASPA 137 North-west White Island, Narebski Point, Barton Peninsula, Sound, Ross Sea McMurdo Sound King George Island ASPA 106 Cape Hallett, Northern ASPA 138 Linnaeus Terrace, Asgard (b) The following areas have been Victoria Land, Ross Sea Range, Victoria Land designated by the Antarctic Treaty

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Parties for special management and HSM 9 Cemetery on Buromskiy HSM 32 Concrete Monolith erected have been designated as Antarctic Island, near Mirny Observatory. in 1947 near Capitan Arturo Prat Base Specially Managed Areas (ASMA). HSM 10 Building (Magnetic on Greenwich Island, South Shetland Detailed maps and descriptions of the Observatory) at Dobrowolsky Station, Islands. sites and complete management plans Bunger Hills, with plaque in memory of HSM 33 Shelter and cross with can be obtained from the National the opening of Oasis Station in 1956. plaque near Capitan Arturo Prat Base Science Foundation, Office of Polar HSM 11 Heavy Tractor at Vostock Greenwich Island, South Shetland Programs, Room 755, 4201 Wilson Station with plaque in memory of the Islands. Boulevard, Arlington, Virginia 22230. opening of the Station in 1957. HSM 34 Bust at Capitan Arturo Prat ASMA 1 Admiralty Bay, King George HSM 14 Site of ice cave at base Greenwich Island, South Shetland Island Inexpressible Island, Terra Nova Bay, Islands, of Chilean naval hero Arturo ASMA 2 McMurdo Dry Valleys, constructed in March 1912 by Victor Prat. Southern Victoria Land Campbell’s Northern Party. HSM 35 Wooden cross and statue of ASMA 3 Cape Denison, HSM 15 Hut at Cape Royds, Ross the Virgin of Carmen erected in 1947 Commonwealth Bay, George V Land, Island, built in February 1908 by the near Capitan Arturo Prat base East Antarctica British Antarctic Expedition. Greenwich Island, South Shetland ASMA 4 Deception Island HSM 16 Hut at Cape Evans, Ross Islands. ASMA 5 Amundsen-Scott South Pole Island, built in January 1911 by the HSM 36 Replica of a metal plaque Station, South Pole British Antarctic Expedition. erected by Eduard Dallman at Potter ASMA 6 Larsemann Hills, East HSM 17 Cross on Wind Vane Hill, Cove, King George Island, South Antarctica Cape Evans, Ross Island, erected by the Shetland Islands. ASMA 7 Southwest Anvers Island and Ross Sea Party in memory of three HSM 37 Statue erected in 1948 at Palmer Basin members of the party who died in the General Bernando O’Higgins Base vicinity in 1916. (Chile) Trinity Peninsula. (c) The following areas have been HSM 18 Hut at Hut Point, Ross HSM 38 Wooden hut on Snow Hill designated by the Antarctic Treaty Island, built in February 1902 by the Island built in February 1902 by the Parties as historic sites or monuments British Antarctic Expedition. Swedish South Polar Expedition. (HSM). The Antarctic Conservation Act HSM 19 Cross at Hut Point, Ross HSM 39 Stone hut at Hope Bay, of 1978, as amended, prohibits any Island, erected in February 1904 by the Trinity Peninsula built in January 1903 damage, removal or destruction of a British Antarctic Expedition in memory by the Swedish South Polar Expedition. historic site or monument listed of George Vince. HSM 40 Bust of General San Martin, pursuant to Annex V to the Protocol. HSM 20 Cross on Observation Hill, grotto with statue of the Virgin Lujan, a Descriptions of the sites or Ross Island, erected in January 1913 by flag mast and graveyard at Base monuments can be obtained from the the British Antarctic Expedition in Esperanza, Hope Bay Trinity Peninsula, National Science Foundation, Office of memory of Captain Robert F Scott’s erected by Argentina in 1955. Polar Programs, Room 755, 4201 Wilson party which perished on the return HSM 41 Stone hut and grave at Boulevard, Arlington, Virginia 22230. journey from the South Pole. Paulet Island built in 1903 by members HSM 1 Flag mast erected in HSM 21 Remains of stone hut at of the Swedish South Polar Expedition. December 1965 at South Geographical Cape Crozier, Ross Island, constructed HSM 42 Area of Scotia bay, Laurie Pole by the First Argentine Overland in July 1911 by the British Antarctic Island, South Orkney containing stone Polar Expedition. Expedition. huts built in 1903 by the Scottish HSM 2 Rock cairn and plaques HSM 22 Three huts and associated Antarctic Expedition, Argentine erected in January 1961 at Syowa relics at Cape Adare Two built in meteorological hut and magnetic Station in memory of Shun Fukushima. February 1899 the third was built in observatory (Moneta house) and HSM 3 Rock cairn and plaque February 2011 all by the British graveyard. erected in January 1930 by Sir Douglas Antarctic Expedition. HSM 43 Cross erected in 1955 and Mawson on Proclamation Island, HSM 23 Grave at Cape Adare of subsequently moved to Belgrano II Enderby Land. Norwegian biologist Nicolai Hanson. Station, Nunatak Bertrab, Confin Coast, HSM 4 Station building to which a HSM 24 Rock cairn, known as Coats Land in 1979. bust of V.I. Lenin is fixed together with ‘‘Amundsen’s cairn,’’ at Mount Betty, HSM 44 Plaque erected at temporary a plaque in memory of the conquest of Queen Maud Range erected by Roald Indian Station ‘‘Dakshin Gangotri,’’ the Pole of Inaccessibility, by Soviet Amundsen in January 1912. Princess Astrid Kyst, Droning Maud Antarctic Explorers in 1958. HSM 26 Abandoned installations of Land, listing the names of the first HSM 5 Rock cairn and plaque at Argentine Station ‘‘General San Martin’’ Indian Antarctic Expedition. Cape Bruce, Mac. Robertson Land, on Barry Island, Debenham Islands, HSM 45 Plaque on Brabant Island, erected in February 1931 by Sir Douglas Marguerite Bay, Antarctic Peninsula. on Metchnikoff Point, at a height of 70m Mawson. HSM 27 Cairn with a replica of a on the crest of the moraine separating HSM 6 Rock cairn and canister at lead plaque erected at Megalestris Hill, this point from the glacier and bearing Walkabout Rocks, Vestfold Hills, Petermann Island in 1909 by the second an inscription. Princess Elizabeth Land, erected in 1939 French expedition. HSM 46 All of the buildings and by Sir Hubert Wilkins. HSM 28 Rock Cairn at Port Charcot, installations of Port-Martin Base, Terre HSM 7 Stone with inscribed plaque, Booth Island, with wooden pillar and Ad6lie, constructed in 1950 by the 3rd erected at Mirny Observatory, Mabus plaque. French expedition in Terre Ad6lie. Point, in memory of driver-mechanic HSM 29 Lighthouse named HSM 47 Wooden building called Ivan Kharma. ‘‘Primero de Mayo’’ erected on Lambda ‘‘Base Marret’’ on the Ile des Petrels, HSM 8 Metal Monument sledge and Island, Melchior Islands, by Argentina Terre Ad6lie. plaque at Mirny Observatory, Mabus in 1942. HSM 48 Iron Cross on the North- Point, in memory of driver-mechanic HSM 30 Shelter at Paradise Harbour East headland of the Ile des Petrels, Anatoly Shcheglov. erected in 1950. Terre Ad6lie.

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HSM 49 Concrete pillar erected by 1902 by Capt. Robert F. Scott’s ACTION: Final rule. the First Polish Antarctic Expedition at Discovery Expedition. Dobrowski Station on Bunger Hill in HSM 70 Message post at Cape SUMMARY: This document amends the January 1959, to measure acceleration Wadworth, Coulman Island, erected Commission’s rules to facilitate more due to gravity. January 1902 by Capt. Robert F. Scott. efficient and effective use by the HSM 50 Brass Plaque bearing the HSM 71 Whalers Bay, Deception Amateur Radio Service of five channels Polish Eagle at Fildes Peninsula, King Island, South Shetland Islands (includes in the 5330.5–5406.4 kHz band (the 60 George Island, South Shetland Islands. whaling artifacts). meter band). Specifically, and HSM 51 Grave of Wlodzimierz HSM 72 Mikkelsen Cairn, Tryne consistent with our proposals in the Puchalski, surmounted by an iron cross Islands, Vestfold Hills. Notice of Proposed Rulemaking in this south of Arctowski station on King HSM 73 Memorial Cross for the proceeding, the Commission replaces George Island, South Shetland Islands. 1979 Mount Erebus crash victims, one of the channels with a less HSM 52 Monolith commemorating erected in January 1987 at Lewis Bay, encumbered one, increases the the establishment on 20 February 1985 Ross Island. maximum authorized power amateur of the ‘‘Great Wall Station’’ on Fildes HSM 74 Unnamed cove on the stations may transmit in this band, and Peninsula, King George Island, South south-west coast of Elephant Island, authorizes amateur stations to transmit Shetland Islands. South Shetland Islands, including the three additional emission designators. HSM 53 Bust of Captain Luis foreshore and intertidal area, in which The Commission also adopts an Alberto Pardo, monolith and plaques on the wreckage of a large wooden sailing additional operational rule that Point Wild, Elephant Island, South vessel is located. prohibits the use of automatically Shetland Islands. HSM 75 ‘‘A Hut’’ of Scott base, Pram controlled digital stations and makes HSM 54 Richard E. Byrd Historic Point, Ross Island. editorial revisions to the relevant HSM 76 Ruins of base Pedro Aguirre Monument, a bronze bust at McMurdo portions of the Table of Frequency Cerda, Pendulum Cove, Deception Station. Allocations (Allocation Table) and our Island, South Shetland Islands. HSM 55 East Base, Antarctica, service rules. HSM 77 Cape Denison, Stonington Island (Buildings and Commonwealth Bay, George V Land, DATES: Effective March 5, 2012. artifacts) erected by the Antarctic including Boat Harbour and the historic FOR FURTHER INFORMATION CONTACT: Tom Service Expedition (1939–1941) and the artifacts contained within its waters. Mooring, Office of Engineering and Ronne Antarctic Research Expedition HSM 78 Memorial Plaque at India Technology, 202–418–2450, (1947–1948). Point, Humboldt Mountains, Wohlthat [email protected]. HSM 56 Waterboat Point, Danco Massif, central Dronning Maud Land. Coast, (remains of hut and environs). SUPPLEMENTARY INFORMATION: This is a HSM 79 Lillie Marleen Hut, Mt. summary of the Commission’s Report HSM 57 Plaque at ‘‘Yankee Bay’’ Dockery, Everett Range, Northern (Yankee Harbour), MacFarlane Strait, and Order, ET Docket No. 10–98, FCC Victoria Land. 11–171, adopted November 16, 2011 Greenwich Island, South Shetland HSM 80 Amundsen’s Tent erected and released November 18, 2011. The Islands. in December 1911 at the South Pole. HSM 59 Cairn on Half Moon Beach, HSM 81 Rocher du Debarquement full text of this document is available for Cape Shirreff, Livingston Island, South (Landing Rock). inspection and copying during normal Shetland Islands and a Plaque on ‘Cerro HSM 82 Monument to the Antarctic business hours in the FCC Reference Gaviota’ opposite San Telmo Islets. Treaty and Plaques, Fildes Peninsula, Center (Room CY–A257), 445 12th HSM 60 Wooden plaque and cairn King George Island, South Shetland Street SW., Washington, DC 20554. The placed in November 1903 at ‘‘Penguins Islands. complete text of this document also may Bay,’’ Seymour Island (Marambio), HSM 83 Base ‘‘W’’ established in be purchased from the Commission’s James Ross Archipelago. 1956 at Detaille Island, Lallemande copy contractor, Best Copy and Printing, HSM 61 ‘‘Base A’’ at Port Lockroy, Fjord, Loubert Coast. Inc., 445 12th Street SW., Room, CY– Goudier Island, off Wiencke Island. HSM 84 Hut erected in 1973 at B402, Washington, DC 20554. The full HSM 62 ‘‘Base F’’ (Wordie House), Damoy Point, Dorian Bay, Wiencke text may also be downloaded at: on Winter Island, Argentine Islands. Island, Palmer Archipelago. www.fcc.gov. People with Disabilities: HSM 63 ‘‘Base Y’’ on Horseshoe HSM 85 Plaque Commemorating the To request materials in accessible Island, Marguerite Bay, western Graham PM–3A Nuclear Power Plant at formats for people with disabilities Land. McMurdo Station. (braille, large print, electronic files, HSM 64 ‘‘Base E’’ on Stonington HSM 86 No.1 Building audio format), send an email to Island, Marguerite Bay, western Graham Commemorating China’s Antarctic [email protected] or call the Consumer & Land. Expedition at Great Wall/Station. Governmental Affairs Bureau at 202– HSM 65 Message post erected in [FR Doc. 2012–1392 Filed 2–2–12; 8:45 am] 418–0530 (voice), 202–418–0432 (tty). January 1895 on Svend Foyn Island, BILLING CODE 7555–01–P Summary of Report and Order Possession Islands. HSM 66 Prestrud’s cairn, Scott 1. On May 4, 2010, the Commission Nunataks, Alexandra Mountains, FEDERAL COMMUNICATIONS issued an NPRM in this proceeding, in Edward VII Peninsula erected in COMMISSION which it proposed to adopt the three December 1911. rule modifications requested by the HSM 67 Rock shelter known as 47 CFR Parts 2 and 97 American Radio Relay League (ARRL). ‘‘Granite House,’’ erected in 1911 at The Commission also identified and Cape Geology, Granite Harbour. [ET Docket No. 10–98; FCC 11–171] sought comment on four operational HSM 68 Site of depot at Hells Gate Amateur Radio Use of the Allocation at issues: (1) Would a transmission time Moraine, Inexpressible Island, Terra 5 MHz limit help ensure that amateur operators Nova Bay. transmitting the two data emissions HSM 69 Message post at Cape AGENCY: Federal Communications avoid causing harmful interference to Crozier, Ross Island, erected January Commission. Federal users in instances where

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Federal agencies exercise their primary make to use the replacement channel, that will accrue if it increase the power use of the 60 meter band, and if so, the Commission concludes that limit to 100 W PEP and that the record would 3 minutes be sufficient, or is proposed § 97.303(h) requires a de shows that the costs (i.e., the increased another limit more appropriate? (2) minimis adjustment. This action ensures potential for harmful interference) are Should amateur stations be permitted to that a large installed base of equipment minimal. The Commission specifically transmit emission types in addition to is not rendered technically out of rejects alternate options such as an even those proposed in the NPRM? (3) Would compliance under our modified rules. higher power increase or different a Voice-Operated Transmit (VOX) mode Accordingly, the Commission amends power limits for different of operation, which ARRL footnote US381 and § 97.303(h) by circumstances, because these options recommended that we require for removing 5368 kHz, by adding the would introduce added costs—a amateur operators transmitting phone center (assigned) frequency 5358.5 kHz, significantly greater interference emissions, increase the potential for and by defining the 60 meter band as potential and added regulatory interference because of its susceptibility the 5330.5–5406.4 kHz band; and also complexity—that would sharply reduce to keying a radio to transmit under high amends § 97.303(h) by adding carrier the overall benefits of the rule change. surrounding noise environments such as frequencies for each of the five channels 8. As part of its amendment of the might be found in an emergency in the 60 meter band that are 1.5 kHz transmitter power standard applicable operations center? (4) Should amateur below the center frequency. In addition, to the 60 meter band, the Commission operators that provide emergency the Commission renumbers footnote clarifies the second sentence in communications using the 60 meter US381 as US23 to be consistent with its § 97.313(i) by revising ‘‘dipole’’ to read band be encouraged to add a sound current numbering system for domestic ‘‘half-wave dipole antenna,’’ by card-generated Automatic Link footnotes that is based on frequency removing unnecessary text, and by Establishment (ALE) capability to their order. explicitly stating that a numeric gain of stations? 1 is equivalent to 0 dBd. The 2. The Commission first addresses the Power Increase Commission likewise corrects an errant three key rule changes identified in the 6. Section 97.313(i) states that no cross-reference in § 97.313(f) of its NPRM that can lead to more efficient station may transmit with an effective transmitter power rules that was and effective use of the 60 meter band radiated power (ERP) exceeding 50 W introduced when it recently combined by the Amateur Radio Service: replacing PEP on the 60 meter band and also two footnotes. one channel, increasing power limits, provides a simplified means of Additional Emissions and adding emission designators. The calculating ERP. In the NPRM, the Commission then discusses Commission proposed to increase the 9. Under the existing rules, only modifications to specific operational maximum ERP that amateur stations upper sideband voice transmissions are rules, including several matters where it may transmit on channels in the 60 permitted in the 60 meter band. In the concludes that it is unnecessary to meter band from 50 to 100 W PEP. NPRM, the Commission proposed to change the existing rules. Based on the record, the Commission authorize the use of three additional adopts its proposal. emission designators in the band: CW Replacement Channel 7. The Commission believes that the emission 150HA1A, which is Morse 3. In its petition, ARRL requested that examples cited by the commenters offer telegraphy by means of on-off keying, the Commission replace one of the five compelling reasons to support its and data emissions 2K80J2D and channels in the 60 meter band (5368 tentative conclusion that an increase in 60H0J2B. In § 97.307(f)(14)(i) of the kHz) with a channel (5358.5 kHz) that maximum power would serve to proposed rules, the Commission the National Telecommunications and facilitate many amateur radio restricts emission designator 2K80J2D to Information Administration (NTIA) has communications with minimal risk of data using PACTOR–III technique and identified. ARRL based its request on harmful interference. It also rejects emission designator 60H0J2B to data reports from amateur operators of requests for higher power limits, such as using PSK31 technique. The frequent interference from a digital 500 W PEP. There is no indication that Commission also sought comment on signal on the existing authorized a greater power limit would produce whether amateur stations could be channel. The Commission concludes substantially greater benefits or that any permitted to transmit emission types in that its proposal to replace the 5368 kHz increased potential for harmful addition to those requested by ARRL in channel with one centered on 5358.5 interference at this power limit has been the 60 meter band without increasing kHz will benefit amateur operations in fully considered. Additionally, the the likelihood of interference to primary the 60 meter band and adopts this rule Commission does not believe that it users. As discussed, the Commission change. would be useful to complicate the rules adopts its proposal to allow the use of 4. The Commission notes that three by establishing different power limits the three additional emission commenters suggest that the new for different circumstances, as some designators. channel should be an additional commenters suggest. Because the 10. Emission Designators. Our channel, not a replacement channel. minimal 50 W PEP increase does not proposal drew a wide range of Because the existing model of secondary significantly increase the potential for responses. Although the majority of amateur radio use of five channels is interference between stations, such a commenters fully or generally support acceptable to the primary Federal users distinction is not necessary or the proposals that the Commission in the 60 meter band and was the basis warranted. Just as with the existing 50 made in the NPRM, many commenters of the discussions between ARRL and W PEP power limit, a 100 W limit that expressed concerns about some or all of NTIA that formed the outline of our applies to all channels will be the proposed new emission designators. proposal, the Commission did not straightforward, easy to understand, and Commenters were most supportive of pursue this proposal. easy to apply. Thus, the Commission the proposed addition of emission 5. Finally, in considering those concludes that there is a tangible designators 150HA1A and 60H0J2B. By comments that discuss the adjustments benefit—greater communication contrast, the proposal to add emission that amateur radio operators and abilities that will enhance amateur type 2K80J2D proved much more equipment manufacturers will need to emergency communication activities— divisive. The record also includes a few

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commenters who are skeptical that the ‘‘same is true of 60H0J2B and which lists ‘‘Phone, RTTY, data’’ under additional emission types are 2K80J2D emissions, if careful manual the heading ‘‘Emission types appropriate for the 60 meter band. operating practices are used.’’ Moreover, authorized.’’ In addition, it amended 11. Finally, some commenters suggest ARRL commits to the necessary § 97.307 by adding new paragraph limiting some or all of the proposed dissemination of ‘‘best practices’’ (f)(14) to list the emission types and emissions to a specified channel or information to the amateur community designators and other restrictions. channels within the 60 meter band. on a timely basis and to the adoption Operational Requirements While the specific channel use and publication of a comprehensive proposals vary by commenter, there is a band plan for these channels that will 17. Transmission time limit. The general view among these commenters maintain maximum flexibility in Commission also sought comment on that such an approach would help offset Amateur use without interference. whether to adopt a rule addressing possible interference between emission Lastly, the Commission adopts certain transmission time limits. The existing types or that a specific channel/mode operational rules, which will serve to rules address station identification and assignment would promote efficiency. ensure that the new emission types are require each amateur station operating 12. Specific Techniques of the Data used in a manner that promotes on the 60 meter band to transmit its Emissions. Commenters strongly believe continued shared use of the band by all. assigned call sign on its transmitting that the use of the emission designators 15. The Commission declines to adopt channel at the end of each 60H0J2B and 2K80J2D should not be any emission designators beyond the communication, and at least every ten restricted to the specific techniques of three proposed in the NPRM. ARRL minutes during a communication, for PSK31 and PACTOR–III, respectively. states that its discussions with NTIA the purpose of making the source of the This approach differs from what was about the additional emission types transmissions from the station clearly proposed in the NPRM. were very specific and what was known. The Commission proposed, at a 13. The Commission adopts its endorsed by NTIA was very specifically minimum, to add a rule stating that proposal to authorize the use of three limited to the three additional emissions ‘‘[t]he control operator of a station additional emission designators in the requested in its petition and no others. transmitting data emissions must 60 meter band. These additional The Commission agrees that this is the exercise care to limit the length of capabilities can serve to enhance best course, as it is consistent with transmission so as to avoid causing amateur emergency communications existing understandings between harmful interference to United States and allow for greater experimentation in Federal and amateur radio interests. Government stations’’ but also asked the band, and it believes that doing so Similarly, it does not find it necessary whether codifying a specific time limit is in the public interest. We note, to modify the band plan by, for would help ensure that amateur however, that because ‘‘emission J2B’’ is example, requiring that certain emission licensees avoid causing harmful specifically defined in part 97 of our types be used on specified channels or interference to primary Federal users. rules to be a Radio Teletype (RTTY) during specified emergency events. The 18. The Commission declines to adopt emission, emission designator 60H0J2B Commission believes that ARRL and the a specific limit on transmission length must be codified as a RTTY emission in amateur community can work within and adopts the more general rule order to provide for consistency within the framework we establish to promote language that it proposed. Based on the part 97 of our rules. Accordingly, the continued cooperative use of the 60 clear history of successful amateur Commission authorizes control meter band and that the imposition of service sharing of the 60 meter band and operators to transmit the following such complex and burdensome channel the lack of a consensus among the additional emission types and and emission use restrictions is commenters, the Commission finds that designators in the 60 meter band: CW unnecessary. In sum, the additional there is no need to adopt a specific time emissions, limited to emission emission designators will benefit the limit. It believes that the existing station 150HA1A (i.e., Morse code telegraphy); amateur radio community by providing identification rule and the new rule text, data emissions, limited to emission new opportunities to use the 60 meter together with good amateur radio 2K80J2D (exemplified by PACTOR–III); band. While the Commission recognizes practice and the instruction and support and RTTY emissions, limited to that this added flexibility means that of ARRL (including its anticipated ‘‘best emission 60H0J2B (exemplified by some users could face reduced utility of practices’’ guide), will ensure that PSK31). the band for certain emission types, we amateur radio operators using the data 14. The Commission recognizes that are confident that any detrimental and RTTY emissions do not cause many commenters are concerned that impact can be avoided if the amateur harmful interference to primary Federal the addition of new emission types— radio community continues its legacy of users. Accordingly, the Commission data emission types in general and following best practices and exercising amends footnote US381 (renumbered PACTOR–III specifically—holds the risk sound judgment in sharing the available herein as US23) and of reducing the utility of these channels spectrum. § 97.307(f)(14)(ii)(B) by adding the for many amateurs, especially for those 16. Finally, the Commission agrees proposed sentences (except that RTTY who may not readily recognize data with commenters that limiting digital emissions are listed separately from data transmissions and may avoid use of the operation to a specific technique emissions). channels out of an abundance of discourages the further development of 19. Automatically Controlled Digital caution. The Commission concludes additional techniques, which may be Stations. Section 97.221(c) permits that there are ways to minimize any more efficient than those currently in automatic control of an amateur station potential disruption that the new use. Therefore, the Commission while transmitting a RTTY or data emission types could cause. ARRL notes authorizes an amateur station emission and § 97.109 states that when that amateur ‘‘stations typically utilize transmitting RTTY emission 60H0J2B or a station is being automatically relatively short transmissions in data emission 2K80J2D to use any controlled, the control operator is not telegraphy and are able to manually unspecified digital code, subject to the required to be at the control point. detect the presence of a non-Amateur requirements of § 97.309(b). The Commenters express concern that data signal within the channel bandwidth Commission amended § 97.305(c) by emissions—in particular, PACTOR–III— while operating in that mode’’ and that inserting the 60 meter band entry, may not effectively detect upper

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sideband (USB) emissions in progress 60H0J2B, respectively) may set the the inclusion of ALE on 60 meters is a and inhibit or cease transmissions when carrier frequency 1.5 kHz below the larger issue and ought to be addressed necessary when they are operating as center frequency, and that, for stations in a separate proceeding that considers automatic, unattended data stations. transmitting CW emissions (emission amateur ALE operation in general. The ARRL states that amateur stations designator 150HA1A), the carrier Commission further notes that ARRL typically utilize relatively short frequency is set to the center frequency. and local emergency management transmissions in telegraphy and are able 22. VOX Requirement. The agencies already have the latitude to to manually detect the presence of a Commission requested comment on encourage—and indeed require—that non-amateur signal within the channel whether amateur operators should be participants in specialized emergency bandwidth while operating in that mode required to use VOX in the phone communications programs (such as the and that the same would be true of emission mode, which ARRL stated Radio Amateur Civil Emergency Service 60H0J2B and 2K80J2D emissions, if would permit a Federal user to interrupt (RACES) and Amateur Radio Emergency careful ‘‘manual’’ operating practices are an amateur station’s transmission Service (ARES)) add a sound card- used. The Commission finds merit in quickly and easily without waiting for generated ALE capability to their the commenters’ concerns and an unpredictable end of the stations. Because there is no consensus concludes that ARRL’s underlying transmission. The Commission in the record, nor evidence that adding assumption that stations transmitting specifically sought comment on whether ALE will be beneficial in all situations, data emissions are not under automatic a VOX mode of operation might increase the Commission declines to make any control should be incorporated in the the potential for interference because of recommendation as to its use as part of Commission’s rules as part of its its susceptibility to keying a radio to this proceeding. decision to add new data emission transmit under high surrounding noise 26. Additional Issues Raised by types. The Commission’s prohibition on environments such as might be found in Commenters. Finally, the Commission automatically controlled stations will an emergency operations center. briefly discusses three issues raised by also help ensure that when Federal 23. The Commission agrees with the commenters that fall outside the scope agencies need to exercise their primary majority of commenters that improper of this proceeding, are not necessary to use of the 60 meter band frequencies, operation of VOX would cause grant the relief sought by ARRL, or that amateur licensees will be better increased interference, and it therefore are already provided for in our current positioned to avoid causing harmful declines to require the use of VOX by rules. Commenters request that the interference and it included this amateur stations transmitting a phone Commission investigate expanding the restriction in § 97.221(c). emission in the 60 meter band. 60 meter band allocation beyond the 20. Operation on Channel Centers. Moreover, amateur communications in five channels that are currently Section 97.303(h) currently requires that the 60 meter band already successfully allocated. The Commission notes that co-exist without a VOX requirement, amateur operators ensure that their NTIA has recently indicated that it and the Commission sees no reason why station’s transmission occupies only 2.8 cannot support ARRL’s request for a this cannot continue. The Commission kHz centered at each of the five center secondary amateur service allocation of will rely on control operators to choose frequencies. The NPRM proposed that, 50 kilohertz near 5 MHz, and it did not between PTT and VOX operations, for amateur stations transmitting CW propose such an action in the NPRM. based on their abilities, equipment, and emissions and PSK31 data emissions, One commenter recommends that, for operating conditions. the carrier frequency shall be set to the routine messages, any one transmission center frequency. NTIA has requested 24. ALE Capability. At the request of of the two digital mode emissions be that the Commission continue to restrict NTIA, the Commission solicited restricted to three hundred characters amateur service transmissions in this comment on whether amateur operators and that any one transmission of CW be manner. that provide emergency 21. The Commission adopts the center communications using the 60 meter restricted to 40 characters. No other frequency requirement as proposed in band should be encouraged to add a party raised this issue, it was not within the NPRM. Because the amateur service sound card generated ALE capability to the scope of the NPRM, and it is not operates in the 60 meter band on a their stations. ALE is a standard for directly germane to providing the relief secondary basis, the Commission pays initiating and sustaining sought by ARRL. Lastly, commenters particular attention to NTIA’s position communications using High Frequency requested that the Commission allow and the interests of Federal agencies (HF) radio. antenna tuning transmissions. This type that have primary status in the band. 25. The Commission recognizes that of transmitting is already authorized The Commission concludes that ALE allows emergency control operators pursuant to § 97.305(b), which continuing to restrict amateur stations to to use multiple channels efficiently and authorizes amateur stations to transmit transmitting on the center frequencies reduces the time spent trying to connect test emissions on HF and MF will maintain the limited number of with another station. However, it also frequencies to, among other purposes, amateur operators using the five shares commenters’ concerns that there match transmitters to antennas. channels at any given time and provide is a potential for channel Final Regulatory Flexibility certainty as to where such operations monopolization due to periodic Certification can be found. By not upsetting the transmissions, which are not subject to expectations of the Federal users of the manual control, and that users who do 27. The Regulatory Flexibility Act of 1 band, it is confident that they will be not have ALE capability may have no 1980, as amended (RFA), requires that able to immediately reclaim these way of determining who is interfering an initial regulatory flexibility analysis frequencies from secondary amateur with their operation. ARRL takes no be prepared for notice and comment radio operations, if and when necessary. position on whether we should rulemaking proceedings, unless the Accordingly, the Commission amends encourage amateur operators to add ALE agency certifies that ‘‘the rule will not, § 97.303(h) to specify that control capability to their stations but does state 1 The RFA, see 5 U.S.C. 601–612, has been operators of stations transmitting phone, that it would not support modifying the amended by the Small Business Regulatory data, and RTTY emissions (emission Commission’s Rules to specifically Enforcement Fairness Act of 1996 (SBREFA), Public designators 2K80J3E, 2K80J2D, and require ALE. One commenter states that Law 104–121, Title II, 110 Stat. 857 (1996).

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if promulgated, have a significant in footnote US22 of the Allocation Table 303(c), 303(f), 303(g), and 303(r), this economic impact on a substantial (i.e., 5046.6, 5052.6, 5055.6, 5061.6, Report and Order is adopted and parts number of small entities.’’ 2 The RFA 5067.6, 5074.6, 5099.1, 5102.1, 5135, 2 and 97 of the Commission’s Rules are generally defines the term ‘‘small 5140, 5192, 5195, and 5313.6 kHz) and amended as set forth in Final Rules, entity’’ as having the same meaning as that none of these frequencies are effective March 5, 2012. the terms ‘‘small business,’’ ‘‘small within the 60 meter band. Therefore, we 36. The Commission’s Consumer and organization,’’ and ‘‘small governmental find that the 41 IG licensees are not Governmental Affairs Bureau, Reference jurisdiction.’’ 3 In addition, the term affected by the rule changes that we Information Center, shall send a copy of ‘‘small business’’ has the same meaning adopt today. this Report and Order, including the as the term ‘‘small business concern’’ 31. MC Licensees. With regard to the Final Regulatory Flexibility under the Small Business Act.4 A four MC licensees (Globe Wireless, Certification, to the Chief Counsel for ‘‘small business concern’’ is one which: CruiseEmail, XNet Yacht Association, Advocacy of the Small Business (1) Is independently owned and and Richard C Giddings), we note that Administration. operated; (2) is not dominant in its field only one licensee is authorized to of operation; and (3) satisfies any transmit within the allocated channel Report to Congress additional criteria established by the bandwidth of a 60 meter band 37. The Commission will send a copy Small Business Administration (SBA).5 frequency. Specifically, CruiseEmail is of the Report and Order, including this 28. In this Report and Order, the authorized (pursuant to call sign KDS) FRFA, in a report to Congress pursuant Commission amends the amateur to operate a public coast station (station to the Congressional Review Act.7 In service rules in order to replace one of class FC) in Olympia, Washington. We addition, the Commission will send a the channels in the 60 meter band with note that the necessary bandwidth copy of the Report and Order, including a less encumbered channel, to provide (5330–5332.8 kHz) of this primary this FRFA, to the Chief Counsel for for additional emission designators, and station overlaps the 5332 kHz channel Advocacy of the SBA.8 to increase the maximum authorized (5330.6–5333.4 kHz), which is allocated power. Because ‘‘small entities,’’ as to the amateur service on a secondary Ordering Clauses defined in the RFA, are not persons basis. List of Subjects in 47 CFR Parts 2 and eligible for licensing in the amateur 32. AF Licensees. With regard to the 97 service, the proposed changes to Part 97 sole AF licensee, we note that this do not apply to ‘‘small entities.’’ Rather, licensee (Aviation Spectrum Resources Communications equipment, Radio. they apply exclusively to individuals Inc) is authorized (pursuant to call sign Federal Communications Commission. who are the control operators of amateur KNE96) to operate at the Agana NAS Marlene H. Dortch, radio stations. Guam International Airport in Agana, Secretary. 29. As of April 1, 2011, the Guam. We further note that the Commission has issued the following necessary bandwidth (5370–5372.8 kHz) Final Rules types of licenses in the 5330.5–5406.4 of this primary aeronautical fixed kHz band (60 meter band): (1) 91 call For the reasons discussed in the station (station class AX) overlaps the preamble, the Federal Communications signs to 41 licensees in the 5373 kHz channel (5371.6–5374.4 kHz), Conventional Industrial/Business Pool Commission amends 47 CFR parts 2 and which is allocated to the amateur 97 to read as follows: Radio Service (IG); (2) five call signs to service on a secondary basis. four licensees in the Coastal Group 33. Accordingly, the Commission PART 2—FREQUENCY ALLOCATIONS Radio Service (MC); and (3) one call certifies that the rules adopted in this AND RADIO TREATY MATTERS; sign in the Aeronautical and Fixed Report and Order will not have a GENERAL RULES AND REGULATIONS Radio Service (AF). significant economic impact on a 30. IG Licensees. We note that, while substantial number of small entities. ■ 1. The authority citation for part 2 the 91 call signs list the 5005–5450 kHz The Commission will send a copy of continues to read as follows: band, these IG licensees are actually this Report and Order including a copy authorized to operate only on the 13 Authority: 47 U.S.C. 154, 302a, 303, and of this Final Regulatory Flexibility 336, unless otherwise noted. carrier frequencies (with a maximum Certification, to the Chief Counsel for necessary bandwidth of 2.8 kHz) listed Advocacy of the SBA.6 ■ 2. Section 2.106, the Table of Frequency Allocations, is amended to 1 The RFA, see 5 U.S.C. 601–612, has been Congressional Review Act read as follows. amended by the Small Business Regulatory ■ Enforcement Fairness Act of 1996 (SBREFA), Public 34. The Commission will send a copy a. Page 8 is revised. Law 104–121, Title II, 110 Stat. 857 (1996). of this Report and Order to Congress ■ b. In the list of United States (US) 2 5 U.S.C. 605(b). and the Government Accountability Footnotes, footnote US23 is added and 3 5 U.S.C. 601(6). Office pursuant to the Congressional footnote US381 is removed. 4 5 U.S.C. 601(3) (incorporating by reference the Review Act, see 5 U.S.C. 801(a)(1)(A). definition of ‘‘small business concern’’ in the Small § 2.106 Table of Frequency Allocations. Business Act, 15 U.S.C. 632). Pursuant to 5 U.S.C. Ordering Clauses * * * * * 601(3), the statutory definition of a small business applies ‘‘unless an agency, after consultation with 35. Pursuant to Sections 4(i), 301, The additions and revisions read as the Office of Advocacy of the Small Business 302(a), 303(c), 303(f), 303(g), and 303(r) follows: Administration and after opportunity for public of the Communications Act of 1934, as BILLING CODE 6712–01–P comment, establishes one or more definitions of such term which are appropriate to the activities of amended, 47 U.S.C. 154(i), 301, 302a(a) the agency and publishes such definition(s) in the 7 See 5 U.S.C. 801(a)(1)(A). Federal Register.’’ 5 15 U.S.C. 632. 8 See 5 U.S.C. 604(b).

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BILLING CODE 6712–01–C United States (US) Footnotes

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* * * * * (c) Except for channels specified in their emissions do not occupy more US23 In the band 5330.5–5406.4 § 97.303(h), a station may be than 2.8 kHz centered on each of these kHz (60 m band), the assigned automatically controlled while center frequencies. frequencies 5332, 5348, 5358.5, 5373, transmitting a RTTY or data emission on and 5405 kHz are allocated to the any other frequency authorized for such 60 M BAND FREQUENCIES (KHZ) amateur service on a secondary basis. emission types provided that: Amateur service use of the 60 m band (1) The station is responding to Carrier Center interrogation by a station under local or frequencies is restricted to a maximum 5330.5 ...... 5332.0 effective radiated power of 100 W PEP remote control; and (2) No transmission from the 5346.5 ...... 5348.0 and to the following emission types and 5357.0 ...... 5358.5 designators: phone (2K80J3E), data automatically controlled station occupies a bandwidth of more than 500 5371.5 ...... 5373.0 (2K80J2D), RTTY (60H0J2B), and CW 5403.5 ...... 5405.0 Hz. (150HA1A). Amateur operators using ■ 5. Section 97.303 is amended by the data and RTTY emissions must (2) Amateur stations transmitting on revising paragraph (h) to read as exercise care to limit the length of the 60 m band must not cause harmful follows. transmissions so as to avoid causing interference to, and must accept harmful interference to Federal stations. § 97.303 Frequency sharing requirements. interference from, stations authorized * * * * * * * * * * by: (h) 60 m band: (1) In the 5330.5– (i) The United States (NTIA and FCC) PART 97—AMATEUR RADIO SERVICE 5406.4 kHz band (60 m band), amateur and other nations in the fixed service; stations may transmit only on the five and ■ 3. The authority citation for part 97 center frequencies specified in the table continues to read as follows: (ii) Other nations in the mobile except below. In order to meet this aeronautical mobile service. requirement, control operators of Authority: 48 Stat. 1066, 1082, as * * * * * amended: 47 U.S.C. 154, 303. Interpret or stations transmitting phone, data, and apply 48 Stat. 1064–1068, 1081–1105, as RTTY emissions (emission designators ■ 6. Section 97.305 is amended by amended; 47 U.S.C. 151–155, 301–609, 2K80J3E, 2K80J2D, and 60H0J2B, revising the table in paragraph (c) by unless otherwise noted. respectively) may set the carrier inserting the new entry ‘‘60 m’’ between ■ 4. Section 97.221 is amended by frequency 1.5 kHz below the center the ‘‘75 m’’ and ‘‘40 m’’ entries to read revising paragraph (c) to read as follows: frequency as specified in the table as follows. below. For CW emissions (emission § 97.305 Authorized emission types. § 97.221 Automatically controlled digital designator 150HA1A), the carrier station. frequency is set to the center frequency. * * * * * * * * * * Amateur operators shall ensure that (c) * * *

Standards see Wavelength band Frequencies Emission types authorized § 97.307(f), paragraph:

******* HF: 80 m ...... Entire band ...... RTTY, data ...... (3), (9). 75 m ...... Entire band ...... Phone, image ...... (1), (2). 60 m ...... 5.332, 5.348, 5.3585, 5.373 and 5.405 MHz ...... Phone, RTTY, data ...... (14). 40 m ...... 7.000–7.100 MHz ...... RTTY, data ...... (3), (9).

*******

■ 7. Section 97.307 is amended by (f) * * * additional restrictions that are specified adding paragraph (f)(14) to read as (14) In the 60 m band: in the table below (except that the use follows. of a narrower necessary bandwidth is (i) A station may transmit only phone, permitted): § 97.307 Emission standards. RTTY, data, and CW emissions using * * * * * the emission designators and any

60 M BAND EMISSION REQUIREMENTS

Emission type Emission designator Restricted to:

Phone ...... 2K80J3E ...... Upper sideband transmissions (USB). Data ...... 2K80J2D ...... USB (for example, PACTOR–III). RTTY ...... 60H0J2B ...... USB (for example, PSK31). CW ...... 150HA1A ...... Morse telegraphy by means of on-off keying.

(ii) The following requirements also (A) When transmitting the phone, suppressed carrier frequency may be set apply: RTTY, and data emissions, the as specified in § 97.303(h).

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(B) The control operator of a station DEPARTMENT OF COMMERCE subzone is 1,040,625 lb (472,020 kg) (50 transmitting data or RTTY emissions CFR 622.42(c)(1)(i)(A)(1)). must exercise care to limit the length of National Oceanic and Atmospheric In accordance with 50 CFR transmission so as to avoid causing Administration 622.44(a)(2)(i)(B)(2), beginning on harmful interference to United States February 1, if less than 75 percent of the Government stations. 50 CFR Part 622 Florida east coast subzone quota has been harvested by that date, king [Docket No. 001005281–0369–02] ■ 8. Section 97.313 is amended by mackerel in or from that subzone may revising paragraphs (f) and (i) to read as RIN 0648–XA974 be possessed on board or landed from a follows. permitted vessel in amounts not Fisheries of the Caribbean, Gulf of exceeding 75 fish per day. The 75-fish § 97.313 Transmitter power standards. Mexico, and South Atlantic; Coastal daily trip limit will continue until a Migratory Pelagic Resources of the * * * * * closure of the subzone’s fishery has Gulf of Mexico and South Atlantic; Trip been effected or the fishing year ends on (f) No station may transmit with a Limit Increase March 31. transmitter power exceeding 50 W PEP NMFS has determined that 75 percent AGENCY: on the UHF 70 cm band from an area National Marine Fisheries of the quota for Gulf group king specified in paragraph (a) of footnote Service (NMFS), National Oceanic and mackerel in the Florida east coast US270 in § 2.106, unless expressly Atmospheric Administration (NOAA), subzone will not be reached before authorized by the FCC after mutual Commerce. February 1, 2012. Accordingly, a 75-fish agreement, on a case-by-case basis, ACTION: Temporary rule; inseason trip trip limit applies to vessels in this between the District Director of the limit increase. fishery for king mackerel in or from the EEZ in the Florida east coast subzone applicable field facility and the military SUMMARY: NMFS increases the trip limit area frequency coordinator at the effective 12:01 a.m., local time, February in the commercial sector for king 1, 2012. The 75-fish trip limit will applicable military base. An Earth mackerel in the Florida east coast station or telecommand station, remain in effect until the fishery closes subzone to 75 fish per day in or from the or until the end of the current fishing however, may transmit on the 435–438 exclusive economic zone (EEZ). This MHz segment with a maximum of 611 season (March 31, 2012) for this trip limit increase is necessary to subzone. From November 1 through W effective radiated power (1 kW maximize the socioeconomic benefits of March 31, the Florida east coast subzone equivalent isotropically radiated power) the quota. of the Gulf group king mackerel is that without the authorization otherwise DATES: This rule is effective 12:01 a.m., part of the eastern zone north of 25°20.4′ required. The transmitting antenna local time, February 1, 2012, through N. lat. (a line directly east from the elevation angle between the lower half- March 31, 2012, unless changed by Miami-Dade County, FL, boundary). power (¥3 dB relative to the peak or further notification in the Federal antenna bore sight) point and the Register. Classification horizon must always be greater than 10°. This action responds to the best FOR FURTHER INFORMATION CONTACT: available information recently obtained * * * * * Susan Gerhart, telephone: (727) 824– from the fishery. The Assistant 5305, fax: (727) 824–5308, email: (i) No station may transmit with an Administrator for Fisheries, NOAA, [email protected]. effective radiated power (ERP) (AA) finds good cause to waive the exceeding 100 W PEP on the 60 m band. SUPPLEMENTARY INFORMATION: The requirement to provide prior notice and For the purpose of computing ERP, the fishery for coastal migratory pelagic fish opportunity for public comment transmitter PEP will be multiplied by (king mackerel, Spanish mackerel and pursuant to the authority set forth in 5 the antenna gain relative to a half-wave cobia) is managed under the Fishery U.S.C. 553(b)(B), as such prior notice dipole antenna. A half-wave dipole Management Plan for the Coastal and opportunity for public comment is antenna will be presumed to have a gain Migratory Pelagic Resources of the Gulf unnecessary and contrary to the public of 1 (0 dBd). Licensees using other of Mexico and South Atlantic (FMP). interest. Such procedures are antennas must maintain in their station The FMP was prepared by the Gulf of unnecessary because the rule itself records either the antenna Mexico and South Atlantic Fishery already has been subject to notice and manufacturer’s data on the antenna gain Management Councils (Councils) and is comment, and all that remains is to or calculations of the antenna gain. implemented under the authority of the notify the public of the trip limit Magnuson-Stevens Fishery * * * * * increase. Allowing prior notice and [FR Doc. 2012–2477 Filed 2–2–12; 8:45 am] Conservation and Management Act opportunity for public comment for this (Magnuson-Stevens Act) by regulations trip limit increase is contrary to the BILLING CODE 6712–01–P at 50 CFR part 622. public interest because it requires time, Based on the Councils’ recommended thus delaying fishermen’s ability to total allowable catch and the allocation catch more king mackerel than the ratios in the FMP, on April 30, 2001 (66 present trip limit allows and preventing FR 17368, March 30, 2001), NMFS fishermen from reaping the implemented a commercial quota of socioeconomic benefits derived from 2.25 million lb (1.02 million kg) for the this increase in daily catch. eastern zone (Florida) of the Gulf As this action allows fishermen to migratory group of king mackerel. That increase their harvest of king mackerel quota is further divided into separate from 50 fish to 75 fish per day in or quotas for the Florida east coast subzone from the EEZ of the Florida east coast and the northern and southern Florida subzone, the AA finds it relieves a west coast subzones. The quota restriction and may go into effect on its implemented for the Florida east coast effective date pursuant to 5 U.S.C.

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553(d)(1). This action is taken under 50 the Commonwealth of Virginia. By this the evaluation of requests for quota CFR 622.43(a) and is exempt from action, NMFS adjusts the quotas and transfers or combinations. review under Executive Order 12866. announces the revised commercial North Carolina has agreed to transfer Authority: 16 U.S.C. 1801 et seq. quota for each state involved. 155,187 lb (70,392 kg) of its 2011 commercial quota to Virginia. This Dated: January 31, 2012. DATES: Effective December 9, 2011, through December 31, 2011. transfer was prompted by summer Steven Thur, flounder landings of a number of North FOR FURTHER INFORMATION CONTACT: Acting Director, Office of Sustainable Carolina vessels that were granted safe Carly Bari, Fishery Management Fisheries, National Marine Fisheries Service. harbor in Virginia due to hazardous Specialist, (978) 281–9224. [FR Doc. 2012–2474 Filed 1–31–12; 4:15 pm] shoaling in Oregon Inlet, North BILLING CODE 3510–22–P SUPPLEMENTARY INFORMATION: Carolina, between December 9, 2011, Regulations governing the summer and December 13, 2011, thereby flounder fishery are found at 50 CFR requiring a quota transfer to account for DEPARTMENT OF COMMERCE part 648. The regulations require annual an increase in Virginia’s landings that specification of a commercial quota that would have otherwise accrued against National Oceanic and Atmospheric is apportioned among the coastal states the North Carolina quota. The Regional Administration from North Carolina through Maine. The Administrator has determined that the process to set the annual commercial criteria set forth in § 648.100(d)(3) have 50 CFR Part 648 quota and the percent allocated to each been met. The revised summer flounder [Docket No. 101029427–0609–02] state are described in § 648.100. quotas for calendar year 2011 are: North The final rule implementing Carolina, 3,160,384 lb (1,433,526 kg); RIN 0648–XA946 Amendment 5 to the Summer Flounder, and Virginia, 5,296,694 lb (2,402,540 Fisheries of the Northeastern United Scup, and Black Sea Bass Fishery kg). Management Plan, which was published States; Summer Flounder Fishery; Classification Quota Transfer on December 17, 1993 (58 FR 65936), provided a mechanism for summer This action is taken under 50 CFR AGENCY: National Marine Fisheries flounder quota to be transferred from part 648 and is exempt from review Service (NMFS), National Oceanic and one state to another. Two or more states, under Executive Order 12866. Atmospheric Administration (NOAA), under mutual agreement and with the Authority: 16 U.S.C. 1801 et seq. Commerce. concurrence of the Administrator, Dated: January 31, 2012. ACTION: Temporary rule; quota transfer. Northeast Region, NMFS (Regional Administrator), can transfer or combine Steven Thur, SUMMARY: NMFS announces that the summer flounder commercial quota Acting Director, Office of Sustainable State of North Carolina is retroactively under § 648.100(d). The Regional Fisheries, National Marine Fisheries Service. transferring a portion of its 2011 Administrator is required to consider [FR Doc. 2012–2482 Filed 2–2–12; 8:45 am] commercial summer flounder quota to the criteria set forth in § 648.100(d)(3) in BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 77, No. 23

Friday, February 3, 2012

This section of the FEDERAL REGISTER comments on the draft guidance by I. Background contains notices to the public of the proposed April 3, 2012. The NOP selected the topic for the issuance of rules and regulations. The ADDRESSES: purpose of these notices is to give interested Submit written requests for draft guidance announced through this persons an opportunity to participate in the hard copies of this draft guidance notice in response to a recommendation rule making prior to the adoption of the final document to Toni Strother, Agricultural issued by the National Organic rules. Marketing Specialist, National Organic Standards Board (NOSB) in October Program, USDA–AMS–NOP, 1400 2010. On October 28, 2010, the NOSB Independence Ave. SW., Room 2646 finalized a recommendation requesting DEPARTMENT OF AGRICULTURE So., Ag Stop 0268, Washington, DC that the NOP clarify the requirements 20250–0268. See the SUPPLEMENTARY and limitations of 7 CFR 205.101(b) of Agricultural Marketing Service INFORMATION section for electronic the NOP regulations.1 This section of access to the draft guidance documents. the regulations addresses the conditions 7 CFR Part 205 Interested persons may comment on that a handling operation must meet in this draft guidance document using the order to be excluded from the organic [Doc. #AMS–NOP–11–0073; NOP–11–14] following procedures: certification requirements of Part 205. Internet: http://www.regulations.gov. The NOSB recommended that NOP National Organic Program: Notice of Mail: Comments may be submitted by issue guidance to clarify how these Draft Guidance for Accredited mail to: Toni Strother, Agricultural conditions apply to handlers of bulk, Certifying Agents, Certified Marketing Specialist, National Organic unpackaged organic products. The NOP Operations, and Non-Certified Program, USDA–AMS–NOP, 1400 is responding to this recommendation Handlers of Certified Organic Products Independence Ave. SW., Room 2646 by issuing draft guidance to outline the types of handling operations that are or AGENCY: So., Ag Stop 0268, Washington, DC Agricultural Marketing Service, are not excluded from organic USDA. 20250–0268. Written comments responding to this certification. The draft guidance ACTION: Notice of availability with request should be identified with the proposes that brokers, traders or request for comments. document number AMS–NOP–11–0073; distributors of bulk, unpackaged organic NOP–11–14. You should clearly commodities or livestock are not SUMMARY: The National Organic excluded from certification and, Program (NOP) is announcing the indicate your position and the reasons for your position. If you are suggesting therefore, must be certified organic availability of a draft guidance operations. document intended for use by changes to the draft guidance document, accredited certifying agents, certified you should include recommended II. Significance of Guidance language changes, as appropriate, along operations and non-certified handlers of This draft guidance document is being with any relevant supporting certified organic products. The draft issued in accordance with the Office of documentation. guidance document is entitled as Management and Budget (OMB) follows: Handling Bulk, Unpackaged USDA intends to make available all Bulletin on Agency Good Guidance Organic Products (NOP 5031). comments, including names and Practices (GGPs) (January 25, 2007, This draft guidance document is addresses when provided, regardless of 72 FR 3432–3440). intended to inform the public of NOP’s submission procedure used, on The purpose of GGPs is to ensure that current thinking on this topic. The NOP www.regulations.gov and at USDA, program guidance documents are is seeking comments on this draft AMS, NOP, Room 2646–South building, developed with adequate public guidance document. A notice of 1400 Independence Ave. SW., participation, are readily available to the availability of final guidance on this Washington, DC, from 9 a.m. to noon public, and are not applied as binding topic will be issued upon its final and from 1 to 4 p.m., Monday through requirements. The draft guidance, when approval. Once finalized, this guidance Friday (except official Federal holidays). finalized, will represent the NOP’s document will be available from the Persons wanting to visit the USDA current thinking on the topic. It does not NOP through ‘‘The Program Handbook: South building to view comments from create or confer any rights for, or on, any Guidance and Instructions for the public to this notice are requested to person and does not operate to bind the Accredited Certifying Agents (ACAs) make an appointment by calling (202) NOP or the public. Guidance documents and Certified Operations.’’ This 720–3252. are intended to provide a uniform Handbook provides those who own, FOR FURTHER INFORMATION CONTACT: method for operations to comply that manage, or certify organic operations Melissa R. Bailey, Ph.D., Director, can reduce the burden of developing with guidance and instructions that can Standards Division, National Organic their own methods and simplify audits assist them in complying with the NOP Program (NOP), USDA–AMS–NOP, and inspections. Alternative approaches regulations. The current edition of the 1400 Independence Ave. SW., Room that can demonstrate compliance with Program Handbook is available online at 2646–So., Ag Stop 0268, Washington, the Organic Foods Production Act http://www.ams.usda.gov/nop or in DC 20250–0268, Telephone: (202) 720– (OFPA), as amended (7 U.S.C. 6501– print upon request. 3252, Email: DATES: To ensure that NOP considers [email protected], or visit 1 NOSB Recommendation: Clarifying Limitations your comment on this draft guidance the NOP Web site at: of § 205.101(b). Issued on October 28, 2010. www.ams.usda.gov/nop. Accessible on the NOP Web site at: http:// before it begins work on the final www.ams.usda.gov/AMSv1.0/ version of the guidance, submit written SUPPLEMENTARY INFORMATION: getfile?dDocName=STELPRDC5087789&acct=nosb.

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6522), and its implementing regulations derivatives transactions issued for IRR. It now seeks additional information are also acceptable. As with any comment (76 FR 37030, June 24, 2011). to assist in drafting a proposed rule for alternative compliance approach, the This ANPR asks additional questions FCUs to independently engage in NOP strongly encourages industry to regarding the conditions under which derivatives transactions (i.e., without discuss alternative approaches with the NCUA may grant authority for an FCU program oversight by a third-party NOP before implementing them to avoid to engage in derivatives transactions provider). unnecessary or wasteful expenditures of independently. ANPR I requested comment in five resources and to ensure the proposed DATES: Comments must be received on areas. Three areas asked for comments alternative approach complies with the or before April 3, 2012. on NCUA’s current pilot program and Act and its implementing regulations. ADDRESSES: You may submit comments third-party programs in general. Only two areas concentrated on independent Electronic Access by any one of the following methods. (Please send comments by one derivatives authority. As the Board Persons with access to Internet may method only): focuses on developing requirements for obtain the draft guidance at either • Federal eRulemaking Portal: http:// such authority, it seeks additional NOP’s Web site at http:// www.regulations.gov. Follow the information to help ensure that a rule www.ams.usda.gov/nop or http:// instructions for submitting comments. granting independent derivatives www.regulations.gov. Requests for hard • Email: Address to authority is manageable for both copies of the draft guidance documents [email protected]. Include ‘‘[Your participating FCUs and NCUA, while can be obtained by submitting a written name]—Comments on Advance Notice simultaneously protecting the credit request to the person listed in the of Proposed Rulemaking for Part 703, union industry from undue risk. ADDRESSES section of this Notice. Financial Derivatives Transactions To II. Questions for Comment Authority: 7 U.S.C. 6501–6522. Offset Interest Rate Risk’’ in the email Since the inception of the derivatives Dated: January 30, 2012. subject line. • Fax: (703) 518–6319. Use the pilot program, very few FCUs have Robert C. Keeney, subject line described above for email. submitted applications seeking Acting Administrator, Agricultural Marketing • Mail: Address to Mary Rupp, permission to independently engage in Service. Secretary of the Board, National Credit derivatives to offset IRR. In ANPR I, the [FR Doc. 2012–2377 Filed 2–2–12; 8:45 am] Union Administration, 1775 Duke Board sought comment on whether it BILLING CODE 3410–02–P Street, Alexandria, Virginia 22314– should allow FCUs to independently 3428. engage in derivatives activities. Nearly • Hand Delivery/Courier: Same as all commenters who responded to this NATIONAL CREDIT UNION mail address. question supported independent ADMINISTRATION Public Inspection: You can view all derivatives authority for FCUs. As public comments on NCUA’s Web site discussed more fully below, however, 12 CFR Part 703 at http://www.ncua.gov/Legal/Regs/ not all commenters agreed on the conditions under which the NCUA Financial Derivatives Transactions To Pages/PropRegs.aspx as submitted, except for those we cannot post for should grant such authority. Offset Interest Rate Risk; Investment The Board is assessing the parameters and Deposit Activities technical reasons. NCUA will not edit or remove any identifying or contact under which NCUA may authorize AGENCY: National Credit Union information from the public comments FCUs to independently engage in Administration. submitted. You may inspect paper derivatives activities, and invites comment on the issues raised in this ACTION: Advance notice of proposed copies of comments in NCUA’s law rulemaking. library at 1775 Duke Street, Alexandria, ANPR. To facilitate consideration of the Virginia 22314, by appointment public’s views, please address your SUMMARY: Through this Advance Notice weekdays between 9 a.m. and 3 p.m. To comments to the specific questions, and of Proposed Rulemaking (‘‘ANPR’’), the make an appointment, call (703) 518– organize and identify them by NCUA Board (Board) requests 6546 or send an email to corresponding question number so that additional public comments to identify [email protected]. each question is addressed separately. the conditions for federal credit unions To maximize the value of public input FOR FURTHER INFORMATION CONTACT: (FCUs) to engage in certain derivatives on each issue, it is also important that transactions for the purpose of offsetting Jeremy Taylor, Senior Capital Markets commenters provide and explain the interest rate risk (IRR).1 This ANPR Specialist, at (703) 518–6628; or Lance reasons that support each of their follows an earlier Advance Notice of Noggle, Staff Attorney, Office of General opinions. There will be a further Proposed Rulemaking (ANPR I) on Counsel, at (703) 518–6555. You may opportunity to comment on these issues also contact them at the National Credit should the Board issue a proposed rule. 1 Interest rate risk refers to the vulnerability of a Union Administration, 1775 Duke credit union’s financial condition to adverse Street, Alexandria, Virginia 22314. Eligibility of Applicant FCUs for movements in market interest rates. For example, SUPPLEMENTARY INFORMATION: Independent Derivatives Authority changes to a credit union’s funding costs generally are considered part of the inherent interest rate risk I. Background The Board is considering eligibility associated with a fixed-rate mortgage loan. A II. Questions for Comment requirements for FCUs seeking authority borrower with a fixed-rate mortgage loan is to independently enter into derivatives unaffected by increases in market interest rates I. Background transactions. ANPR I asked several because his payment is based on a ‘‘fixed’’ rate. The credit union that originated the mortgage loan, In June 2011, the Board issued ANPR eligibility questions, including what however, is subject to losses in the market value of I (76 FR 37030, June 24, 2011) criteria NCUA should consider in these mortgages from the increases in market requesting public comment on whether granting or denying a request for interest rates. Furthermore, as market interest rates and how to modify its rule on independent derivatives authority. As rise, there is a concomitant increase in the credit union’s funding costs, or the interest rate the credit investment and deposit activities to noted above, nearly all commenters who union pays on the money it uses to ‘‘fund’’ the permit FCUs to enter derivatives addressed the issue of independent mortgage loan. transactions for the purpose of offsetting derivatives authority supported it. Yet

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not all of these commenters agreed on credit unions have an interest rate Question 1: Should the Board require an the conditions under which NCUA sensitivity exposure to rising rates, so FCU to demonstrate a material IRR exposure should grant such authority. the downward direction of market rates or another evident risk management need Three commenters supported during the past five years may largely before it is granted independent derivatives allowing FCUs to independently engage authority? account for FCUs’ moderated interest in Question 2: Is it appropriate to require in derivatives activity without further derivatives. With NCUA and FCUs minimum performance levels, as measured, comment. Ten commenters stated that themselves increasingly concerned for example, by CAMEL ratings and net NCUA should consider allowing FCUs about the impact of future rising interest worth classifications, when considering to independently engage in derivatives rates on credit unions’ balance sheets, whether to grant or deny an FCU’s activity, subject to ability to manage especially those with heavy application to independently engage in derivatives, expertise, and adequate concentrations of long-term, fixed-rate derivatives transactions? If so, what controls, and so long as the activity is assets, the Board expects that more performance measures are appropriate and shown to offset IRR. Three commenters FCUs may wish to pursue derivatives as what should those levels be? Question 3: What is the minimum kind and supported allowing independent a way to manage IRR. Yet, given the derivatives authority for FCUs, but only amount of derivatives experience and complexity of even the most expertise that an FCU’s staff should after they have participated in a third- straightforward derivatives instruments, demonstrate before the FCU receives party program. Two commenters the Board believes that an FCU should independent derivatives authority? For supported independent derivatives independently engage in derivatives example, if an FCU has a less complex approval only if it is limited and transactions only if FCU management balance sheet, is it sufficient for that FCU’s qualified by high standards, although and staff can demonstrate adequate staff to demonstrate a minimum of three these commenters did not define ‘‘high derivatives experience. This position is years transacting derivatives? Should NCUA standards.’’ Nine commenters consistent with the majority of require additional kinds and amounts of discouraged the use of numerical experience when there is more complexity in commenters that responded to the the FCU’s balance sheet (e.g., prepayments criteria, such as asset size. Five independent derivatives authority commenters suggested that NCUA and call options)? To what extent should an questions in ANPR I. FCU seeking independent derivatives should consider experience, correlation authority be allowed to rely on an outside testing, and modeling expertise. Ten The Board believes that what constitutes ‘‘adequate derivatives party to fulfill an experience and expertise commenters stated that FCUs applying requirement? to engage independently should comply experience’’ will vary depending on the nature and complexity of an FCU’s with the current third-party pilot Safety and Soundness Requirements program standards. balance sheet. As noted in ANPR I, the The Board is considering eligibility Board is considering whether to limit The Board believes that, when requirements based on at least three the types of derivatives instruments that transacted properly, derivatives can be factors, including need, financial some FCUs may transact. If an FCU is an effective tool for FCUs to use in IRR condition, and ability to manage limited to relatively simple, ‘‘plain mitigation. The Board further believes derivatives. First, an FCU would need to vanilla’’ derivatives instruments such as that transacting derivatives for other demonstrate relevant IRR exposure. One interest rate swaps 2 and interest rate purposes, such as speculation, could of the motivations behind the Board’s caps,3 the Board believes that the FCU’s present unforeseen risks. Accordingly, consideration of expanded derivatives staff should demonstrate at least three the Board considers it appropriate to authority is to reduce potentially years of effective experience with limit the types of derivatives that an excessive IRR. The Board, therefore, derivatives, including the ability to FCU may transact to interest rate believes that demonstrating a material evaluate key risk factors. A derivatives instruments that serve to exposure to IRR, and how an FCU can commensurate level of additional mitigate IRR, namely interest rate swaps mitigate it through derivatives activity, experience likely would be required for and interest rate caps. is an appropriate requirement. Second, FCUs whose assets or liabilities exhibit Most credit unions with material IRR an FCU would be required to more complex IRR characteristics. exposures use short-term liabilities to demonstrate a requisite level of If an FCU is seeking independent fund long-term fixed assets. FCUs can financial performance, measured in part derivatives authority, the Board believes mitigate this type of IRR exposure by by its CAMEL rating and net worth it is inappropriate for the FCU to rely using interest rate swaps and interest classification. Third, an FCU would exclusively on the derivatives rate caps. Interest rate swaps, need to demonstrate an ability to experience of an outside party. Instead, particularly ‘‘pay-fixed/receive-floating’’ effectively manage derivatives, the FCU would be required to swaps in which one party pays a fixed including minimum experience demonstrate sufficient internal rate of interest and receives a floating requirements for FCU staff involved in knowledge of derivatives, perhaps in an rate, can offset IRR resulting from cash the analysis and ongoing risk onsite review prior to the FCU receiving flows received on fixed, long-term assets management of a derivatives book. The independent derivatives authority. such as fixed-rate mortgage loans. Board considers the second and third Interest rate caps can offset IRR requirements to be appropriate given the resulting from cash flows paid on 2 An interest rate swap is a derivatives instrument complexity of, and inherent risks in, that allows one party to exchange (or swap) its set liabilities that are either short term or derivatives transactions. of interest payments (for example, fixed-rate associated with nonmaturity shares on The Board recognizes that FCUs interest payments) for another party’s set of interest which interest rates may vary by generally have limited experience with payments (for example, floating-rate interest limiting the risk exposure to the capped payments). An interest rate swap effectively derivatives. Only eight FCUs converts a fixed rate on a loan to a floating one, or rate. Other derivatives instruments, participated in existing derivatives pilot vice versa. such as credit derivatives (e.g., credit programs as of June 2011. Of these, six 3 An interest rate cap is a derivatives instrument default swaps), provide limited IRR FCUs participated in third-party that limits floating interest rate exposure to a mitigation value and potentially could specified maximum level for a specified period of programs and only two FCUs were time. It essentially is an insurance policy purchased be used for speculation. For these authorized to independently engage in by a party to protect itself against rising interest reasons, the Board believes that only derivatives transactions. Generally, most rates. interest rate derivatives instruments are

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appropriate for FCUs to use in managing derivatives transaction (e.g., margin Sikorsky Aircraft Corporation (Sikorsky) IRR. requirements, daily valuations of Model S–61A, D, E, L, N, NM, R, and Question 4: Should FCUs be limited to collateral, and performance of third V helicopters to require replacing each using interest rate swaps and interest rate parties). forward and aft fuel system 40 micron caps to offset and manage IRR? Should Consistent with the need to carefully fuel filter element with a 10 micron fuel interest rate swaps be limited to pay-fixed/ monitor credit features, the Board filter element. This proposed AD is receive-floating instruments? What other believes that counterparty risk can be prompted by a National Transportation limits should be established to ensure that an substantially mitigated through effective Safety Board (NTSB) review of in- FCU does not transact interest rate collateral management. In derivatives service events where engine derivatives in an amount greater than the transactions, parties may be required to level of its IRR exposure? performance degradation occurred and post collateral to secure their obligations the review determined that some of There are numerous risks inherent in under the derivatives contract. Posting these events were caused by any derivatives activity, including collateral protects either party in a contaminants larger than 10 microns market risk and counterparty risk. The derivatives transaction from the risk of present in the engine fuel control units constant fluctuation of the mark-to- loss, which may occur for a number of (FCUs). The proposed actions are market value of a derivatives position reasons including counterparty default. intended to prevent particulate represents the most significant market The Board, therefore, believes it is contamination in the FCU, which could risk. Mark-to-market valuation requires appropriate for an FCU to include the lead to malfunction of an internal the value of a derivatives instrument to following collateral management valve(s), power loss at a critical phase be set at discrete points in time as standards in the related derivatives of flight, and loss of control of the prescribed by generally accepting contract: helicopter. accounting principles. This valuation • Bilateral collateral, in which both DATES: represents the then-current market sales parties to a derivatives contract agree to We must receive comments on price for that instrument, which reflects post collateral to cover mark-to-market this proposed AD by April 3, 2012. any unrealized gain or loss for the FCU gains and losses. ADDRESSES: You may send comments by in the derivatives transaction. • Tri-party custody, in which posted any of the following methods: The Board is considering whether to collateral is delivered to a third party • Federal eRulemaking Docket: Go to establish exposure limits as a way to acting as custodian. http://www.regulations.gov. Follow the guard against such volatility in the • Zero thresholds, in which parties online instructions for sending your value of a derivatives portfolio. For are required to post collateral at any comments electronically. example, if an FCU experiences mark- level of loss over a minimum amount • Fax: (202) 493–2251. to-market losses in excess of a specified specified in the derivatives contract. • Mail: Send comments to the U.S. threshold, NCUA could limit the FCU’s • Restricting the type of assets used Department of Transportation, Docket authority to transact derivatives. These as posted collateral to instruments Operations, M–30, West Building limits may be based on the notional permitted for investment by an FCU. Ground Floor, Room W12–140, 1200 amount of a derivatives instrument or Question 6: Are there ways to mitigate New Jersey Avenue SE., Washington, on its mark-to-market valuation. The counterparty risk besides posting collateral? DC 20590–0001. Board notes that the third-party pilot Are there additional or alternate • Hand Delivery: Deliver to the program includes exposure limits that collateralization conditions that NCUA ‘‘Mail’’ address between 9 a.m. and 5 are based on the notional amount of the should require beyond those described in p.m., Monday through Friday, except derivatives portfolio, expressed as a this ANPR? Federal holidays. percentage of the credit union’s net By the National Credit Union worth. Some commenters to ANPR I, Administration Board on January 26, 2012. Examining the AD Docket however, have suggested that exposure Mary F. Rupp, You may examine the AD docket on limits should be based on mark-to- Secretary of the Board. the Internet at http:// market valuation. [FR Doc. 2012–2092 Filed 2–2–12; 8:45 am] www.regulations.gov or in person at the Question 5: Should NCUA establish BILLING CODE P Docket Operations Office between exposure limits for FCUs or should it require 9 a.m. and 5 p.m., Monday through an FCU’s board of directors to establish Friday, except Federal holidays. The AD exposure limits? Should there be limits on the aggregate amount of each type of DEPARTMENT OF TRANSPORTATION docket contains this proposed AD, the derivatives instrument in the portfolio or on economic evaluation, any comments the aggregate amount of derivatives Federal Aviation Administration received, and other information. The transacted with any counterparty? Should street address for the Docket Operations limits be based on the notional amount of a 14 CFR Part 39 Office (telephone (800) 647–5527) is in derivatives instrument, its mark-to-market the ADDRESSES section. Comments will valuation, or both? [Docket No. FAA–2012–0085; Directorate Identifier 2011–SW–004–AD] be available in the AD docket shortly Another significant risk in derivatives after receipt. activity is counterparty risk, also known RIN 2120–AA64 For service information identified in as ‘‘default risk’’ or ‘‘credit risk.’’ this proposed AD, contact Sikorsky Airworthiness Directives; Sikorsky Counterparty risk is the risk that losses Aircraft Corporation, Attn: Manager, Aircraft Corporation Helicopters will occur due to a counterparty’s Commercial Technical Support, failure to fulfill its obligations under the AGENCY: Federal Aviation mailstop s581a, 6900 Main St., derivatives contract. The Board believes Administration (FAA), DOT. Stratford, CT; telephone (203) 383–4866; that, to manage counterparty risk, an ACTION: Notice of proposed rulemaking email [email protected], or at FCU should, on an ongoing basis, (NPRM). http://www.sikorsky.com. You may monitor counterparties and their review copies of the referenced service creditworthiness, as well as the credit SUMMARY: We propose to adopt a new information at the FAA, Office of the risk mitigation features inherent in the airworthiness directive (AD) for Regional Counsel, Southwest Region,

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2601 Meacham Blvd., Room 663, Fort accident involving a Sikorsky S–61 with the instructions within 150 hours Worth, Texas 76137. model helicopter. During disassembly TIS from the effective date of the FOR FURTHER INFORMATION CONTACT: Kirk and examination of the FCUs in the proposed AD. accident helicopter, the NTSB found Gustafson, Aerospace Engineer, Boston Costs of Compliance Aircraft Certification Office, Engine and trace levels of contamination in each Propeller Directorate, FAA, 12 New FCU, indicating the filters in the fuel We estimate that this proposed AD England Executive Park, Burlington, MA supply system did not completely filter would affect 78 helicopters of U.S. 01803; telephone (781) 238–7190; email contaminants from the fuel. The NTSB Registry. We estimate that operators [email protected]. stated that no evidence exists that may incur the following costs in order to comply with this AD. It would take SUPPLEMENTARY INFORMATION: contamination contributed to the accident, but concluded that using fuel approximately 4 work-hours to replace Comments Invited system 10 micron fuel filters could the fuel system fuel filters and re- We invite you to participate in this reduce the risk of engine performance identify the fuel tank fuel filter and fuel rulemaking by submitting written degradation occurring due to fuel control assembly bracket. The average comments, data, or views. We also contamination. This condition of labor rate is $85 per work-hour and invite comments relating to the particulate contamination in the FCU, if required parts will cost about $370 per economic, environmental, energy, or not corrected, could lead to malfunction helicopter. Based on these figures, we federalism impacts that might result of an internal valve, power loss at a estimate the cost of the proposed AD on from adopting the proposals in this critical phase of flight, and loss of U.S. operators would be $710 per document. The most helpful comments control of the helicopter. helicopter and the total cost of this AD on U.S. operators would be $55,380. reference a specific portion of the FAA’s Determination proposal, explain the reason for any We are proposing this AD because we Authority for This Rulemaking recommended change, and include evaluated all known relevant supporting data. To ensure the docket Title 49 of the United States Code information and determined that an does not contain duplicate comments, specifies the FAA’s authority to issue unsafe condition exists and is likely to commenters should send only one copy rules on aviation safety. Subtitle I, exist or develop on other products of of written comments, or if comments are section 106, describes the authority of these same type designs. filed electronically, commenters should the FAA Administrator. ‘‘Subtitle VII: submit only one time. Related Service Information Aviation Programs,’’ describes in more detail the scope of the Agency’s We will file in the docket all We reviewed Sikorsky Alert Service comments that we receive, as well as a authority. Bulletin (ASB) No. 61B30–16, dated We are issuing this rulemaking under report summarizing each substantive February 2, 2010 (ASB No. 61B30–16), public contact with FAA personnel the authority described in ‘‘Subtitle VII, which supersedes ASB No. 61B28–1, Part A, Subpart III, Section 44701: concerning this proposed rulemaking. dated January 15, 2010 (ASB No. Before acting on this proposal, we will General requirements.’’ Under that 61B28–1). ASB No. 61B28–1 specified section, Congress charges the FAA with consider all comments we receive on or replacing the forward and aft fuel before the closing date for comments. promoting safe flight of civil aircraft in system 40 micron fuel filter elements air commerce by prescribing regulations We will consider comments filed after with 10 micron fuel filter elements at the comment period has closed if it is for practices, methods, and procedures the next scheduled inspection or within the Administrator finds necessary for possible to do so without incurring 150 flight hours from the issuance of the expense or delay. We may change this safety in air commerce. This regulation ASB. ASB 61B30–16 retains the same is within the scope of that authority proposal in light of the comments we instructions as ASB 61B28–1, but receive. because it addresses an unsafe condition deletes the compliance time ‘‘at the next that is likely to exist or develop on Discussion scheduled preventative maintenance products identified in this rulemaking inspection.’’ Also, ASB No. 61B30–16 action. We propose to adopt a new AD for the was issued because ASB No. 61B28–1 Sikorsky Model S–61A, D, E, L, N, NM, was incorrectly numbered. Regulatory Findings R, and V helicopters with a fuel system 40 micron fuel filter element, part Proposed AD Requirements We determined that this proposed AD number (P/N) 52–0505–2 or 52–01064– This proposed AD would require, would not have federalism implications 1. This proposed AD would require within 150 hours time-in-service (TIS), under Executive Order 13132. This replacing each forward and aft fuel replacing each forward and aft fuel proposed AD would not have a system 40 micron fuel filter element system 40 micron fuel filter element substantial direct effect on the States, on with a 10 micron fuel filter element. with a 10 micron fuel filter element. the relationship between the national This proposed AD was prompted by an Thereafter, operators would only be Government and the States, or on the NTSB review of in-service events permitted to install a fuel system 10 distribution of power and involving Sikorsky S–61 model micron fuel filter element when responsibilities among the various helicopters where engine performance replacing the forward or aft fuel system levels of government. degradation occurred. The review fuel filter element. This proposed AD For the reasons discussed, I certify determined that contaminants larger would also require re-identifying the this proposed regulation: than 10 microns entering the engine fuel filter and the fuel control assembly. 1. Is not a ‘‘significant regulatory FCU can migrate to the internal servo action’’ under Executive Order 12866; valves and the pressuring regulating Differences Between This Proposed AD 2. Is not a ‘‘significant rule’’ under the valve, causing them to malfunction. and the Service Information DOT Regulatory Policies and Procedures Malfunction of these valves can result in ASB 61B30–16 specifies complying (44 FR 11034, February 26, 1979); abnormal engine operation and loss of with the instructions within 150 flight 3. Will not affect intrastate aviation in power. The NTSB conducted this hours from the issuance of the ASB, but Alaska to the extent that it justifies review as a part of its investigation of an this proposed AD requires complying making a regulatory distinction; and

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4. Will not have a significant (A) On the fuel filter identification plate, DEPARTMENT OF TRANSPORTATION economic impact, positive or negative, cross out the last two digits (‘‘09’’) of the on a substantial number of small entities existing fuel filter P/N 52–2145–009, and Federal Aviation Administration under the criteria of the Regulatory replace those last two digits with ‘‘14’’ to re- Flexibility Act. identify the fuel filter as P/N 52–2145–014. 14 CFR Part 39 (B) Change the existing fuel control We prepared an economic evaluation [Docket No. FAA–2012–0083; Directorate assembly part number on the fuel control of the estimated costs to comply with Identifier 2010–SW–022–AD] this proposed AD and placed it in the assembly bracket to re-identify it as follows: AD docket. (1) Change fuel control assembly P/N RIN 2120–AA64 S6130–63209–001 to P/N S6130–63209–041. List of Subjects in 14 CFR Part 39 (2) Change fuel control assembly P/N Airworthiness Directives; Aeronautical Accessories Inc. High Landing Gear Air transportation, Aircraft, Aviation S6130–63209–002 to P/N S6130–63209–042. Aft Crosstube Assembly safety, Incorporation by reference, (3) Change fuel control assembly P/N S6130–63209–003 to P/N S6130–63209–043. Safety. AGENCY: Federal Aviation (4) Change fuel control assembly P/N Administration (FAA), DOT. The Proposed Amendment S6130–63209–004 to P/N S6130–63209–044. ACTION: Notice of proposed rulemaking Accordingly, under the authority (e) Alternative Methods of Compliance (NPRM). delegated to me by the Administrator, (AMOC) the FAA proposes to amend 14 CFR part SUMMARY: (1) The Manager, Boston Aircraft We propose to adopt a new 39 as follows: Certification Office, FAA, may approve airworthiness directive (AD) for the AMOCs for this AD. Send your proposal to: Aeronautical Accessories Inc. (AAI) PART 39—AIRWORTHINESS High Landing Gear Aft Crosstube DIRECTIVES Kirk Gustafson, Aerospace Engineer, Boston Aircraft Certification Office, Engine and Assembly (aft crosstube) installed on 1. The authority citation for part 39 Propeller Directorate, FAA,12 New England certain Bell Helicopter Textron, Inc. continues to read as follows: Executive Park, Burlington, MA 01803; (Bell) and Agusta S.p.A. (Agusta) model helicopters as an approved Bell part Authority: 49 U.S.C. 106(g), 40113, 44701. telephone (781) 238–7190; email [email protected]. installed during production or based on § 39.13 [Amended] (2) For operations conducted under a Part a Supplemental Type Certificate (STC). 2. The FAA amends § 39.13 by adding 119 operating certificate or under Part 91, This proposed AD is prompted by three the following new Airworthiness Subpart K, we suggest that you notify your reports of failed crosstubes because of Directive (AD): principal inspector, or lacking a principal cracks. The proposed actions are inspector, the manager of the local flight intended to prevent failure of a Sikorsky Aircraft Corporation: Docket No. standards district office or certificate holding crosstube, collapse of the landing gear, FAA–2012–0085; Directorate Identifier and subsequent loss of control of the 2011–SW–004–AD. district office before operating any aircraft complying with this AD through an AMOC. helicopter. (a) Applicability (f) Additional Information DATES: We must receive comments on This AD applies to Sikorsky Aircraft this proposed AD by April 3, 2012. Corporation (Sikorsky) Model S–61A, D, E, L, Sikorsky Aircraft Corporation Alert Service N, NM, R, and V helicopters with a fuel Bulletin No. 61B30–16, dated February 2, ADDRESSES: You may send comments by system 40 micron fuel filter element, part 1010, which is not incorporated by reference, any of the following methods: • number (P/N) 52–0505–2 or 52–01064–1, contains additional information about the Federal eRulemaking Docket: Go to certificated in any category. subject of this AD. For this service http://www.regulations.gov. Follow the online instructions for sending your (b) Unsafe Condition information, contact Sikorsky Aircraft Corporation, Attn: Manager, Commercial comments electronically. This AD defines the unsafe condition as • Technical Support, mailstop s581a, 6900 Fax: (202) 493–2251. contaminants present in the engine fuel • Main St., Stratford, CT; telephone (203) 383– Mail: Send comments to the U.S. control units (FCUs). This AD was prompted Department of Transportation, Docket by a National Transportation Safety Board 4866; email [email protected], or at review of in-service events where engine http://www.sikorsky.com. You may review Operations, M–30, West Building performance degradation occurred. This copies of this information at the FAA, Office Ground Floor, Room W12–140, 1200 condition could result in particulate of the Regional Counsel, Southwest Region, New Jersey Avenue SE., Washington, contamination in the FCU, which could lead 2601 Meacham Blvd., Room 663, Fort Worth, DC 20590–0001. to malfunction of an internal valve, power Texas 76137. • Hand Delivery: Deliver to the loss at a critical phase of flight, and loss of ‘‘Mail’’ address between 9 a.m. and control of the helicopter. (g) Subject 5 p.m., Monday through Friday, except (c) Compliance Joint Aircraft Service Component (JASC) Federal holidays. Code: 2800, Fuel system. You are responsible for performing each Examining the AD Docket action required by this AD within the Issued in Fort Worth, Texas, on January 23, specified compliance time unless it has 2012. You may examine the AD docket on already been accomplished prior to that time. the Internet at http:// Kim Smith, www.regulations.gov or in person at the (d) Required Actions Manager, Rotorcraft Directorate, Aircraft Docket Operations Office between (1) Within 150 hours time-in-service, do Certification Service. 9 a.m. and 5 p.m., Monday through the following: [FR Doc. 2012–2421 Filed 2–2–12; 8:45 am] Friday, except Federal holidays. The AD (i) Replace each forward and aft fuel BILLING CODE 4910–13–P docket contains this proposed AD, the system 40 micron fuel filter element with a 10 micron fuel filter element, P/N AM52– economic evaluation, any comments 01064–1. received, and other information. The (ii) Re-identify the fuel filter, P/N 52– street address for the Docket Operations 2145–009, and fuel control assembly bracket Office (telephone (800) 647–5527) is in as follows: the ADDRESSES section. Comments will

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be available in the AD docket shortly dimensional, and fluorescent penetrant 20,000 or more takeoffs and landings, after receipt. inspections of each aft crosstube. If replacing it with an airworthy aft For service information identified in there is a crack, the AD would require, crosstube. this proposed AD, contact Aeronautical before further flight, replacing any • At specified intervals, preparing the Accessories, Inc., P.O. Box 3689, Bristol, cracked aft crosstube with an airworthy aft crosstube inspection areas and Tennessee 37625–3689, telephone (423) aft crosstube. This proposal would also inspecting each aft crosstube for a crack. 538–5151 or 1–800–251–7094, fax (423) require establishing a life limit for one If there are no cracks, thereafter at 538–8469 or at http://www.aero- of the affected part-numbered aft specified intervals, priming and access.com. You may also get service crosstubes (as the later part-numbered cleaning the inspection area, and information from Bell Helicopter aft crosstube already has limits inspecting each aft crosstube for a crack. Textron, Inc., P.O. Box 482, Fort Worth, established) and creating a component If there is a crack, before further flight, TX 76101, telephone (817) 280–3391, history card or equivalent record for aft replacing the cracked aft crosstube with fax (817) 280–6466, or at http:// crosstube part number (P/N) 412–321– an airworthy aft crosstube. www.bellcustomer.com/files. You may 304. This proposal is prompted by three • At specified intervals, determining review copies of the referenced service reports of failed aft crosstubes. This the horizontal deflection of each aft information at the FAA, Office of the condition, if not corrected, could result crosstube from the centerline of the Regional Counsel, Southwest Region, in collapse of the landing gear, and helicopter (BL 0.0) to the outside of the 2601 Meacham Blvd., Room 663, Fort subsequent loss of control of the skid tubes. If the measured horizontal Worth, TX 76137. helicopter. deflection exceeds aft crosstube limits, replacing the aft crosstube with an FOR FURTHER INFORMATION CONTACT: FAA’s Determination Martin R. Crane, Aviation Safety airworthy aft crosstube. • Engineer, Rotorcraft Directorate, We are proposing this AD because we At specified intervals, removing the Rotorcraft Certification Office, 2601 evaluated all known relevant aft crosstube assembly, removing paint Meacham Blvd., Fort Worth, TX 76137, information and determined that an and sealant, and fluorescent penetrant telephone (817) 222–5170, email unsafe condition exists and is likely to inspecting each aft crosstube for a crack. [email protected]. exist or develop on other products of the If there are no cracks, priming and same type design. painting the inspection area. If there is SUPPLEMENTARY INFORMATION: a crack, before further flight, replacing Related Service Information Comments Invited each cracked aft crosstube with an We have reviewed AAI Alert Service airworthy aft crosstube. We invite you to participate in this Bulletin No. AA–07109, dated April 3, This proposed AD would revise the rulemaking by submitting written 2008 (ASB), which specifies recurring Airworthiness Limitations section of the comments, data, or views. We also inspections and maintenance of each aft applicable maintenance manuals or the invite comments relating to the crosstube, P/N 412–321–104, installed Instructions for Continued economic, environmental, energy, or as an approved part by Bell during Airworthiness (ICA) by establishing a federalism impacts that might result production, and P/N 412–321–304, new retirement life of 20,000 takeoffs from adopting the proposals in this installed under STC SR01052AT, on and landings for aft crosstube P/N 412– document. The most helpful comments Bell Model 412, 412EP, and 412CF and 321–304 by making pen and ink changes reference a specific portion of the Agusta Model AB412 and AB412EP or inserting a copy of the AD into the proposal, explain the reason for any helicopters. The ASB specifies maintenance manual or the ICAs. recommended change, and include establishing a high aft crosstube, P/N supporting data. To ensure the docket 412 321–304, ‘‘takeoff/landing’’ life Costs of Compliance does not contain duplicate comments, limit of 20,000. Also, the ASB specifies We estimate that this proposed AD commenters should send only one copy that operators should follow helicopter would affect 115 helicopters of U.S. of written comments, or if comments are towing instructions to prevent crosstube Registry. filed electronically, commenters should damage or failure as a result of ground We also estimate that the proposed submit only one time. handling or towing. actions would take about: We will file in the docket all We have also reviewed Bell ASB 412– • 1 hour to create a component comments that we receive, as well as a 08–129, dated May 12, 2008, for Bell history card or equivalent record and report summarizing each substantive Model 412 and 412EP helicopters, serial determine and record the number of public contact with FAA personnel numbers 33001 through 33213, 36001 accumulated takeoffs and landings for concerning this proposed rulemaking. and subsequent, with an aft crosstube P/ each affected aft crosstube; Before acting on this proposal, we will N 412–321–104 installed. Bell issued its • 3 hours to prepare the area for a consider all comments we receive on or ASB ‘‘to achieve complete distribution visual inspection; before the closing date for comments. of AA–07109 vendor bulletin to the • 1⁄2 hour to do the repetitive visual We will consider comments filed after current affected model distribution list.’’ inspections, assuming 14 repetitive the comment period has closed if it is visual inspections per year; possible to do so without incurring Proposed AD Requirements • 1 hour to do a dimensional expense or delay. We may change this This proposed AD would require: inspection of the skid gear, assuming 3 proposal in light of the comments we • Within 50 hours time-in-service inspections per year; receive. (TIS), establishing a life limit of 20,000 • 24 hours to prepare and fluorescent takeoffs and landings for aft crosstube penetrant inspect the aft crosstube, Discussion P/N 412 321 304; creating a component assuming 2 inspections per year; and This document proposes adopting a history card or equivalent record; and • 10 hours to replace an aft crosstube, new AD for AAI aft crosstubes installed determining and recording the total if necessary, assuming 3 aft crosstubes during production or based on STC number of takeoffs and landings for would be replaced. SR01502AT on certain Bell and Agusta each aft crosstube. The average labor rate is $85 per work model helicopters. This proposal would • Within the next 450 takeoffs and hour. Required parts would cost about require certain recurring visual, landings, if an aft crosstube has reached $9,315 per aft crosstube. Based on these

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figures, we estimate the total cost PART 39—AIRWORTHINESS prime and paint the inspection area by impact of the proposed AD on U.S. DIRECTIVES following the Accomplishment Instructions, operators to be $636,545. Part B, paragraphs 6 and 7, of the ASB. 1. The authority citation for part 39 (4) Thereafter, at intervals not to exceed Authority for This Rulemaking continues to read as follows: 450 takeoffs and landings, clean the inspection area. Using a 10X or higher Title 49 of the United States Code Authority: 49 U.S.C. 106(g), 40113, 44701. specifies the FAA’s authority to issue magnifying glass, inspect the clear-coated rules on aviation safety. Subtitle I, § 39.13 [Amended] area of the aft crosstube for a crack. 2. The FAA amends § 39.13 by adding (5) If there is a crack, before further flight, section 106, describes the authority of replace the cracked aft crosstube with an the FAA Administrator. ‘‘Subtitle VII: the following new AD: airworthy aft crosstube. Aviation Programs,’’ describes in more Aeronautical Accessories, Inc.: Docket No. (6) Within 30 days or before reaching 2,500 detail the scope of the Agency’s FAA–2012–0083; Directorate Identifier takeoffs and landings, whichever occurs authority. 2010–SW–022–AD. later, and thereafter at intervals not to exceed We are issuing this rulemaking under 2,500 takeoffs and landings or 12 months, (a) Applicability the authority described in ‘‘Subtitle VII, whichever occurs first, determine the Part A, Subpart III, Section 44701: This AD applies to High Landing Gear Aft horizontal deflection of each aft crosstube General requirements.’’ Under that Crosstube Assembly (aft crosstube) part from the centerline of the helicopter (BL 0.0) section, Congress charges the FAA with number (P/N) 412–321–104 and P/N 412– to the outside of the skid tubes by following 321–304, installed on Agusta S.p.A. Model the Accomplishment Instructions, Part D, promoting safe flight of civil aircraft in AB412 and AB412EP and Bell Helicopter air commerce by prescribing regulations paragraphs 1 through 3, of the ASB. If the Textron, Inc., Model 412, 412CF, and 412EP measured aft crosstube horizontal deflection for practices, methods, and procedures helicopters, certificated in any category. depicted in Figure 2 of the ASB is less than the Administrator finds necessary for (b) Unsafe Condition 57 inches (1448 mm) or greater than 59 safety in air commerce. This regulation inches (1499 mm), replace the aft crosstube is within the scope of that authority This AD defines the unsafe condition as a with an airworthy aft crosstube. because it addresses an unsafe condition cracked aft crosstube which could result in (7) Within 3 months or on or before that is likely to exist or develop on collapse of the landing gear, and subsequent reaching 7,500 takeoffs and landings, products identified in this rulemaking loss of control of the helicopter. whichever occurs later, and thereafter at action. (c) Compliance intervals not to exceed 5,000 takeoffs and landings: You are responsible for performing each Regulatory Findings (i) Remove the aft crosstube assembly by action required by this AD within the removing the aft crosstube support beam We determined that this proposed AD specified compliance time unless it has assembly, P/N 604–030–001, and both aft would not have federalism implications already been accomplished prior to that time. under Executive Order 13132. This crosstube clamp assemblies, P/N 604–027– proposed AD would not have a (d) Required Actions 002. (ii) Remove paint and sealant from the aft substantial direct effect on the States, on (1) Within 50 hours time-in-service (TIS) establish a life limit of 20,000 takeoffs and crosstube outboard of the upper center the relationship between the national support to top of saddles, both sides, as Government and the States, or on the landings for each aft crosstube P/N 412–321– 304. For the purposes of this AD, a takeoff depicted in Figure 3 of the ASB. distribution of power and and landing is defined as the cycle from (iii) Fluorescent penetrant inspect each aft responsibilities among the various when the helicopter gets light on the skids crosstube outboard of the upper center levels of government. (takeoff) unloading the aft crosstube and then support as depicted in Figure 3 of the ASB For the reasons discussed, I certify settles on the skids again (landing) reloading for a crack. this proposed regulation: the aft crosstubes. Either the number of (iv) If there is a crack, before further flight, 1. Is not a ‘‘significant regulatory landings or takeoffs may be counted. replace the cracked aft crosstube with an action’’ under Executive Order 12866; (i) Create a component history card or airworthy aft crosstube. 2. Is not a ‘‘significant rule’’ under the equivalent record. (8) Revise the helicopter Airworthiness DOT Regulatory Policies and Procedures (ii) Determine and record on the history Limitations section of the applicable (44 FR 11034, February 26, 1979); card or equivalent record the total number of maintenance manuals or the Instructions for 3. Will not affect intrastate aviation in takeoffs and landings for each aft crosstube. Continued Airworthiness (ICA) by Alaska to the extent that it justifies If the takeoff and landing information is establishing a new retirement life of 20,000 unavailable, estimate the number by takeoff and landings for aft crosstube P/N making a regulatory distinction; and 412–321–304 by making pen and ink changes 4. Will not have a significant multiplying the airframe hours by 10. (2) Within the next 450 takeoffs and or inserting a copy of this AD into the economic impact, positive or negative, landings, if an aft crosstube has reached maintenance manual or the ICAs. on a substantial number of small entities 20,000 or more takeoffs and landings, replace (e) Alternative Methods of Compliance under the criteria of the Regulatory it with an airworthy aft crosstube. (AMOC) Flexibility Act. (3) Before reaching 2,500 takeoffs and We prepared an economic evaluation landings or for an aft crosstube with 2,500 or (1) The Manager, Rotorcraft Certification of the estimated costs to comply with more takeoffs and landings, within 50 hours Office, FAA, may approve AMOCs for this this proposed AD and placed it in the TIS or within the next 250 takeoffs and AD. Send your proposal to: Martin R. Crane, AD docket. landings, whichever occurs first, prepare the Aviation Safety Engineer, Rotorcraft aft crosstube inspection areas as depicted in Directorate, Rotorcraft Certification Office, List of Subjects in 14 CFR Part 39 Figure 1 of Aeronautical Accessories, Inc. 2601 Meacham Blvd., Fort Worth, Texas Air transportation, Aircraft, Aviation (AAI) Alert Service Bulletin No. AA–07109, 76137, telephone (817) 222–5170, email [email protected]. safety, Incorporation by reference, dated April 3, 2008 (ASB), by following the Accomplishment Instructions, Part B, (2) For operations conducted under a Part Safety. paragraphs 1 through 4, of the ASB. Using a 119 operating certificate or under Part 91, The Proposed Amendment 10X or higher magnifying glass, inspect the Subpart K, we suggest that you notify your prepared areas of each aft crosstube for a principal inspector, or lacking a principal Accordingly, under the authority crack. If there is a crack, before further flight, inspector, the manager of the local flight delegated to me by the Administrator, replace the cracked aft crosstube with an standards district office or certificate holding the FAA proposes to amend 14 CFR part airworthy aft crosstube. If there are no cracks, district office before operating any aircraft 39 as follows: after completing the aft crosstube inspection, complying with this AD through an AMOC.

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(f) Additional Information • Federal eRulemaking Docket: Go to filed electronically, commenters should The FAA approved AAI Instructions for http://www.regulations.gov. Follow the submit only one time. Continued Airworthiness Report Number instructions for sending your comments We will file in the docket all AA–01136 and the Bell Helicopter Textron electronically. comments that we receive as well as a Alert Service Bulletin No. 412–08–129, dated • Fax: (202) 493–2251. report summarizing each substantive May 12, 2008, which are not incorporated by • Mail: Send comments to the U.S. public contact with FAA personnel reference, contain additional information Department of Transportation, Docket about inspecting the aft crosstube for a crack. concerning this proposed rulemaking. Operations, M–30, West Building Before acting on this proposal, we will (g) Subject Ground Floor, Room W12–140, 1200 consider all comments we receive on or Joint Aircraft Service Component (JASC) New Jersey Avenue SE., Washington, before the closing date for comments. Code: 32: Landing Gear. DC 20590–0001. We will consider comments filed after • Issued in Fort Worth, Texas, on January 23, Hand Delivery: Deliver to Mail the comment period has closed if it is 2012. address above between 9 a.m. and possible to do so without incurring Kim Smith, 5 p.m., Monday through Friday, except expense or delay. We may change this Federal holidays. Manager, Rotorcraft Directorate, Aircraft proposal in light of the comments we Certification Service. Examining the AD Docket receive. [FR Doc. 2012–2423 Filed 2–2–12; 8:45 am] You may examine the AD docket on Discussion BILLING CODE 4910–13–P the Internet at http:// We propose to adopt a new AD for the www.regulations.gov or in person at the specified Bell model helicopters with an Docket Operations Office between DEPARTMENT OF TRANSPORTATION ASU Night Vision Lighting Imaging 9 a.m. and 5 p.m., Monday through System installed per STC SR01383SE. Federal Aviation Administration Friday, except Federal holidays. The AD This proposed AD is prompted by the docket contains this proposed AD, the finding that an unfiltered TOT indicator 14 CFR Part 39 economic evaluation, any comments over-temperature warning light, when received, and other information. The illuminated, created glare and [Docket No. FAA–2012–0087; Directorate street address for the Docket Operations reflections that could degrade the pilot’s Identifier 2011–SW–029–AD] Office (telephone: (800) 647–5527) is in view while the pilot is using night the ADDRESSES section. Comments will RIN 2120–AA64 vision goggles. This proposed AD would be available in the AD docket shortly require determining the date of the STC Airworthiness Directives; Bell after receipt. installation, determining whether each Helicopter Textron Canada, Limited For service information identified in helicopter has a TOT indicator unit with (Bell) Helicopters this proposed AD, contact Aviation an internal over-temperature warning Specialties Unlimited Inc., 4632 light. If an unfiltered TOT indicator AGENCY: Federal Aviation Aeronca Street, Boise, Idaho 83705, over-temperature warning light is Administration (FAA), DOT. telephone (208) 426–8117, fax (208) installed, this AD would require ACTION: Notice of proposed rulemaking 426–8975 or http://www.asu-nvg.com/. installing an NVIS filter. The proposed (NPRM). You may review copies of the actions are intended to modify any referenced service information at the unfiltered TOT indicator unit over- SUMMARY: We propose to adopt a new FAA, Office of the Regional Counsel, temperature warning light by installing airworthiness directive (AD) for the Bell Southwest Region, 2601 Meacham Blvd. Model 206, 206A, 206A–1, 206B, a filter to prevent degradation of the Room 663, Fort Worth, TX 76137. pilot’s vision while using night vision 206B–1, 206L, 206L–1, 206L–3, and FOR FURTHER INFORMATION CONTACT: 206L–4 helicopters with Aviation goggles and to prevent subsequent loss Kathleen Arrigotti, Aviation Safety of control of the helicopter. Specialties Unlimited Inc. (ASU) Night Engineer, FAA, Seattle Aircraft Vision Imaging System (NVIS) lighting Certification Office, Airframe Branch, FAA’s Determination modified by Supplemental Type 1601 Lind Avenue SW., Renton, We are proposing this AD because we Certificate SR01383SE (STC). This Washington 98057, telephone (425) proposed AD is prompted by the finding evaluated all known relevant 917–6426, fax (425) 917–6590; email information and determined that an that an unfiltered turbine outlet [email protected]. temperature (TOT) indicator over- unsafe condition exists and is likely to temperature warning light, when SUPPLEMENTARY INFORMATION: exist or develop on other helicopters with NVIS lighting installed per STC illuminated, created glare and Comments Invited reflections that could degrade the pilot’s SR01383SE on or before April 6, 2011. We invite you to participate in this view while using night vision goggles Relevant Service Information thereby creating an unsafe condition. rulemaking by submitting written The proposed actions are intended to comments, data, or views. We also We reviewed ASU’s Alert Service modify any unfiltered TOT indicator invite comments relating to the Bulletin No. ASU 206–2010–11–1, dated unit over-temperature warning light by economic, environmental, energy, or November 4, 2010 (ASB) for the Bell installing a filter to prevent degradation federalism impacts that might result Helicopter Textron 206 series of the pilot’s vision while using night from adopting the proposals in this helicopters. The ASB states to visually vision goggles and to prevent document. The most helpful comments inspect each helicopter to determine if subsequent loss of control of the reference a specific portion of the the TOT indicator/gauge has an internal helicopter. proposal, explain the reason for any over-temperature warning light recommended change, and include installed. If the over-temperature DATES: We must receive comments on supporting data. To ensure the docket warning light is internal, the ASB this proposed AD by April 3, 2012. does not contain duplicate comments, specifies notifying ASU. ASU states it ADDRESSES: You may send comments by commenters should send only one copy will immediately ship an NVIS filter, any of the following methods: of written comments, or if comments are part number (P/N) ASU–TOTGAG–1.

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Proposed AD Requirements Regulatory Findings indicator over-temperature warning light, when illuminated, creating glare and We determined that this proposed AD This proposed AD would require, reflections that could degrade the pilot’s would not have federalism implications within 30 days or 50 hours time-in- view through night vision goggles. This under Executive Order 13132. This service, whichever occurs first, condition could result in loss of control of determining the date of the STC proposed AD would not have a the helicopter. installation. If the date is on or before substantial direct effect on the States, on (c) Compliance April 6, 2011, or the date is the relationship between the national undocumented, this AD would require Government and the States, or on the You are responsible for performing each determining if the TOT indicator unit distribution of power and action required by this AD within the has an internal over-temperature responsibilities among the various specified compliance time unless it has warning light. If the unit has an levels of government. already been accomplished prior to that time. For the reasons discussed above, I unfiltered internal over-temperature (d) AD Requirements warning light, this AD would require certify this proposed regulation: Within 30 days or 50 hours time-in-service, installing an NVIS filter, P/N ASU– (1) Is not a ‘‘significant regulatory action’’ under Executive Order 12866, whichever occurs first: TOTGAG–1. (2) Is not a ‘‘significant rule’’ under (1) Determine the date of the STC Differences Between This Proposed AD the DOT Regulatory Policies and installation. and the Service Information Procedures (44 FR 11034, February 26, (2) If the date of the STC installation is on 1979), or before April 6, 2011, or the date is This proposed AD does not apply to (3) Will not affect intrastate aviation undocumented, determine whether the helicopters modified by the STC after in Alaska to the extent that it justifies cockpit TOT indicator unit has an unfiltered April 6, 2011, because a new design was making a regulatory distinction, and internal over-temperature warning light. If approved for the STC on April 6, 2011, (4) Will not have a significant the unit has an unfiltered internal over- and contained instructions to install the economic impact, positive or negative, temperature warning light, install an NVIS NVIS over-temperature indicator light on a substantial number of small entities filter, part number ASU–TOTGAG–1. filter. This proposed AD does not under the criteria of the Regulatory (e) Alternative Methods of Compliance require you to notify ASU. Flexibility Act. (AMOCs) Costs of Compliance We prepared an economic evaluation (1) The Manager, Seattle Aircraft of the estimated costs to comply with Certification Office, FAA, may approve We estimate that this proposed AD this proposed AD and placed it in the AMOCs for this AD. Send your proposal to: would affect 34 helicopters of U.S. docket. Kathleen Arrigotti, Aviation Safety Engineer, registry. We estimate that operators may List of Subjects in 14 CFR Part 39 FAA, Seattle Aircraft Certification Office, incur the following costs to comply with Airframe Branch, 1601 Lind Avenue SW., this AD: Determining the date, Air transportation, Aircraft, Aviation Renton, Washington 98057, telephone (425) inspecting for an unfiltered, over- safety, Incorporation by reference, 917–6426, fax (425) 917–6590; email 9-ANM- temperature TOT indicator light in the Safety. [email protected]. cockpit, and installing a filter would The Proposed Amendment (2) For operations conducted under a part take about 1.8 work hours at $85 per 119 operating certificate or under part 91, hour. A filter would cost about $300. Accordingly, under the authority Subpart K, we suggest that you notify your The total cost would be $15,402 delegated to me by the Administrator, principal inspector, or lacking a principal assuming the filter would be installed the FAA proposes to amend 14 CFR part inspector, notify the manager of the local on the entire fleet. 39 as follows: flight standards district office or certificate holding district office before operating any Authority for This Rulemaking PART 39—AIRWORTHINESS aircraft complying with this AD through an DIRECTIVES AMOC. Title 49 of the United States Code specifies the FAA’s authority to issue 1. The authority citation for part 39 (f) Additional Information rules on aviation safety. Subtitle I, continues to read as follows: Aviation Specialties Unlimited Inc., Alert section 106, describes the authority of Authority: 49 U.S.C. 106(g), 40113, 44701. Service Bulletin No. ASU 206–2010–11–1, the FAA Administrator. ‘‘Subtitle VII: dated November 4, 2010, contains Aviation Programs,’’ describes in more § 39.13 [Amended] information pertaining to the subject of this detail the scope of the Agency’s 2. The FAA amends § 39.13 by adding AD. This service information is not authority. the following new AD: incorporated by reference. You may review copies of this service information at the FAA, We are issuing this rulemaking under Bell Helicopter Textron Canada, Limited Office of the Regional Counsel, 2601 the authority described in ‘‘Subtitle VII, (Bell): Docket No. FAA–2012–0087; Meacham Blvd., Fort Worth, TX 76193. Part A, Subpart III, Section 44701: Directorate Identifier 2011–SW–029–AD. General requirements.’’ Under that (a) Applicability (g) Subject section, Congress charges the FAA with This AD applies to Model 206, 206A, Joint Aircraft System Component (JASC) promoting safe flight of civil aircraft in 206A–1, 206B, 206B–1, 206L, 206L–1, 206L– Code: 7722: Engine EFT/TOT Indicating air commerce by prescribing regulations 3, and 206L–4 helicopters, certificated in any System. for practices, methods, and procedures category, modified with Aviation Specialties Issued in Fort Worth, Texas, on January 23, the Administrator finds necessary for Unlimited Inc. (ASU) Night Vision Imaging 2012. safety in air commerce. This regulation System (NVIS) lighting installed per is within the scope of that authority Supplemental Type Certificate (STC) Kim Smith, SR01383SE. because it addresses an unsafe condition Manager, Rotorcraft Directorate, Aircraft that is likely to exist or develop on (b) Unsafe Condition Certification Service. products identified in this rulemaking This AD defines the unsafe condition as an [FR Doc. 2012–2427 Filed 2–2–12; 8:45 am] action. unfiltered turbine outlet temperature (TOT) BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION For service information identified in the torque range recommended for the this proposed AD, contact Bell bolts. They state that this situation, if Federal Aviation Administration Helicopter Textron Canada Limited, not corrected, could lead to a bolt 12,800 Rue de l’Avenir, Mirabel, Quebec failure, detachment of the tailboom, and 14 CFR Part 39 J7J1R4, telephone (450) 437–2862 or loss of control of the helicopter. (800) 363–8023, fax (450) 433–0272, or [Docket No. FAA–2012–0084; Directorate FAA’s Determination Identifier 2010–SW–089–AD] at http://www.bellcustomer.com/files/. You may review copies of the This helicopter model is RIN 2120–AA64 referenced service information at the manufactured in Canada and is type FAA, Office of the Regional Counsel, certificated for operation in the United Airworthiness Directives; Bell Southwest Region, 2601 Meacham States under the provisions of 14 CFR Helicopter Textron Canada Limited Blvd., Room 663, Fort Worth, Texas 21.29 and the applicable bilateral Helicopters 76137. agreement. Pursuant to the bilateral AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: agreement, TC has kept the FAA Administration (FAA), DOT. Sharon Miles, Aerospace Engineer, informed of the situation described ACTION: Notice of proposed rulemaking FAA, Regulations and Policy Group, above. We are issuing this AD because (NPRM). 2601 Meacham Blvd., Fort Worth, Texas we evaluated all information provided 76137; telephone: (817) 222–5122; email by TC and determined the unsafe SUMMARY: We propose to adopt a new [email protected]. condition is likely to exist or develop on airworthiness directive (AD) for the Bell other helicopters of these same type SUPPLEMENTARY INFORMATION: Helicopter Textron Canada Limited designs. (BHTC) Model 427 helicopters. This Comments Invited Related Service Information proposed AD is prompted by a review We invite you to participate in this of the tailboom attachment installation, rulemaking by submitting written BHTC has issued Alert Service which revealed that the torque value of comments, data, or views. We also Bulletin No. 427–10–31, dated March 1, the bolts specified in the BHTC Model invite comments relating to the 2010 (ASB), which specifies installing 427 Maintenance Manual and applied economic, environmental, energy, or new attachment hardware with a during manufacturing was incorrect and federalism impacts that might result reduced torque value. This ASB exceeded the torque range from adopting the proposals in this specifies determining the torque of the recommended for the bolts. The document. The most helpful comments newly installed bolts and nuts every 1 proposed actions are intended to reference a specific portion of the to 5 flight hours until torque stabilizes prevent an over-torque of the tailboom proposal, explain the reason for any at all locations, and thereafter at attachment bolt (bolt), bolt failure, loss recommended change, and include intervals not to exceed 300 flight hours. of the tailboom, and subsequent loss of supporting data. To ensure the docket TC classified this ASB as mandatory control of the helicopter. does not contain duplicate comments, and issued AD CF–2010–32 to ensure DATES: We must receive comments on commenters should send only one copy the continued airworthiness of these this proposed AD by April 3, 2012. of written comments, or if comments are helicopters. ADDRESSES: You may send comments by filed electronically, commenters should Proposed AD Requirements any of the following methods: submit only one time. • Federal eRulemaking Docket: Go to We will file in the docket all This proposed AD would require, http://www.regulations.gov. Follow the comments that we receive, as well as a within 150 hours time-in-service (TIS) online instructions for sending your report summarizing each substantive or 90 days, whichever occurs first, the comments electronically. public contact with FAA personnel following actions: • • Fax: (202) 493–2251. concerning this proposed rulemaking. Remove the left upper bolt, • Mail: Send comments to the U.S. Before acting on this proposal, we will washers, and nut. Install the new bolt, Department of Transportation, Docket consider all comments we receive on or part number (P/N) NAS627–27; Operations, M–30, West Building before the closing date for comments. washers, P/N 140–007–29S25E6 and Ground Floor, Room W12–140, 1200 We will consider comments filed after P/N NAS1149G0732P; and new nut, New Jersey Avenue SE., Washington, the comment period has closed if it is P/N 42FLW–720. Run the nut onto the DC 20590–0001. possible to do so without incurring threads of the mating bolt with a torque • Hand Delivery: Deliver to the expense or delay. We may change this wrench and measure the existing tare. ‘‘Mail’’ address between 9 a.m. and proposal in light of the comments we Any bolt and nut used must have a 5 p.m., Monday through Friday, except receive. minimum tare of 14 inch/lbs. Torque Federal holidays. the nut and coat the bolt head, nut, and Examining the AD Docket: You may Discussion washers with appropriate corrosion examine the AD docket on the Internet Transport Canada (TC), which is the preventive compound to seal the joint. at http://www.regulations.gov or in aviation authority for Canada, has Repeat these actions at the three person at the Docket Operations Office issued AD CF–2010–32, dated remaining bolt locations. between 9 a.m. and 5 p.m., Monday September 30, 2010 (AD CF–2010–32), • After installation of the new through Friday, except Federal holidays. to correct an unsafe condition for the attachment hardware, at intervals of no The AD docket contains this proposed BHTC Model 427 helicopters, serial less than 1 hour TIS but not exceeding AD, the economic evaluation, any numbers (S/Ns) 56001 through 56084, 5 hours TIS, determine the torque of comments received, and other and S/Ns 58001 and 58002. TC advises each nut until torque stabilizes at each information. The street address for the that a review of the tailboom attachment attachment location. Thereafter, Docket Operations Office (telephone installation determined that the torque determine the torque of each nut at (800) 647–5527) is in the ADDRESSES value of the bolts specified in the BHTC intervals not to exceed 300 hours TIS. section. Comments will be available in Model 427 Maintenance Manual and The actions would be required to be the AD docket shortly after receipt. applied during manufacturing exceeded accomplished by following specified

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portions of the service bulletin substantial direct effect on the States, on (ii) Install a new bolt, part number (P/N) described previously. the relationship between the national NAS627–27; washer, P/N 140–007–29S25E6; Government and the States, or on the washer(s), P/N NAS1149G0732P; and new Differences Between This Proposed AD distribution of power and nut, P/N 42FLW–720 in accordance with and the TC AD responsibilities among the various paragraphs 5.a) through 5.d) of the The differences between this levels of government. Accomplishment Instructions in BHTC Alert proposed AD and the TC AD are as For the reasons discussed, I certify Service Bulletin No. 427–10–31, dated March follows: this proposed regulation: 1, 2010 (ASB). • The TC AD applies to the BHTC 1. Is not a ‘‘significant regulatory (iii) Run the nut onto the threads of the Model 427 helicopter, serial numbers action’’ under Executive Order 12866; mating bolt with a torque wrench and 58001 and 58002; however, this 2. Is not a ‘‘significant rule’’ under the measure the existing tare torque. Any bolt proposed AD is not applicable to the DOT Regulatory Policies and Procedures and nut used must have a minimum tare BHTC Model 427 helicopters with these (44 FR 11034, February 26, 1979); torque value of 14 inch/lbs. serial numbers because they are not 3. Will not affect intrastate aviation in (iv) Torque the nut in accordance with eligible for an FAA Certificate of Alaska to the extent that it justifies paragraphs 5.f) and 5.g) of the ASB. Airworthiness. making a regulatory distinction; and (v) Coat the bolt head, nut, and washers 4. Will not have a significant with appropriate corrosion preventive Costs of Compliance economic impact, positive or negative, compound to seal the joint. We estimate that this proposed AD on a substantial number of small entities (vi) At each remaining attachment location, would affect 28 helicopters of U.S. under the criteria of the Regulatory remove the bolt, washers, and nut, and install registry. We estimate it would take Flexibility Act. the attachment hardware in accordance with about 2.0 work-hours per helicopter to We prepared an economic evaluation paragraphs (d)(1)(ii) through (d)(1)(v) of this replace the hardware, and 1.0 work- of the estimated costs to comply with AD. hour per helicopter to determine the this proposed AD and placed it in the (2) After installation of the new attachment recurring torque value at an average AD docket. hardware, at intervals of not less than 1 hour TIS but not exceeding 5 hours TIS, determine labor rate of $85 per work hour. List of Subjects in 14 CFR Part 39 Required parts would cost about $488 the torque of each nut until the torque per helicopter. Based on these figures, Air transportation, Aircraft, Aviation stabilizes at each attachment location. we estimate for the first year the total safety, Incorporation by Reference, Thereafter, at intervals not to exceed 300 cost per helicopter to be $913, and the Safety. hours TIS, determine the torque of each nut. When determining the torque, it is acceptable total cost impact on U.S. operators to be The Proposed Amendment $25,564. This estimated total cost to use the minimum tare torque of 14 inch/ Accordingly, under the authority assumes attachment hardware will be lbs (1.58 Nm) added to the minimum torque delegated to me by the Administrator, replaced on all affected helicopters, the range of 550–560 inch/lbs (62.1 to 63.3 Nm). the FAA proposes to amend 14 CFR part torque will be considered stabilized If you remove corrosion preventative 39 as follows: after one torquing, and the recurring 300 compound during the torquing, recoat the bolt head, nut, and washers with appropriate hour TIS torque determination will be PART 39—AIRWORTHINESS accomplished twice a year. corrosion preventive compound to seal the DIRECTIVES joint. Authority for This Rulemaking 1. The authority citation for part 39 (e) Alternative Methods of Compliance Title 49 of the United States Code continues to read as follows: (AMOC). (1) The Manager, Safety Management specifies the FAA’s authority to issue Authority: 49 U.S.C. 106(g), 40113, 44701. rules on aviation safety. Subtitle I, Group, FAA, may approve AMOCs for this section 106, describes the authority of § 39.13 [Amended] AD. Send your proposal to: Sharon Miles, the FAA Administrator. ‘‘Subtitle VII: 2. The FAA amends § 39.13 by adding 2601 Meacham Blvd., Fort Worth, Texas Aviation Programs,’’ describes in more the following new Airworthiness 76137; telephone: (817) 222–5122; fax: (817) detail the scope of the Agency’s Directive (AD): 222–5961, email [email protected]. (2) For operations conducted under a Part authority. Bell Helicopter Textron Canada Limited We are issuing this rulemaking under 119 operating certificate or under Part 91, (BHTC): Docket No. FAA–2012–0084; Subpart K, we suggest that you notify your the authority described in ‘‘Subtitle VII, Directorate Identifier 2010–SW–089–AD. Part A, Subpart III, Section 44701: principal inspector, or lacking a principal (a) Applicability. This AD applies to model inspector, the manager of the local flight General requirements.’’ Under that 427 helicopters, serial numbers 56001 standards district office or certificate holding section, Congress charges the FAA with through 56084, certificated in any category. district office before operating any aircraft promoting safe flight of civil aircraft in (b) Unsafe Condition. This AD defines the complying with this AD through an AMOC. air commerce by prescribing regulations unsafe condition as an over torque of the (f) Additional Information. The subject of for practices, methods, and procedures tailboom attachment bolt (bolt). This condition could result in bolt failure, loss of this AD is addressed in Transport Canada AD the Administrator finds necessary for the tailboom, and subsequent loss of control CF–2010–32, dated September 30, 2010. safety in air commerce. This regulation of the helicopter. (g) Subject. Joint Aircraft Service is within the scope of that authority (c) Compliance. You are responsible for Component (JASC) Code: 5302: Rotorcraft because it addresses an unsafe condition performing each action required by this AD Tailboom. that is likely to exist or develop on within the specified compliance time unless products identified in this rulemaking it has already been accomplished prior to Issued in Fort Worth, Texas, on January 23, action. that time. 2012. (d) Required Actions. Regulatory Findings (1) Within 150 hours time-in-service (TIS) Kim Smith, or 90 days, whichever occurs first, replace Manager, Rotorcraft Directorate, Aircraft We determined that this proposed AD the tailboom attachment hardware Certification Service. would not have federalism implications (attachment hardware) as follows: [FR Doc. 2012–2422 Filed 2–2–12; 8:45 am] under Executive Order 13132. This (i) Remove the left upper bolt, washers, proposed AD would not have a and nut. BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION New Jersey Avenue SE., Washington, before the closing date for comments. DC 20590–0001. We will consider comments filed after Federal Aviation Administration • Hand Delivery: Deliver to the the comment period has closed if it is ‘‘Mail’’ address between 9 a.m. and possible to do so without incurring 14 CFR Part 39 5 p.m., Monday through Friday, except expense or delay. We may change this [Docket No. FAA–2012–0082; Directorate Federal holidays. proposal in light of the comments we receive. Identifier 2010–SW–036–AD] Examining the AD Docket RIN 2120–AA64 You may examine the AD docket on Discussion the Internet at http:// This document proposes adopting a Airworthiness Directives; Bell www.regulations.gov or in person at the new AD for the specified Bell model Helicopter Textron, Inc., Helicopters Docket Operations Office between helicopters. This proposal would AGENCY: Federal Aviation 9 a.m. and 5 p.m., Monday through require creating a component history Administration (FAA), DOT. Friday, except Federal holidays. The AD card or equivalent record and begin counting and recording the number of ACTION: Notice of proposed rulemaking docket contains this proposed AD, the accumulated landings for each (NPRM). economic evaluation, any comments received, and other information. The crosstube. Also, this proposal would SUMMARY: This document proposes street address for the Docket Operations require installing ‘‘caution’’ decals adopting a new airworthiness directive Office (telephone (800) 647–5527) is in regarding towing of a helicopter at or (AD) for Bell Helicopter Textron, Inc., the ADDRESSES section. Comments will above 8,900 pounds. This proposal (Bell) Model 412 and 412EP helicopters. be available in the AD docket shortly would also require confirming that the This proposal would require creating a after receipt. crosstube is within the horizontal component history card or equivalent For service information identified in deflection limits and replacing it if it is record and begin counting and this proposed AD, contact Bell not. This proposal would also require a recording the number of accumulated Helicopter Textron, Inc., P.O. Box 482, recurring FPI of each crosstube and landings for each high aft crosstube Fort Worth, Texas 76101; telephone upper center support for a crack, any assembly (crosstube). Also, this (817) 280–3391; fax (817) 280–6466; or corrosion, a nick, scratch, dent, or any proposal would require installing at http://www.bellcustomer.com/files/. other damage. This proposal would ‘‘caution’’ decals regarding towing of a You may review copies of the require repairing damaged crosstubes helicopter at or above 8,900 pounds. referenced service information at the and upper center supports that are This proposal would also require FAA, Office of the Regional Counsel, within acceptable limits, reworking confirming the crosstube is within the Southwest Region, 2601 Meacham crosstubes by bonding on abrasion horizontal deflection limits and Blvd., Room 663, Fort Worth, Texas strips, and replacing each unairworthy replacing it if it is not. This proposal 76137. crosstube with an airworthy crosstube. The affected crosstubes are the older would also require a recurring FOR FURTHER INFORMATION CONTACT: fluorescent penetrant inspection (FPI) of non-anodized configuration and have Michael Kohner, Aviation Safety had a service history of corrosion each crosstube and upper center support Engineer, Rotorcraft Certification Office, for a crack, any corrosion, nick, scratch, problems. In response to reports of field Rotorcraft Directorate, FAA, 2601 failures, Bell has completed a load level dent, or any other damage. This Meacham Blvd., Fort Worth, Texas proposal would require repairing survey, material coupon testing, and 76137; telephone (817) 222–5170; email additional analysis of the crosstubes. damaged crosstubes and upper center [email protected]. supports that are within acceptable The results indicate that fatigue damage SUPPLEMENTARY INFORMATION: limits, reworking crosstubes by bonding can occur during towing and landing. on abrasion strips, and replacing each Comments Invited This condition, if not corrected, could result in failure of a crosstube, collapse unairworthy crosstube with an We invite you to participate in this airworthy crosstube. This proposal is of the landing gear, and subsequent loss rulemaking by submitting written of control of the helicopter. prompted by analysis of the crosstubes comments, data, or views. We also conducted as a result of recent field invite comments relating to the FAA’s Determination failures and corrosion problems of the economic, environmental, energy, or We are proposing this AD because we affected crosstubes. The actions federalism impacts that might result evaluated all known relevant specified by this proposed AD are from adopting the proposals in this information and determined that an intended to prevent failure of a document. The most helpful comments unsafe condition exists and is likely to crosstube, collapse of the landing gear, reference a specific portion of the exist or develop on other products of and subsequent loss of control of the proposal, explain the reason for any these same type designs. helicopter. recommended change, and include DATES: We must receive comments on supporting data. To ensure the docket Related Service Information this proposed AD by April 3, 2012. does not contain duplicate comments, We have reviewed Bell Helicopter ADDRESSES: You may send comments by commenters should send only one copy Alert Service Bulletin No. 412–09–135, any of the following methods: of written comments, or if comments are dated August 25, 2009 (ASB). The ASB • Federal eRulemaking Docket: Go to filed electronically, commenters should specifies, within 6 months after http://www.regulations.gov. Follow the submit only one time. receiving the ASB, for each affected online instructions for sending your We will file in the docket all crosstube, a recurring 12 month/2500 comments electronically. comments that we receive, as well as a landing FPI, a recurring 12 month/2500 • Fax: (202) 493–2251. report summarizing each substantive landing deflection check, and use of a • Mail: Send comments to the U.S. public contact with FAA personnel towing retention kit per BHT–412–SI–58 Department of Transportation, Docket concerning this proposed rulemaking. Gross Weight Towing Kit Provisions and Operations, M–30, West Building Before acting on this proposal, we will Puller Equipment for helicopters that Ground Floor, Room W12–140, 1200 consider all comments we receive on or weigh 8,900 pounds or higher.

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Proposed AD Requirements equivalent record and begin to under the criteria of the Regulatory This proposed AD would require determine and record the number of Flexibility Act. compliance with specified portions of accumulated landings; 0.5 hour to We prepared an economic evaluation the manufacturer’s service bulletin. It install caution decals on the pilot and of the estimated costs to comply with would require for each crosstube: co-pilot side of each helicopter; 0.5 hour this proposed AD and placed it in the to measure the horizontal deflection of AD docket. • Within 50 hours time-in-service (TIS), each crosstube; 3 hours to inspect and unless accomplished previously, prepare the area and do an FPI on each List of Subjects in 14 CFR Part 39 creating a component history card crosstube; 4 hours to rework a crosstube, Air transportation, Aircraft, Aviation or equivalent record and begin assuming 5 will need to be reworked; safety, Incorporation by reference, counting and recording the number and 2 hours to replace a crosstube, Safety. of accumulated landings for each assuming 3 will need to be replaced. crosstube. Also, installing The Proposed Amendment The average labor rate is $85 per work- CAUTION decals regarding towing hour and required parts for a Accordingly, under the authority a helicopter that weighs at or above replacement crosstube would cost about delegated to me by the Administrator, 8,900 pounds. $9,315 per helicopter. Based on these the FAA proposes to amend 14 CFR part • Within 6 months, unless figures, we estimate the total cost 39 as follows: accomplished previously, and impact of the proposed AD on U.S. thereafter at intervals not to exceed operators to be $79,030. PART 39—AIRWORTHINESS 12 months or 2,500 landings, DIRECTIVES whichever occurs first: Authority for This Rulemaking Æ Determining the horizontal Title 49 of the United States Code 1. The authority citation for part 39 deflection of each crosstube, and specifies the FAA’s authority to issue continues to read as follows: before further flight, replacing any rules on aviation safety. Subtitle I, Authority: 49 U.S.C. 106(g), 40113, 44701. crosstube that exceeds any section 106, describes the authority of § 39.13 [Amended] maximum allowable deflection the FAA Administrator. ‘‘Subtitle VII: limit. 2. The FAA amends § 39.13 by adding Æ Aviation Programs,’’ describes in more Removing and disassembling the detail the scope of the Agency’s the following new Airworthiness landing gear assembly to prepare authority. Directive (AD): each crosstube for an FPI. We are issuing this rulemaking under Æ Bell Helicopter Textron, Inc.: Docket No. Cleaning and preparing the the authority described in ‘‘Subtitle VII, FAA–2012–0082; Directorate 2010–SW– crosstube for the FPI by removing Part A, Subpart III, Section 44701: 036–AD. the sealant and paint. Æ General requirements.’’ Under that (a) Applicability Performing an FPI of each crosstube section, Congress charges the FAA with and upper center support for a promoting safe flight of civil aircraft in This AD applies to Bell Helicopter Textron, crack, any corrosion, a nick, Inc., (Bell) Model 412 and 412EP helicopters air commerce by prescribing regulations with a high aft crosstube assembly scratch, dent, or any other damage. for practices, methods, and procedures Æ Repairing the crosstube if there is (crosstube), part number (P/N) 412–050–011– the Administrator finds necessary for 101, –103, –105, –107; or 412–050–045–105, any corrosion, a nick, scratch, dent, safety in air commerce. This regulation installed, certificated in any category. or any other damage that is within is within the scope of that authority (b) Unsafe Condition the maximum repair damage limits, because it addresses an unsafe condition before further flight, or replacing that is likely to exist or develop on This AD defines the unsafe condition as the unairworthy crosstube. products identified in this rulemaking failure and corrosion of the affected Æ crosstubes. This condition could result in If there is a crack or other damage action. beyond any of the maximum repair collapse of the landing gear and subsequent damage limits, before further flight, Regulatory Findings loss of control of the helicopter. replacing the crosstube with an We determined that this proposed AD (c) Compliance airworthy crosstube. would not have federalism implications You are responsible for performing each • Before further flight, after doing the under Executive Order 13132. This action required by this AD within the FPI, unless accomplished proposed AD would not have a specified compliance time. previously, reworking each substantial direct effect on the States, on (d) Required Actions crosstube by bonding abrasion the relationship between the national (1) Within 50 hours time-in-service (TIS), strips on the under side of the Government and the States, or on the crosstubes at BL 0.0 and BL 14. unless accomplished previously: distribution of power and (i) For each crosstube, create a component Also, recording on the component responsibilities among the various history card or equivalent record. Begin to history card or equivalent record an levels of government. count and record the number of accumulated ‘‘FM’’ to the end of the part number For the reasons discussed, I certify landings for each crosstube. For the purposes sequence of each crosstube that has this proposed regulation: of this AD, a landing would be counted been reworked (for example, 412– 1. Is not a ‘‘significant regulatory anytime the helicopter lifts off into the air 050–011–107FM). action’’ under Executive Order 12866; and then lands again with any further 2. Is not a ‘‘significant rule’’ under the reduction of the collective after the landing Costs of Compliance DOT Regulatory Policies and Procedures gear touches the ground. We estimate that this proposed AD (44 FR 11034, February 26, 1979); (ii) Install CAUTION decals, P/N 212–070– would affect 115 helicopters of U.S. 3. Will not affect intrastate aviation in 600–143, on the pilot and co-pilot sides of each helicopter as depicted in Figure 3 of Registry. Alaska to the extent that it justifies Bell Helicopter Alert Service Bulletin No. We estimate that operators may incur making a regulatory distinction; and 412–09–135, dated August 25, 2009 (ASB), the following costs in order to comply 4. Will not have a significant and by following the Accomplishment with this AD. It would take about 1 hour economic impact, positive or negative, Instructions, Part III—Towing, paragraph 1., to create a component history card or on a substantial number of small entities of the ASB.

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(2) Within 6 months, unless accomplished at BL 0.0 on each crosstube when installing Building Ground Floor, Room W12–140, previously, and thereafter at intervals not to lower center support, P/N 604–026–003 (see Washington, DC 20590–0001; telephone: exceed 12 months or 2,500 landings, item 6 in Figure 1 of the ASB). (202) 366–9826. You must identify FAA whichever occurs first, determine the Docket No. FAA–2011–1237 and horizontal deflection of each crosstube from (e) Special Flight Permit the centerline of the helicopter (BL 0.0) to the Special flight permits for inspections only Airspace Docket No. 08–AWA–1, at the outside edge of each skid tube. Before further may be issued under 14 CFR 21.197 and beginning of your comments. You may flight, replace any crosstube that exceeds any 21.199 to operate the helicopter to a location also submit comments through the maximum allowable deflection limit where the requirements of this AD can be Internet at http://www.regulations.gov. contained in the maintenance manual. accomplished. FOR FURTHER INFORMATION CONTACT: Paul (3) Within 6 months, unless accomplished Gallant, Airspace, Regulations and ATC previously, and thereafter at intervals not to (f) Alternative Methods of Compliance (AMOC) Procedures Group, Office of Airspace exceed 12 months or 2,500 landings, Services, Federal Aviation whichever occurs first: (1) The Manager, Rotorcraft Certification (i) Remove and disassemble the landing Office, FAA, may approve AMOCs for this Administration, 800 Independence gear assembly to prepare each crosstube for AD. Send your proposal to: Michael Kohner, Avenue SW., Washington, DC 20591; a fluorescent penetrant inspection (FPI) by Aviation Safety Engineer, Rotorcraft telephone: (202) 267–8783. following the Accomplishment Instructions, Certification Office, Rotorcraft Directorate, SUPPLEMENTARY INFORMATION: Part I, paragraphs 1. through 9., of the ASB. FAA, 2601 Meacham Blvd., Fort Worth, Comments Invited Note 1: Abrasion strip, P/N 206–050–301– Texas 76137; telephone (817) 222–5170; 111; lower center support, P/N 412–050– email [email protected]. Interested parties are invited to 007–101, with the incorporated Larson L101 (2) For operations conducted under a Part participate in this proposed rulemaking abrasion strip; and lower center support, 119 operating certificate or under Part 91, by submitting such written data, views, P/N 604–026–003, if installed on any Subpart K, we suggest that you notify your principal inspector, or lacking a principal or arguments as they may desire. crosstube, P/N 412–050–045–105, or Comments that provide the factual basis reworked crosstubes, P/N 412–050–011–101, inspector, the manager of the local flight standards district office or certificate holding supporting the views and suggestions –103, –105, or –107, are only removed if presented are particularly helpful in required by following the instructions in the district office before operating any aircraft ASB (see items 2, 5, and 6 in Figure 1 of the complying with this AD through an AMOC. developing reasoned regulatory decisions on the proposal. Comments ASB). (g) Subject (ii) Clean and prepare the crosstube for the are specifically invited on the overall Joint Aircraft Service Component (JASC) regulatory, aeronautical, economic, FPI by removing the sealant and paint in the Code: 3210, Main Landing Gear. area depicted in Figure 2 of the ASB by environmental, and energy-related following the Accomplishment Instructions, Issued in Fort Worth, Texas, on January 27, aspects of the proposal. Part I, ‘‘Cleaning and Preparation,’’ 2012. Communications should identify both paragraphs 1. through 5., of the ASB. Kim Smith, docket numbers (FAA Docket No. FAA– (iii) Perform an FPI of each crosstube and Manager, Rotorcraft Directorate, Aircraft 2011–1237 and Airspace Docket No. 08– upper center support, P/N 412–050–006–101, Certification Service. AWA–5) and be submitted in triplicate for a crack, any corrosion, a nick, scratch, [FR Doc. 2012–2419 Filed 2–2–12; 8:45 am] to the Docket Management Facility (see dent, or any other damage by following the BILLING CODE 4910–13–P ADDRESSES section for address and Accomplishment Instructions, Part I, phone number). You may also submit ‘‘Inspection,’’ paragraphs 1. through 3. of the ASB. Use Table 2 in the ASB to determine comments through the Internet at the appropriate Inspection Criteria Table to DEPARTMENT OF TRANSPORTATION http://www.regulations.gov. use in the maintenance manual, which list Commenters wishing the FAA to the maximum repair damage limits for each Federal Aviation Administration acknowledge receipt of their comments crosstube P/N applicable to this AD. on this action must submit with those (iv) Repair the crosstube or upper center 14 CFR Part 71 comments a self-addressed, stamped support if there is any corrosion, a nick, postcard on which the following scratch, dent, or any other damage that is [Docket No. FAA–2011–1237; Airspace Docket No. 08–AWA–5] statement is made: ‘‘Comments to within the maximum repair damage limits, Docket Nos. FAA–2011–1237 and before further flight, or replace the crosstube RIN 2120–AA66 Airspace Docket No. 08–AWA–5.’’ The with an airworthy crosstube. postcard will be date/time stamped and Note 2: The repair procedures are specified Proposed Modification of the Atlanta returned to the commenter. in the Component Repair and Overhaul Class B Airspace Area; GA All communications received on or Manual. before the specified closing date for AGENCY: Federal Aviation (v) If there is a crack or other damage comments will be considered before beyond any of the maximum repair damage Administration (FAA), DOT. limits, before further flight, replace the taking action on the proposed rule. The ACTION: Notice of proposed rulemaking proposal contained in this action may crosstube with an airworthy crosstube. (NPRM). (4) Before further flight, after completing be changed in light of comments paragraph (d)(3) of this AD, unless SUMMARY: This action proposes to received. All comments submitted will accomplished previously, rework each modify the Atlanta, GA, Class B airspace be available for examination in the crosstube P/N 412–050–011–101, –103, –105, area to ensure the containment of public docket both before and after the or –107 by applying the bonding procedures closing date for comments. A report and abrasion strips on the under side of the aircraft within Class B airspace, reduce controller workload and enhance safety summarizing each substantive public crosstubes at BL 0.0 and BL 14 by following contact with FAA personnel concerned the Accomplishment Instructions, Part I, in the Atlanta, GA, terminal area. ‘‘Rework of Crosstubes,’’ paragraphs 1. with this rulemaking will be filed in the DATES: Comments must be received on docket. through 10. of the ASB. Record on the or before April 3, 2012. component history card or equivalent record Availability of NPRMs an ‘‘FM’’ to the end of the part number ADDRESSES: Send comments on this sequence of each crosstube that has been proposal to the U.S. Department of An electronic copy of this document reworked (for example, 412–050–011– Transportation, Docket Operations, M– may be downloaded through the 107FM). Omit the Larson L101 abrasion strip 30, 1200 New Jersey Avenue SE., West Internet at http://www.regulations.gov.

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You may review the public docket within Class B airspace due to the to published VFR routes. Frequently, containing the proposal, any comments existing design. To address this the terms are incorrectly used received and any final disposition in situation, the FAA issued a final rule in interchangeably. Since the terms are person in the Dockets Office (see October 2006 (71 FR 60419) that used in this NPRM, the following ADDRESSES section for address and lowered the floor of the Atlanta Class B information is provided to explain the phone number) between 9 a.m. and 5 airspace area from 6,000 feet MSL to purpose of each type of route. p.m., Monday through Friday, except 5,000 feet MSL within two small areas A VFR Corridor is airspace through a Federal holidays. An informal docket (approximately 9 NM by 5 NM), one to Class B airspace area with defined may also be examined during normal the east and one to the west of the vertical and lateral boundaries in which business hours at the office of the airport and between the 20 NM and 25 aircraft may operate without an ATC Eastern Service Center, Federal Aviation NM arcs of the Atlanta VORTAC. The clearance or communication with ATC. Administration, Room 210, 1701 rule, however, was an interim measure The corridor is, in effect, a ‘‘tunnel’’ Columbia Ave., College Park, GA 30337. that didn’t address all issues with the through Class B airspace. Due to heavy Persons interested in being placed on Class B design, and the FAA noted its traffic volume and procedures necessary a mailing list for future NPRMs should intent to conduct a thorough review of to manage the flow of traffic, it has not contact the FAA’s Office of Rulemaking, the Atlanta Class B airspace design for been possible to incorporate VFR (202) 267–9677, for a copy of Advisory possible future revisions. Except for the corridors in Class B airspace areas in Circular No. 11–2A, Notice of Proposed changes implemented in the 2006 rule, recent years. Rulemaking Distribution System, which noted above, the configuration of the A VFR Flyway is a general flight path describes the application procedure. Atlanta Class B airspace area has not defined as a specific course for use by pilots in planning flights into, out of, Background remained largely unchanged since the 1970s. through or near complex terminal The primary purpose of Class B airspace to avoid Class B airspace. An airspace is to reduce the potential for Need for Modification ATC clearance is not required to fly midair collisions in the airspace Traffic at ATL has increased these routes. Where established, VFR surrounding airports with high density dramatically in the years since the flyways are depicted on the reverse side air traffic operations by providing an airspace was originally designed. The of the VFR Terminal Area Chart (TAC), area in which all aircraft are subject to airport has expanded from three parallel commonly referred to as ‘‘Class B certain operating rules and equipment runways in the early 1980s to five charts.’’ They are designed to assist requirements. FAA directives require parallel runways today. The operation pilots in planning flights under or Class B airspace areas to be designed to has changed from a large contingent of around busy Class B airspace without contain all instrument procedures and propeller-driven aircraft to an almost all actually entering Class B airspace. that air traffic controllers vector aircraft jet fleet today with a varied mix of A Class B airspace VFR transition as appropriate to remain within Class B aircraft types in the terminal area. The route is a route depicted on a TAC to airspace after entry. Controllers must operational complexity at ATL also has accommodate VFR traffic transiting inform the aircraft when leaving and increased dramatically with the through a specific Class B airspace area. entering Class B airspace if it becomes addition of the fifth runway and the The route includes a specific flight necessary to extend the flight path introduction of advanced navigation course and specific ATC-assigned outside Class B airspace for spacing. procedures (e.g., RNAV SIDs and altitudes. Pilots must obtain an ATC However, in the interest of safety, FAA STARs), which necessitates additional clearance prior to entering Class B policy dictates that such extensions be Class B airspace and more stringent airspace on the route. the exception rather than the rule. procedures. In addition, there is a See the Aeronautical Information renewed safety emphasis on retaining Manual (AIM) for more information Atlanta Class B Airspace History all large turbine-powered aircraft within about these routes. On May 21, 1970, the FAA issued a the Class B airspace to avoid mixing final rule that established the Atlanta, with other aircraft that are not in contact Pre-NPRM Public Input GA, Terminal Control Area (TCA) with with ATC. The Atlanta operation has In October 2008, the FAA took action an effective date of June 25, 1970 (35 FR outgrown the 1970s airspace design and to form an Ad Hoc Committee to 7784). The TCA was modified several air traffic controllers often must vector develop recommendations for the FAA times during the 1970s to accommodate aircraft on inefficient routes in an effort to consider in designing a proposed revised instrument procedures, the to keep them within Class B airspace. modification to the Atlanta Class B addition of a fourth parallel runway, Keeping large jet aircraft within the airspace area. The Georgia Department and to ensure that the flight paths of existing Atlanta Class B airspace is not of Transportation (GDOT) Aviation large turbine-powered aircraft remain always possible. For example, arrivals Programs Office headed the group, within the designated airspace. In 1993, are sometimes required to extend the which consisted of representatives from as part of the Airspace Reclassification downwind leg beyond the lateral limits airports that underlie the Atlanta Class Final Rule (56 FR 65638), the term of the existing Class B airspace before B airspace area, national aviation ‘‘terminal control area’’ was replaced by turning onto final due to traffic volume. organizations, and the ballooning and ‘‘Class B airspace area.’’ On hot summer days, heavy aircraft on soaring communities. The Committee A fifth parallel runway became departure are sometimes unable to met three times between February 2009 operational at the Hartsfield-Jackson climb fast enough to stay above the and April 2009. Atlanta International Airport (ATL) in rising floor of the Class B airspace. As announced in the Federal Register May 2006, enabling the implementation of December 4, 2009 (74 FR 63818), of Simultaneous Triple ILS operations Clarification of Terms informal airspace meetings were held on as well as triple departure procedures. A review of comments received in February 22, 2010, in Kennesaw, GA; on The new procedures added additional response to the informal airspace February 25, 2010, in Covington, GA; on traffic and complexity to the ATL air meetings (see below) revealed some March 1, 2010, in Chamblee, GA; and on traffic operation and the FAA found that confusion over the meaning or March 4, 2010, at Peachtree City Falcon not all aircraft could be contained application of several terms that apply Field, Peachtree City, GA. The purpose

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of the meetings was to provide airspace transition under the Class B airspace ensure that this existing ATL departure users an opportunity to present their and still maintain the required terrain traffic is contained within the Class B views and suggestions regarding and obstruction clearance. The FAA airspace as required by FAA directives. modifications to the Atlanta Class B intends to establish VFR Waypoints and The change would not affect IFR traffic airspace area. Reporting Points to assist VFR pilot flows at either FTY or PDK. Also, the navigation. The new VFR waypoints lower floor would not impose a lower Discussion of Ad Hoc Committee would be located over areas that can be initial altitude for aircraft departing Recommendations and Comments easily identified visually. The FAA also these airports. Today, all aircraft As a starting point for discussions, a plans to establish VFR routes that can be departing all satellite airports are preliminary Class B design was used to circumnavigate the Class B initially assigned 3,000 feet. Aircraft are presented to the Ad Hoc Committee for airspace when necessary to avoid then normally assigned 5,000 feet, or review. In general, the preliminary aircraft operating within the Class B higher, upon initial contact with design consisted of lower Class B floors airspace. However, these routes would departure control. The assignment of within a reduced radius of 30 NM from also be useful as a predetermined route higher altitudes is not dependent on the the ATL VORTAC as opposed to the through the Class B airspace when Class B airspace, but rather on the current 35 NM radius. The preliminary operations permit. In addition to these internal IFR airspace delegations within design retained the extensions on the new VFR waypoints, the FAA intends to Atlanta TRACON (A80). This practice southwest and southeast corners as well establish RNAV T-Routes within Class B would not change because of the as proposing new extensions on the airspace for transitioning over the top of proposed modifications of the Class B northwest and northeast corners that ATL. The T-routes would be part of the airspace. There would be no expected extended out to a 40 NM radius in those low altitude IFR enroute structure, but increase in delays at satellite airports areas. The Ad Hoc Committee submitted could also serve as VFR transition due to the lowering of the Class B floor. several recommendations to the FAA routes through the Class B for suitably Regarding satellite airport VFR traffic, regarding the proposed modifications of equipped aircraft. Since the routes it is true that lowering the floor of the the Atlanta Class B airspace area. would enter Class B airspace, an ATC Class B airspace may affect altitudes The Committee raised three concerns clearance would be required to use the that VFR aircraft can initially climb to related to the proposed lower Class B T-routes. Typically, VFR aircraft could and still remain outside of the proposed airspace floors, particularly in the be assigned either 4,500 feet or 5,500 Class B airspace. For example, aircraft airspace directly underlying the final feet when transitioning along these departing southbound from Atlanta approach courses at ATL. First, the routes. The new T-Routes would also Regional Airport-Falcon Field (FFC), Committee believed there would be make transitioning of IFR aircraft more Newnan Coweta County (CCO), Clayton increased congestion at lower altitudes safe and efficient. The VFR Flyway County-Tara Field (4A7) and Griffin- due to VFR traffic trying to avoid flying Planning Chart on the back of the Spalding County (6A2) airports in the Class B airspace area and leaving Atlanta Terminal Area Chart would be currently are able to climb to about less room for VFR aircraft to transition updated to reflect the new routes and 7,500 feet and still remain outside of the the airspace. The Committee VFR waypoints. However, the FAA does Class B airspace. Lowering the floor recommended the FAA establish not plan to establish a VFR Flyway or would have an impact VFR aircraft transition routes for north and VFR corridor over the top of ATL departing those airports in that they southbound traffic to assist VFR aircraft because that airspace is too congested to would have to remain below 6,000 feet navigating through the area and to accommodate such a flyway or corridor. or 5,000 feet until clear of the Class B mitigate congestion below the Class B Second, the Committee was airspace boundary, or request Class B floor. concerned that the lower floors would service from A80. With today’s Class B The FAA understands the need for result in commercial airline traffic airspace configuration, large turbine- safe routes for VFR aircraft to transition flying at lower altitudes in closer powered aircraft are allowed to mix through, around, and under the Class B proximity to the satellite airports in the with smaller aircraft departing the airspace. The FAA originally considered ATL area. Therefore, the Committee airports listed above. Containing large proposing to lower the Class B floor in contended that lower floors could turbine-powered aircraft within Class B the airspace underlying the final decrease the efficiency of the satellite airspace, in compliance with FAA approach courses at ATL from the airports and create IFR delays for procedures, would increase safety in the current 3,500 feet MSL to 2,500 feet, arriving and departing traffic at the area by minimizing the potential mixing which is the minimum vectoring satellite airports. of controlled and uncontrolled aircraft. altitude (MVA) in that area. Instead, the The FAA looked at the Class B floors The Committee’s third concern FAA proposed to set the floor at 3,000 over the satellite airports. With the regarding the lower floors was the feet because that altitude would contain opening of the fifth runway at ATL, potential increase in noise complaints all operations that are not currently departure procedures had to be from surrounding communities. The being contained with the existing 3,500 modified to reduce delays. One FAA understands the concerns of the foot floor. Aircraft executing a missed procedural modification was to separate surrounding communities concerning approach or a go-around from the the prop and turboprop traffic from noise and the effect of lowering the base southern-most runway are climbed to traffic lanes used by faster jet aircraft. of the Class B airspace. However, the 3,000 feet. This altitude is needed to This resulted in more aircraft being Class B airspace changes under deconflict traffic with other aircraft at turned north and south off of ATL. The consideration are not associated with 4,000 feet. Aircraft at 3,000 feet routes that these aircraft take are already any changes of flight path or altitude. routinely exit the existing Class B in existence and aircraft are already The FAA does not intend to change any airspace, which conflicts with FAA flying in the vicinity of Fulton county existing instrument procedures in procedures. The procedures cannot be Airport-Brown Field (FTY) and Dekalb- conjunction with the proposed Class B changed due to the lack of available Peachtree (PDK) airports, but below the changes. As noted above, changes in the airspace to contain missed approaches. floor of the existing Class B airspace. Class B airspace are being proposed The 3,000 foot Class B floor provides Lowering the floor of the Class B purely to ensure that existing adequate airspace for aircraft to safely airspace over these airports would only instrument procedures are contained

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within the designated Class B airspace. 1970s. After initial departure, aircraft depart from an airport using standard The FAA believes that the noise are normally assigned 5,000 feet until air traffic control procedures. concerns result from the perception that they are clear of other traffic landing at The Committee stated that aircraft would be flying lower if the ATL. IFR aircraft are not restricted by compressing aircraft lower to the ground Class B floor is lowered. Aircraft are the Class B airspace, but rather by other as a result of lower Class B floors places already flying in those areas, and at IFR traffic. Once the conflicting traffic is aircraft closer to obstacles and terrain, those altitudes, utilizing current FAA clear, aircraft are routinely cleared to which limits the time pilots have to procedures, but these aircraft are not climb into/through the Atlanta Class B respond to a mechanical emergency. presently contained within Class B airspace. There remains the possibility Pilots must plan their flights to take airspace as required by FAA policy. of faster and slower aircraft mixing at these potential situations into account. This proposal is subject to an low altitudes outside of the Class B Today, aircraft routinely operate at or environmental analysis prior to any airspace. This, however, is not new and below 2,400 feet while transitioning FAA final regulatory action. is more a function of satellite airport under the existing Class B airspace. This The Committee recommended that the proximity to the ATL airport than of the altitude is 600 feet below the floor of the FAA establish visual references to mark Class B airspace. proposed Class B airspace in some the Class B boundaries to assist VFR The Committee held that the FAA had areas. This altitude has routinely aircraft that have limited navigation not studied the effect of the proposed provided safe obstacle and terrain equipment. The FAA agrees and would Class B design on VFR traffic flow. clearance for aircraft transitioning under establish VFR Reporting Points at key There are two areas where VFR flights the Class B airspace. points around the Class B airspace area would be most affected by the proposed Instead of lowering the Class B floor, to aid in navigation through and around change in the Class B airspace. The first one Committee member suggested that the area, if this rule is adopted. area is below the new proposed 5,000 ATC should advise aircraft with poor The Committee recommended that the foot MSL shelf north of ATL. In this climb performance that they are leaving current 8,000 feet and 6,000 feet Class area, pilots would have to choose the Class B airspace or publish a climb B airspace floors over PDK be retained, between flying at a lower altitude, gradient that will allow aircraft to or kept as close to the current altitudes circumnavigating the area to the north, remain within the existing Class B as possible, in order to maintain or requesting Class B service from A80. airspace. efficient operations at PDK. Likewise, the area that currently The need for lower Class B airspace Due to the opening of the fifth runway underlies the final approach courses for floors to the north and to the south of at ATL, departure procedures had to be ATL is proposed to be lowered to 3,000 ATL is based on the requirement to fully modified to reduce delays, as described feet MSL. Again, pilots must choose contain existing instrument procedures above. Aircraft are already flying in the between flying lower, circumnavigating within Class B airspace. These vicinity of PDK airport. Lowering the the area, or requesting Class B service procedures are not fully contained by floor of the Class B airspace over the from A80 to transition the area. Large today’s Class B airspace configuration. satellite airports would only contain the turbine powered aircraft are routinely Due to internal airspace delegations existing ATL departure traffic within operating in both of these areas. Class B designed to segregate slower prop and the Class B airspace; it would not affect airspace is necessary in these areas to turboprop traffic from turbojet traffic, IFR traffic flows at PDK. ensure the highest level of safety prop and turboprop aircraft must fly at The Committee also recommended possible in the Atlanta terminal area. lower altitudes out to 20NM before they that the Class B floor over Covington The Committee raised the issue of can initiate a climb. This allows enough Municipal Airport (9A1) not be lowered flight restrictions over the Atlanta Motor room for turbojet aircraft to climb above from 8,000 feet to 4,000 feet as Speedway in Hampton, GA, during the prop and turboprop aircraft. proposed, but that the airport be NASCAR races. The Committee believed Additionally, merely advising the excluded (i.e., ‘‘cut out’’) from the Class that lowering the Class B floor from aircraft that they are leaving the Class B B airspace. After reviewing this 8,000 feet to 6,000 feet in that area airspace is not an option. Retaining recommendation, the FAA found that would cause compression of traffic these aircraft within the Class B airspace the airspace over 9A1 could be excluded when a race was in progress. is required by FAA policy and is a top without an adverse impact to the ATL The flight restriction, currently safety issue. Since the existing airspace operation. The proposed Class B described in FDC NOTAM number 9/ is inadequate, the Class B design needs airspace boundary has been revised so 5151, prohibits flight within a 3 NM to be modified. that 9A1 would be completely outside radius of the track, up to and including The Committee wrote that the new of Class B airspace. 3,000 feet AGL, during the period from proposed Class B extensions on the In addition to the above one hour before until one hour after the northwest and northeast corners recommendations, the Ad Hoc end of the event. While events subject (referred to by commenters as the ‘‘ears’’ Committee report listed a number of to the restrictions of this NOTAM occur or ‘‘wings’’), as well as the existing other concerns about the preliminary once a year at the Atlanta Motor southwest and southeast extensions, design that were not directly tied to a Speedway, the restriction does not would be difficult to navigate around recommendation. These concerns are apply to other Speedway race events. and that they are unnecessary. The FAA discussed below. Even when the restriction is in effect, reevaluated this feature and concluded The Committee stated that lower IFR the FAA does not believe that that all four ‘‘ears’’ can be deleted from departure altitudes could force faster circumnavigating the area would be a the proposed design. aircraft to mix with slower aircraft. significant impact to aircraft operating The Committee believed that the The proposed design of the Class B in the vicinity. As stated in the lower Class B floors could impact would not result in lower IFR departure NOTAM, the restriction does not apply sailplane operations at the Monroe- altitudes. IFR traffic flows would be the to aircraft authorized by, and in contact Walton County Airport (D73) and the same with the proposed Class B airspace with, ATC for operational or safety of West Georgia Regional Airport-O. V. design as they are today. The initial flight purposes. Furthermore, aircraft Gray Field (CTJ). It contended that the departure altitude has been 3,000 feet may operate in the restricted airspace to lower inbound traffic to ATL from the for all satellite airports since the mid the extent necessary to arrive at or east and the west would infringe on

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airspace being used outside of the Class missed approach aircraft to be contained place and reviewed again in five or ten B airspace by sailplanes. within the Class B airspace. years. Arrival traffic to ATL does not 3. The Committee contended that While economic swings may happen typically fly in the vicinity of those turboprop departures should not be periodically, the volume of traffic and airports. ATL inbounds are routed from turned until they can comply with the passenger boardings at ATL remain the four corners, northeast, northwest, 5,000 foot floor. This is not extremely high. Passenger boardings at southeast, and southwest. These arrival operationally feasible because it would ATL declined by just over three percent corridors are well clear of the two require the turboprops to be blended from 2008 to 2009, but even so, airports and are not changing due to the back in with the jets on departure and boardings exceeded 42 million proposed the Class B airspace would greatly reduce departure capacity passengers (over eight times the modifications. at ATL. threshold to qualify for Class B The Ad Hoc Committee report also 4. The Committee suggested that ATL airspace). Calendar year 2010 data show included an alternative Class B design missed approaches should be flown as a two percent rise in boardings from the for FAA’s consideration. In part, this departures unless an emergency exists. previous year. Similarly, airport design consisted of higher Class B floors This alternative procedure would not operations declined slightly from 2008 than those proposed by the FAA, such allow ATC enough options. The rules to 2009, but still totaled over 970,000 as retaining the current 8,000 foot floor that apply to missed approaches in a operations (more than three times the north and south of ATL. Also, a large terminal environment, where multiple number to qualify for Class B airspace). portion of the Class B would have a runways are being used simultaneously The proposed airspace changes are 6,000 foot floor. A block of Class B for arrivals and departures, are very necessary to ensure safety of flight. airspace would be aligned along the complex. They require ATC to retain the Nevertheless, the FAA would continue extended centerlines, to the east and maximum flexibility in the operation to to periodically evaluate the airspace west of the airport, with a floor of 2,500 ensure that we can effectively separate design and may propose changes in the feet from 7 NM to 12 NM, and a base missed approach and unplanned go- future if circumstances dictate. Some commenters suggested that the of 3,500 feet MSL from 12 NM out to 20 arounds from departing aircraft. ATL Class B airspace should be set up NM. Surrounding this section on all Sometimes, aircraft will be able to like that in Seattle, WA, but aligned sides, the Class B floor would be 5,000 proceed outbound on the departure along ATL’s east/west approaches and feet MSL. The 5,000 foot area would tracks. Other times aircraft must be departures with fixes outbound so provide for westbound VFR traffic at turned immediately to avoid aircraft traffic is strung out over a larger area 4,500 feet MSL north of the airport and departing simultaneously from a east- and west-bound. They contended eastbound VFR traffic at 3,500 feet MSL parallel runway. that this alignment would leave the south of the airport. 5. The Committee also contended that northern satellite airports free to The Committee’s proposal would long, low, finals are not needed. expedite their arrivals/departures; while require changing ATC procedures to fit Currently, aircraft are turned on to ATL missed approaches could fly the proposed alternate airspace, instead parallel finals at ATL between 3,500 feet straight out. of changing the airspace to fit the and 7,000 feet MSL. FAA Order JO Each Class B airspace area design is procedures. These procedures, adopted 7110.65 requires that aircraft being individually tailored to fit the over many years, have proven to be the turned onto parallel finals be separated operational needs of the primary airport. most efficient for handling the high by 3 miles longitudinal or 1,000 feet Atlanta’s airspace system could not be volume of traffic serving ATL. The main vertical separation until they are set up like Seattle due to the many points of the alternative design in the established on final approach course. It differences between the two operations. Committee’s report are discussed below. is more efficient to turn the aircraft on West coast facilities are able to take 1. The FAA does not find that the final with vertical separation. Raising advantage of the fact that the majority of 6,000 foot area would be adequate to the altitude that aircraft are turned on to the traffic arrives from the same contain all large turbine powered parallel finals would result in even direction (east) while Atlanta traffic aircraft departing ATL. It does not allow longer finals and would require Class B arrives from all directions. The Seattle enough room for departures to clear extensions beyond 30NM. The FAA has Class B design is influenced by high internal airspace boundaries that protect been able to reduce the size of the terrain to the east and northwest as well ATL jet departures from satellite airport proposed Class B on the east and west as special use airspace northwest and departures. Additionally, on the sides to less than 30 NM based on the southwest of the area. Additionally, the southeast and southwest corners of the existing procedures. Atlanta operation is much larger than airspace, it does not allow ATL arrival Discussion of Informal Airspace Seattle, involving five runways versus aircraft to get low enough to feed the Meeting Comments three, and accommodating over three south final. times the number of airport operations. 2. Raising the Class B airspace floor Over 150 comments were received in Seattle’s Class B configuration simply over the downtown area and the response to the informal airspace would not provide sufficient airspace to stadiums to 5,000 feet to allow traffic to meetings. Two commenters wrote in contain Atlanta’s operations. Regarding overfly the FTY Class D airspace area support of the proposal, while the missed approaches, ATL missed and (when NOTAM 9/5151 is in effect) remaining comments opposed various approach aircraft cannot always fly would be problematic. The current floor aspects of the proposed Class B straight out because aircraft departing over the downtown area would not modifications. from other runways also occupy the change in the FAA’s proposed Class B One commenter contended that the same airspace. In the FAA’s proposed design. The floor of the Class B airspace proposed Class B changes are premature design, the size of the Atlanta Class B over the downtown area has been 3,500 since ATL flights declined in 2009 and would be reduced so that all Class B feet since at least the mid-1970s and has could continue to do so over the next airspace beyond 30 NM would be provided adequate space for aircraft to decade due to the U.S. economic eliminated. transition that airspace. A 5,000-foot downturn. According to the commenter, One commenter wrote that the floor would not allow departures or the current Class B should be left in proposed ‘‘wings’’ in the four quadrants

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should be retained because eliminating would cause the compression of VFR and west sides of the area would make the wings exposes arriving aircraft traffic beneath the Class B and/or it more difficult for VFR aircraft to below 10,000 feet to transitory require pilots to fly further to deviate navigate around the city and get from nonparticipating aircraft around the Class B airspace. north-to-south and vice versa. The circumnavigating the Class B airspace. Commenters said that the changes could commenters asked that more waypoint- The FAA has reevaluated the increase the potential for midair driven VFR routes be developed around proposed Class B extensions. The collisions, reduce the airspace available the city, and that a ‘‘corridor’’ used by existing and proposed ‘‘wings’’ for avoiding Class D airspace areas and A80 to route aircraft over ATL be extended beyond the 30 NM Class B obstructions in the ATL terminal area, publicized and added to the Sectional lateral limit as provided in FAA Order and leave pilots with less time and Chart and be made a more routine JO 7400.2H. The vertical and lateral altitude to react to inflight emergency choice for VFR pilots. limits of the area are designed to contain situations or locate a suitable emergency Regarding the proposed 3,000 foot all instrument procedures within Class landing site. floor, the existing Class B floor in those B airspace. In this proposal, the outer The FAA acknowledges these areas is 3,500 feet MSL. Today, aircraft limits of the proposed Class B have been concerns and recognizes that landing at ATL are intercepting the reduced to a maximum of 30 NM from compression could occur for some VFR southern final approach course farther ATL to meet FAA policy and to address operations. However, with the existing from the airport than needed to meet the Ad Hoc Committee comments that the Class B configuration, VFR aircraft that present Class B separation criteria. ‘‘wings’’ should be reduced or are not in communication with ATC are During Triple ILS approaches, aircraft eliminated. currently mixing with turbine-powered are required to maintain 1,000 feet One commenter contended that ATL traffic. The FAA weighed the vertical separation until established on aircraft will be unable to identify the impacts to VFR pilots flying lower or the final approach courses. This lateral boundaries on the ‘‘45s’’ (Note: choosing to circumnavigate the Class B mandates an aircraft final approach the ‘‘45s’’ refers to those Class B airspace against the safety of having interception point that is two NM boundary lines currently described by large turbine-powered aircraft flying at farther from the airport than would be the ATL VORTAC 323°, 031°, 138° and altitudes that are not contained within required if the Class B floor was lowered 218° radials) because they would no Class B airspace. Considering the heavy to 3,000 feet. The proposed 3,000-foot longer be based on ATL VORTAC concentration of operations by all types floor would allow aircraft to be turned radials. In addition, the east and west of aircraft in the Atlanta terminal area, onto the final approach course closer to Class B boundaries would be difficult to we believe the operation of large the airport which would increase identify because they are defined by turbine-powered aircraft outside the efficiency, save fuel and reduce longitude lines rather than DME. Class B airspace poses a greater safety emissions. Additionally, lowering the The FAA has found that, in the risk. Lowering the floor of the Class B floor to 3,000 feet would allow Visual current Class B design, some of the airspace increases safety by segregating Approaches to be conducted more often, boundaries that are defined by radials large turbine-powered aircraft from which is the most efficient arrival and DME are the same areas where aircraft that may not be in contact with operation at ATL. The proposed 3,000 aircraft are consistently leaving the ATC. As always, it is the pilot’s foot floor would produce a safer Class B airspace. Due to the position of prerogative and responsibility to airspace environment for aircraft the ATL VORTAC, if radials were used evaluate these factors and determine the arriving at the world’s busiest airport. to describe the proposed realigned safest course of action for any given Flying VFR under the lowest floor of the ‘‘45s,’’ it would result in the designation flight. Class B airspace always requires the of more Class B airspace than is needed One commenter opposed the lowering pilot in command to evaluate traffic that to contain current operations. An of the Class B floor in the vicinity of may be flying overhead within the Class increasing number of general and PDK from 8,000 feet to 5,000 feet B as well as terrain, obstructions and business aviation users are now RNAV because it could cause compression of emergency landing options and or RNAV GPS equipped. Additionally, VFR aircraft given the fact that the PDK determine the best and safest course of pilots may request vectors to remain Class D airspace ceiling is 3,500 feet. action for the planned flight. Regarding clear of Class B airspace. The Ad Hoc The existing Class B floor above PDK waypoint-driven VFR routes, the Committee concurred with the use of is 8,000 feet, while immediately to the Atlanta TAC would be revised to GPS in defining certain area boundaries. east and south of PDK, the existing floor contain VFR flyways as well as GPS Many commenters were concerned is 6,000 feet. Under the proposed Class intersections/waypoints to assist VFR about the perceived impacts of the B changes, the floor of Class B airspace pilot navigation. proposed changes on VFR operations in above the southern half of the PDK Class In regard to the comment about A80’s the Atlanta terminal area. It was stated D airspace would be 5,000 feet; to the ‘‘corridor’’ over the top of Atlanta, this that the FAA did not fully determine the northeast, the floor would be 6,000 feet; is not the same thing as a ‘‘VFR impact on VFR aircraft flying beneath and to the northwest, the floor would be corridor’’ as described in the the Class B airspace. In response, a new 7,000 feet. This would still give pilots Clarification of Terms section, above. study was done, which found that, of room to navigate north of the PDK The A80 Satellite Sectors are assigned the 7,123 flights observed in the vicinity airport eastbound at 5,500 feet. It is true airspace within the Class B that can be of PDK, 141 were operating above 5,000 that the proposed change would used to transition aircraft north and feet MSL. With almost 98% of the eliminate the 5,500 foot VFR altitude south. This airspace delegation is aircraft flying in that area already over the southern half of the PDK Class adjusted based on the operational operating below 5,000 feet MSL, D airspace. This may require the pilot to runway configuration in use at ATL. It lowering the floor of Class B airspace to make a choice to fly eastbound below is a 6 NM wide north/south airspace 5,000 feet MSL would not significantly 3,000 feet AGL or to fly further north in area that overlies the approach side of impact VFR operations. order to fly above 3,000 feet AGL and the arrival runways. Its primary use is However, many commenters echoed below the Class B airspace. to route IFR aircraft departing airports concerns also raised by the Ad Hoc Other commenters argued that the north of VOR Federal airway V–18 that Committee that the lower Class B floors proposed 3,000 foot floor on the east are filed to destinations south of the

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Atlanta area. It is also used when satellite airports such as FTY and PDK. airspace can be transited at 5,500 feet operationally advantageous to route The existence of Class B airspace has no MSL while remaining outside the Class some aircraft northbound that are impact on delays from these airports. B and Class D airspace areas. landing at airports to the north and The determining factors for delays are Another commenter said that within A80’s airspace. This small, high normally traffic volume and weather. extending the Class B airspace to LZU traffic density ‘‘corridor,’’ encompassing No additional IFR aircraft would be would require pilots on approach to 5,000 to 6,000 feet, is used by air traffic introduced into the airspace over these Runway 7 to fly under the Class B shelf controllers to efficiently flow and meter airports, so the traffic that flows through which could discourage access by light Atlanta satellite airport aircraft. Since the affected airspace is already there. sport pilots and students. The the location of the ‘‘corridor’’ shifts Where aircraft fly today in that area is commenter asked that the Class B based on the direction of operations at where they would fly if the new boundary be moved farther from LZU to ATL, it would be impractical to publish airspace is implemented. The only allow several miles for extended the locations on aeronautical charts. difference is that, if the new Class B is downwind. Since the existing Class B Clearance into the area is based on implemented, those aircraft would be airspace extends out to 35 NM, today traffic and the workload of the Satellite contained within the Class B airspace. the LZU airport totally underlies a shelf Controllers. It is intended for controller IFR aircraft departing from satellite of Class B airspace. With the proposed operational use. Pilots may request use airports would not be artificially held Class B design, LZU airport would be of the ‘‘corridor’’ and controllers may down due to a change in the floor of the completely outside the Class B approve the request when appropriate. Class B airspace. Any IFR delays boundary. Aircraft approaching Runway VFR aircraft flying in this airspace are experienced by the satellite airports 7 may still need to fly under a 6,000 foot required to obtain a Class B clearance. should be of the same frequency and Class B floor, but this floor is well above Several commenters said that the FAA magnitude as those experienced today. traffic pattern altitude and leaves plenty should have considered establishing There is also a perception that IFR of room for aircraft to maneuver. The VFR corridors through the Class B aircraft departing satellite airports are proposed design would be much less airspace to offset the issue of flying kept out of the Class B airspace. This is restrictive to LZU airport operations beneath the lower Class B floors. The not the case. With the proposed Class B than the existing airspace. FAA considered a VFR corridor, airspace, aircraft departing satellite One commenter believed that however, since a VFR corridor permits airports would be worked within Class lowering the Class B floor would cause flight through Class B airspace without B airspace much more often. For the existing VFR ‘‘corridors’’ to be an ATC clearance or radio example, a turbojet aircraft departing within Class B airspace, thus defeating communications requirements, the idea Runway 8 at FTY going eastbound is the purpose of the ‘‘corridors.’’ ATL was not adopted due to the high volume normally assigned 5,000 feet MSL does not have VFR corridors in either of traffic, the amount of airspace shortly after takeoff. Today, that aircraft the current or proposed airspace design. required to create a useful corridor, and is outside Class B airspace. If the The FAA believes that the commenter is the potential effects on safety proposed Class B change is referring, instead, to the charted VFR considering weather and missed implemented, that same aircraft would flyways depicted on the reverse side of approach procedures. still be assigned 5,000 feet but would be the Atlanta VFR Terminal Area Chart. If One commenter requested that the contained within Class B airspace. the proposed airspace is implemented, FAA establish ‘‘traffic dependent A pilot who flies out of Gwinnett these flyways will be amended based on routes’’ that could be used to allow County Airport-Briscoe Field (LZU) (in the Class B changes. The FAA intends more direct routes to FTY and PDK comparing his current operations below to develop additional flyways and to when traffic, time and weather the existing 6,000 foot floor, to the north add GPS waypoints to the chart to assist conditions permit. ‘‘Traffic dependent of Atlanta) stated that if the Class B floor pilots in navigating around the area. The routes’’ are currently being discussed is lowered to 5,000 feet in that area, he FAA has no plans to develop a VFR with A80 separately from this Class B could not legally fly VFR at 3,000 feet corridor within the Atlanta Class B proposal process. Class B airspace AGL. Aircraft operating below Class B airspace area because the airspace is would have no effect on the airspace north of Atlanta may transition simply too congested. implementation of ‘‘traffic dependent west bound at 4,500 feet MSL and Over 90 comments concerned impacts routes.’’ eastbound at 3,500 feet MSL. These of the proposal on the communities One commenter noted a lack of IFR altitudes ensure that VFR aircraft are around PDK airport, including: arrival routes into the satellite airports outside of Class B airspace and will Increased noise and air pollution; lower for use by smaller, but technically remain above the FTY Class D airspace property values and inability to sell advanced, aircraft. Currently, the DIFFI area. In this instance, there are at least homes; detrimental effect on local ONE, JRAMS TWO (RNAV) and the three options for VFR aircraft: businesses; reduced tax revenues; and TRBOW EIGHT Standard Terminal 1. Alter course to avoid the FTY, decreased quality of life. Noise Arrivals (STARs) are in effect. These Dobbins ARB (MGE), DeKalb-Peachtree complaints were a recurring issue STARs were designed to facilitate all (PDK) and Cobb County-McCollum because many commenters believed that types of aircraft inbound from the south Field (RYY) Class D airspace areas at lowering the floor of the Class B of Atlanta that have filed to airports 3,500 MSL; airspace would cause aircraft to fly north of Atlanta that are within A80’s 2. Ask for VFR Flight Following from lower over residential areas resulting in airspace. It is important to note that A80. If VFR aircraft are receiving VFR increased noise for their communities. these STARs are also designed to keep Flight Following from A80, they can The FAA is not proposing to change aircraft that are not landing at the transit these Class D airspace areas existing air traffic procedures or flight Atlanta Airport safely outside of the without having to contact each paths, therefore, where aircraft fly today Atlanta base leg arrival traffic as well as individual control tower; or is where they would continue to fly if Atlanta departing traffic. 3. Fly just north of an east/west line the proposed Class B changes are Several commenters suggested that over PDK which will put VFR aircraft in implemented. As stated previously, the lowering the Class B floors would result an area where the lower limit of Class reason for the proposed Class B change in increased IFR departure delays from B is either 6,000 or 7,000 MSL. This is to comply with agency policy to

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contain large turbine-powered aircraft the outer lateral dimensions of the area rule as discussed in the Background arriving and departing ATL within Class for more efficient airspace utilization, section, above. B airspace on the routes they are and update the Atlanta airport Area F. Area F consists of that currently flying. Therefore, the Class B geographic position to reflect the airspace extending upward from 5,000 changes should not cause an increase of current airport survey information. The feet MSL. The area currently is over-flight noise from what residents are Class B airspace ceiling would remain at composed of four small segments, one experiencing today. 12,500 feet MSL. The proposed southwest of ATL, one southeast and Additionally, there is a perception revisions of the Atlanta Class B airspace the two segments east and west of ATL that Hartsfield jets will begin flying area are outlined below. that were designated in the October lower over residential areas near PDK Area A. Area A is the surface area that 2006 rule. These four areas would be airport due to the lowering of the Class extends from the ground up to 12,500 removed from Area F and incorporated B floor. The FAA does not intend to feet MSL. The FAA is not proposing any into other subareas with lower floors. change where aircraft fly today. ATL changes to Area A. The modified Area F would be located arrivals are operating in the area in Area B. A revised Area B is proposed north of ATL within the area bounded question at 6,000 feet today and they consisting of that airspace extending on the south by a line 8 miles north of will continue to operate at that altitude upward from 2,500 feet MSL east and and parallel to the Runway 08L/26R in the future. As previously discussed, west of the Atlanta airport. The revised localizer courses, and on the north by a the purpose of the proposed lowering of Area B would combine two existing line 13.5 miles north of and parallel to the Class B floor to 5,000 feet is to subareas, B and C. The existing area B the above mentioned localizer courses. encompass ATL departures that are consists of a small segment of airspace, On the east and west, Area F would be already operating in that area at 5,000 east of the ATL airport that extends bounded approximately by the 30 NM feet underneath the arrivals (but outside upward from 2,100 feet MSL between radius of the Atlanta VORTAC. The the confines of Class B airspace). ATL the 7 and 9-mile radii of the Atlanta effect of this change would be to lower arrival flows could not be lowered from VORTAC. The existing Area C includes the floor of Class B airspace from 6,000 6,000 feet to 5,000 feet without also that airspace extending upward from feet MSL to 5,000 feet MSL in the lowering the departures down to 4,000 2,500 feet MSL, east and west of Atlanta described area. Area G. Area G contains that airspace feet in order to be below the arrivals airport between the 7 and 12 NM radius extending upward from 6,000 feet MSL. with proper separation. This would of the Atlanta VORTAC. With this Currently, Area G consists of airspace require the Class B floor to be even change, the existing 2,100-foot floor of north of ATL, which would largely be lower at 4,000 feet, but that is not being Class B airspace would be eliminated. considered. Since arrivals and incorporated into the revised Area F. Area C. Area C is redefined to include departures to both ATL and PDK will The revised Area G would consist of the that airspace that extends upward from continue to operate at the same altitudes airspace bounded approximately 3,000 feet MSL (as described above, the as they do today, none of the above between the Atlanta VORTAC 30 NM existing Area C extends upward from impacts would result from the proposed radius on the south, and a line 12 miles 2,500 feet MSL). The new Area C would Class B changes. In fact, the vast south of and parallel to the Runway 10/ lower the existing floor of Class B majority of noise being experienced by 28 localizer courses. residents is caused by aircraft at or airspace from 3,500 feet MSL to 3,000 Area H. This area consists of two below 3,000 feet MSL when taking off feet MSL. Currently, Area D includes airspace segments that extend upward from, or landing at, PDK. These aircraft the airspace extending upward from from 5,000 feet MSL, one located will continue to fly at those altitudes 3,500 feet MSL. With this proposal, southwest and one located southeast of regardless of any changes made to the most of the airspace now in Area D ATL. The Area H segments would be Atlanta Class B airspace. The proposed would be incorporated into the new bounded on the north by a line 12 miles Class B changes would have no effect, Area C (with the lower 3,000-foot floor). south of and parallel to the Runway 10/ positive or negative, on noise generated Area D. This area would still consist 28 localizer courses and on the south by by aircraft arriving or departing PDK. of that airspace extending upward from the 30 NM radius of the Atlanta Therefore, lowering the floor of Class B 3,500 feet MSL. However, it would be VORTAC, excluding the airspace within airspace to 5,000 feet MSL would not significantly reduced in size due to the Area G as described above. have an appreciable effect on the modification of Area C, described above. Area I. Area I is redefined to consist amount of noise experienced by The revised Area D would include only of the airspace extending upward from residents in the neighborhoods that airspace bounded on the south by 7,000 feet MSL north of ATL. The surrounding PDK. a line 4 miles north of and parallel to revised Area I would be bounded on the Two commenters wrote that a new the Runway 08L/26R localizer course, north side by the 30 NM radius of the reliever airport should be constructed in and on the north by a line 8 miles north Atlanta VORTAC; on the south by a line the Atlanta area to support the growth of and parallel to the above mentioned 13.5 NM north of and parallel to the of air travel and preclude the need for localizer courses. The revised Area D Runway 08L/26R localizer courses; on modifying the Class B airspace. This would be bounded on the west by long. the east by a line from lat. 33°52′25″ N., ° ′ ″ suggestion is outside the scope of this 84 51 38 W., and on the east by long. long. 84°19′08″ W. direct to lat. ° ′ ″ proposed rulemaking effort. 84 00 32 W. 34°04′20″ N., long. 84°09′24″ W.; and on Area E. This area would continue to the west by a line from lat 33°53′28″ N., The Proposal include the airspace extending upward long. 84°36′07″ W. This change would The FAA is proposing an amendment from 4,000 feet MSL, but it would be lower the floor of Class B airspace from to Title 14, Code of Federal Regulations modified incorporating a small segment 8,000 feet MSL to 7,000 feet MSL in the (14 CFR) part 71 to modify the Atlanta of Class B airspace, south of ATL that defined area. Class B airspace area. This action currently extends upward from 6,000 Area J. Area J would be a new subarea (depicted on the attached chart) feet MSL. In addition, Area E would to describe that airspace extending proposes to lower the floor of Class B incorporate the two segments, currently upward from 6,000 feet MSL in two airspace to ensure the containment of extending upward from 5,000 feet MSL segments, one northwest and one large turbine-powered aircraft, reduce that were added by the October 2006 northeast, of ATL. One segment would

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abut the west side of Area I and the written assessment of the costs, benefits, Class B airspace. The minimum other segment would abut the east side and other effects of proposed or final vectoring altitude (based in part on of Area I. The two segments would abut rules that include a Federal mandate obstruction clearance) under most of the the northern boundary of Area F, with likely to result in the expenditure by proposed 3,000-foot floor is 2,500 feet. the 30 NM radius of the Atlanta State, local, or tribal governments, in the VFR aircraft can and do fly safely at VORTAC defining their northern edges. aggregate, or by the private sector, of 2,000 feet under the existing Class B Area J would lower part of the Class B $100 million or more annually (adjusted floor. Recognizing that some VFR airspace floor from 8,000 feet MSL to for inflation with base year of 1995). aircraft may elect to circumnavigate 6,000 feet MSL in the northwest and This portion of the preamble instead of flying lower, it is only a short northeast sections of the area. summarizes the FAA’s analysis of the deviation in distance and time would be If the above proposed changes are economic impacts of this proposed rule. needed to place the aircraft beneath a implemented, all existing Class B Department of Transportation Order higher Class B floor. airspace that lies outside the 30 NM DOT 2100.5 prescribes policies and The FAA intends to take actions that radius of the Atlanta VORTAC would be procedures for simplification, analysis, would increase the alternatives eliminated. These changes are being and review of regulations. If the available to VFR pilots. For instance, if proposed to ensure the containment of expected cost impact is so minimal that this proposal is adopted, the FAA large turbine-powered aircraft within a proposed or final rule does not intends to establish VFR Waypoints and Class B airspace as required by FAA warrant a full evaluation, this order Reporting Points to assist VFR pilot directives to enhance safety and the permits that a statement to that effect navigation, and to establish VFR routes efficient management of air traffic in the and the basis for it be included in the that can be used to circumnavigate the Atlanta, GA terminal area. preamble if a full regulatory evaluation Class B airspace or used as a The geographic coordinates in this of the cost and benefits is not prepared. predetermined route through the Class B proposal are stated in degrees, minutes Such a determination has been made for airspace when operations permit. In and seconds based on North American this proposed rule. The reasoning for addition to these new VFR waypoints, Datum 83. this determination follows: the FAA would establish RNAV T– Class B airspace areas are published This action proposes to modify the Routes within Class B airspace for in paragraph 3000 of FAA Order Atlanta, GA, Class B airspace area to transitioning over the top of ATL 7400.9V, dated August 9, 2011, and ensure the containment of aircraft airports. These various alternatives effective September 15, 2011, which is within Class B airspace, reduce should provide pilots with options that incorporated by reference in 14 CFR controller workload and enhance safety would assist them in navigating around 71.1. The Class B airspace area proposed in the Atlanta, GA, terminal area. It or beneath the Class B and/or to request in this document would be published lowers the Class B Airspace in some ATC clearance to cut through the Class subsequently in the Order. sections to encompass existing IFR B. The FAA believes that no more than traffic. Lowering the floor of the Class B a small percent of VFR traffic would Paperwork Reduction Act airspace would increase safety by The Paperwork Reduction Act of 1995 segregating large turbine-powered choose to travel longer, less efficient or (44 U.S.C. 3507(d)) requires that the aircraft from aircraft that may not be in more costly routes because safe flight FAA consider the impact of paperwork contact with ATC. It would also would still be possible beneath most of and other information collection increase safety and reduce air traffic the Class B airspace, A80 would burdens imposed on the public. We controller workload by reducing the continue to provide VFR services to have determined that there is no new number of radio communications that assist pilots in transiting the area, and information collection requirement air traffic controllers must use to inform only short course deviations would be associated with this final rule. IFR aircraft when they are leaving and needed if pilots decide to avoid the re-entering Class B airspace. This would areas with lower Class B floors. Regulatory Evaluation Summary reduce the amount of distraction that air The FAA would have to update maps Changes to Federal regulations must traffic controllers face in issuing these and charts to indicate the airspace undergo several economic analyses. communications and free radio time for modifications, but these documents are First, Executive Order 12866 and more important control instructions. IFR updated regularly. These modifications Executive Order 13563 directs that each traffic would not be rerouted as a result would be made within the normal Federal agency shall propose or adopt a of this proposal. updating process and therefore would regulation only upon a reasoned The change may cause some VFR not contribute to the cost of the rule determination that the benefits of the pilots to have to choose between flying since the updates would be as intended regulation justify its costs. lower, circumnavigating the area, or scheduled. Second, the Regulatory Flexibility Act requesting Class B service from A80 to The proposed rule redefines Class B of 1980 (Pub. L. 96–354) requires transition the area. This has the airspace boundaries to improve safety, agencies to analyze the economic potential of increasing costs to VFR would not require updating of materials impact of regulatory changes on small pilots if the alternative routes are longer, outside the normal update cycle, would entities. Third, the Trade Agreements take more time and burn more fuel. The not require rerouting of IFR traffic, and Act (Pub. L. 96–39) prohibits agencies FAA believes, however, that there is expected to possibly cause some VFR from setting standards that create would be minimal impact to VFR traffic to travel alternative routes which unnecessary obstacles to the foreign aircraft operating where the Class B are not expected to be appreciably commerce of the United States. In floor would be lowered. Where the floor longer than with the current airspace developing U.S. standards, the Trade would be lowered to 5,000 feet, an FAA design. The expected outcome would be Act requires agencies to consider sampling of VFR traffic found that 98 a minimal impact with positive net international standards and, where percent of 7123 VFR flights were benefits, and a regulatory evaluation appropriate, that they be the basis of already operating below 5,000 feet. was not prepared. The FAA requests U.S. standards. Fourth, the Unfunded Where the floor would be lowered to comments with supporting justification Mandates Reform Act of 1995 (Pub. L. 3,000 feet, we believe there is sufficient about the FAA determination of 104–4) requires agencies to prepare a airspace to allow safe flight below the minimal impact.

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FAA has, therefore, determined that compliance costs unique to small proposes to amend 14 CFR part 71 as this proposed rule is not a ‘‘significant entities. Please provide detailed follows: regulatory action’’ as defined in section economic analysis to support any cost 3(f) of Executive Order 12866, and is not claims. The FAA also invites comments PART 71—DESIGNATION OF CLASS A, ‘‘significant’’ as defined in DOT’s regarding other small entity concerns B, C, D, AND E AIRSPACE AREAS; AIR Regulatory Policies and Procedures. with respect to the proposed rule. TRAFFIC SERVICE ROUTES; AND REPORTING POINTS Initial Regulatory Flexibility International Trade Impact Assessment 1. The authority citation for part 71 Determination The Trade Agreements Act of 1979 continues to read as follows: The Regulatory Flexibility Act of 1980 (Pub. L. 96–39), as amended by the (Pub. L. 96–354) (RFA) establishes ‘‘as a Uruguay Round Agreements Act (Pub. Authority: 49 U.S.C. 106(g), 40103, 40113, principle of regulatory issuance that L. 103–465), prohibits Federal agencies 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– agencies shall endeavor, consistent with from establishing standards or engaging 1963 Comp., p. 389. the objectives of the rule and of in related activities that create § 71.1 [Amended] applicable statutes, to fit regulatory and unnecessary obstacles to the foreign 2. The incorporation by reference in informational requirements to the scale commerce of the United States. 14 CFR 71.1 of the Federal Aviation of the businesses, organizations, and Pursuant to these Acts, the Administration Order 7400.9V, Airspace governmental jurisdictions subject to establishment of standards is not Designations and Reporting Points, regulation. To achieve this principle, considered an unnecessary obstacle to dated August 9, 2011, and effective agencies are required to solicit and the foreign commerce of the United September 15, 2011, is amended as consider flexible regulatory proposals States, so long as the standard has a follows: and to explain the rationale for their legitimate domestic objective, such the actions to assure that such proposals are protection of safety, and does not Paragraph 3000 Subpart B—Class B given serious consideration.’’ The RFA operate in a manner that excludes Airspace covers a wide-range of small entities, imports that meet this objective. The * * * * * including small businesses, not-for- statute also requires consideration of ASO GA B Atlanta, GA [Revised] profit organizations, and small international standards and, where Hartsfield-Jackson Atlanta International governmental jurisdictions. appropriate, that they be the basis for Agencies must perform a review to Airport (Primary Airport) U.S. standards. The FAA has assessed (Lat. 33°38′12″ N., long. 84°25′41″ W.) determine whether a rule will have a the potential effect of this proposed rule Atlanta VORTAC significant economic impact on a and determined that it would have only (Lat. 33°37′45″ N., long. 84°26′06″ W.) substantial number of small entities. If a domestic impact and therefore no Boundaries the agency determines that it will, the affect on international trade agency must prepare a regulatory Area A. That airspace extending upward flexibility analysis as described in the Unfunded Mandates Assessment from the surface to and including 12,500 feet MSL, bounded on the east and west by a 7- RFA. Title II of the Unfunded Mandates However, if an agency determines that mile radius of the Atlanta VORTAC, on the Reform Act of 1995 (Pub. L. 104–4) south by a line 4 miles south of and parallel a rule is not expected to have a requires each Federal agency to prepare to the Runway 10/28 localizer courses, and significant economic impact on a a written statement assessing the effects on the north by a line 4 miles north of and substantial number of small entities, of any Federal mandate in a proposed or parallel to the Runway 08L/26R localizer section 605(b) of the RFA provides that final agency rule that may result in an courses; excluding the Atlanta Fulton County the head of the agency may so certify expenditure of $100 million or more (in Airport-Brown Field, GA, Class D airspace and a regulatory flexibility analysis is area. 1995 dollars) in any one year by State, Area B. That airspace extending upward not required. The certification must local, and tribal governments, in the include a statement providing the from 2,500 feet MSL to and including 12,500 aggregate, or by the private sector; such feet MSL, bounded on the east and west by factual basis for this determination, and a mandate is deemed to be a ‘‘significant a 12-mile radius of the Atlanta VORTAC, on the reasoning should be clear. regulatory action.’’ The FAA currently the south by a line 4 miles south of and The proposed rule is expected to uses an inflation-adjusted value of parallel to the Runway 10/28 localizer improve safety by redefining Class B $143.1 million in lieu of $100 million. courses, and on the north by a line 4 miles airspace boundaries and would impose This proposed rule does not contain north of and parallel to the Runway 08L/26R localizer courses; excluding the Atlanta only minimal costs because it would not such a mandate; therefore, the require rerouting of IFR traffic, could Fulton County Airport-Brown Field, GA, requirements of Title II of the Act do not Class D airspace area and that airspace possibly cause some VFR traffic to travel apply. alternative routes that are not expected contained in Area A. Environmental Review Area C. That airspace extending upward to be appreciably longer than with the from 3,000 feet MSL to and including 12,500 current airspace design, and would not This proposal will be subject to an feet MSL, bounded on the east by long. require updating of materials outside environmental analysis in accordance 84°00′32″ W., on the west by long. 84°51′38″ the normal update cycle. Therefore, the with FAA Order 1050.1E, W., on the south by a line 8 miles south of expected outcome would be a minimal ‘‘Environmental Impacts: Policies and and parallel to the Runway 10/28 localizer economic impact on small entities Procedures,’’ prior to any FAA final courses, and on the north by a line 4 miles affected by this rulemaking action. regulatory action. north of and parallel to the Runway 08L/26R Therefore, the FAA certifies this localizer courses; excluding that airspace proposed rule, if promulgated, would List of Subjects in 14 CFR Part 71 contained in Areas A and B. not have a significant impact on a Area D. That airspace extending upward Airspace, Incorporation by reference, from 3,500 feet MSL to and including 12,500 substantial number of small entities. Navigation (air). feet MSL, bounded on the east by long. The FAA solicits comments regarding ° ′ ″ ° ′ ″ The Proposed Amendment 84 00 32 W., on the west by long. 84 51 38 this determination. Specifically, the W., on the south by a line 4 miles north of FAA requests comments on whether the In consideration of the foregoing, the and parallel to the Runway 08L/26R localizer proposed rule creates any specific Federal Aviation Administration courses, and on the north by a line 8 miles

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north of and parallel to the Runway 08L/26R Area G. That airspace extending upward feet MSL bounded on the north by the 30- localizer courses. from 6,000 feet MSL to and including 12,500 mile radius of the Atlanta VORTAC, on the Area E. That airspace extending upward feet MSL bounded on the north by a line 12 east by a line from lat. 33°52′25″ N., long. from 4,000 feet MSL to and including 12,500 miles south of and parallel to the Runway 10/ 84°19′08″ W. direct to lat. 34°04′20″ N., long. feet MSL, bounded on the east by long. 28 localizer courses, on the east by a line 84°09′24″ W., on the south by a line 13.5 ° ′ ″ ° ′ ″ 83°54′04″ W., on the west by long. 84°57′41″ from lat. 33 25 20 N., long. 84 16 49 W. miles north of and parallel to the Runway ° ′ ″ ° ′ ″ W., on the south by a line 12 miles south of direct to lat. 33 15 33 N., long. 84 01 55 W., 08L/26R localizer courses, and on the west ° ′ ″ and parallel to the Runway 10/28 localizer on the south by a 30-mile radius of the by a line from lat. 33 52 28 N., long. ° ′ ″ ° ′ ″ courses and on the north by a line 8 miles Atlanta VORTAC, and on the west by a line 84 36 07 W. direct to lat. 34 01 40 N., long. from lat. 33°25′25″ N., long. 84°33′32″ W. ° ′ ″ north of and parallel to the Runway 08L/26R 84 47 55 W. direct to lat. 33°18′26″ N., long. 84°42′56″ W., localizer courses; excluding that airspace Area J. That airspace extending upward thence south via long. 84°42′56″ W. from 6,000 feet MSL to and including 12,500 contained in Areas A, B, C, and D. Area H. That airspace extending upward feet MSL within a 30-mile radius of the Area F. That airspace extending upward from 5,000 feet MSL to and including 12,500 Atlanta VORTAC north of a line 13.5 miles from 5,000 feet MSL to and including 12,500 feet MSL, within a 30-mile radius of the north of and parallel to the Runway 08L/26R feet MSL, within a 30-mile radius of the Atlanta VORTAC south of a line 12 miles localizer courses; excluding that airspace Atlanta VORTAC and bounded on the east by south of and parallel to the Runway 10/28 within the lateral limits of area I. long. 83°54′04″ W., on the south by a line 8 localizer courses, bounded on the west by Issued in Washington, DC, on January 19, miles north of and parallel to the Runway long 84°57′41″ W. and on the east by long. 2012. 08L/26R localizer courses, on the west by 83°54′04″ W.; excluding that airspace within long. 84°57′41″ W., and on the north by a line the lateral limits of area G. Gary A. Norek, 13.5 miles north of and parallel to the Area I. That airspace extending upward Acting Manager, Airspace, Regulations and Runway 08L/26R localizer courses. from 7,000 feet MSL to and including 12,500 ATC Procedures Group.

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[FR Doc. 2012–2072 Filed 2–2–12; 8:45 am] DEPARTMENT OF COMMERCE SUMMARY: Import Administration (‘‘IA’’) BILLING CODE 4910–13–P issues this proposed rule for the International Trade Administration purpose of withdrawing regulations pertaining to imports of cotton woven 15 CFR Part 336 fabric and short supply procedures. Both sets of regulations are obsolete. 19 CFR Part 357 DATES: To ensure consideration, RIN 0625–AA90 comments must be received no later than April 3, 2012. Withdrawal of Regulations Pertaining ADDRESSES: You may submit comments to Imports of Cotton Woven Fabric and on this proposal to withdraw these Short Supply Procedures; Opportunity regulations by one of the two following for Public Comment methods: AGENCY: Import Administration, Electronic Submission: All comments International Trade Administration, must be submitted through the Federal Department of Commerce. eRulemaking Portal at http:// www.regulations.gov, Docket No. ITA– ACTION: Proposed rule. 2011–0004, unless the commenter does

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not have access to the Internet. All Within the Department’s Plan, economy, a sector of the economy, comments should be addressed to the International Trade Administration productivity, competition, jobs, the Secretary of Commerce, Attention: indicated that IA intended to withdraw environment, public health, or safety. Robert Goodyear, Director, Office of two groups of regulations which it Id. at 51738. Operations Support, Import determined are obsolete. Paperwork Reduction Act of 1995 Administration, ITA, Room 3099–A, The regulatory provisions titled U.S., Department of Commerce, 14th ‘‘Imports of Cotton Woven Fabric,’’ This proposed rule contains no new Street and Constitution Ave. NW., codified at 15 CFR 336.1–336.5, are no collection of information subject to the Washington, DC 20230. Any questions longer relevant. They were implemented Paperwork Reduction Act of 1995, 44 concerning file formatting, document pursuant to the Tax Relief and Health U.S.C. Chapter 35. conversion, access on the Internet, or Care Act of 2006, at Division C, Title IV, Executive Order 13132 other electronic filing issues should be Section 406(b)(1) (Pub. L. 109–432) addressed to Andrew Lee Beller, Import (codified in the Harmonized Tariff This proposed rule does not contain Administration Webmaster, at (202) Schedule of the United States, per 19 policies with federalism implications as 482–0866, email address: webmaster- U.S.C. 3004) (2006). The Tax Relief and that term is defined in section 1(a) of [email protected]. Health Care Act of 2006 set forth tariff Executive Order 13132, dated August 4, Mail: Commenters that do not have rate quotas for cotton woven fabric and 1999 (64 FR 43255) (August 10, 1999). access to the Internet may submit the the regulatory provisions at issue Environmental Impact original and two copies of each set of provide for the administration of comments by mail or hand delivery/ allocations of those quotas by IA. The ITA has determined pursuant to 21 courier to the names and addresses interim regulations were issued in 2007, CFR 25.30 that this action is of a type listed above. Mark the outside of the and then adopted without change, with that does not individually or envelope ‘‘Comments on proposed an effective date of July 10, 2008. cumulatively have a significant effect on Withdrawal of Regulations Pertaining to Imports of Certain Cotton Shirting the human environment. Therefore, Imports of Cotton Woven Fabric and Fabric: Implementation of Tariff Rate neither an environmental assessment Short Supply Procedures.’’ Quota Established Under the Tax Relief nor an environmental impact statement is required. FOR FURTHER INFORMATION CONTACT: and Health Care Act of 2006 (Interim Robert Goodyear, Director, Office of Final Rule), 72 FR 40235 (July 24, 2007); Regulatory Flexibility Act Imports of Certain Cotton Shirting Operations Support, Import Under the Regulatory Flexibility Act Fabric: Implementation of Tariff Rate Administration, U.S. Department of (as amended by the Small Business Quota Established Under the Tax Relief Commerce, at (202) 482–5194 or Scott Regulatory Enforcement Fairness Act and Health Care Act of 2006 (Final McBride, Senior Attorney, Office of the (SBREFA) of 1996; 5 U.S.C. 601 et seq.), Rule), 73 FR 39585 (July 10, 2008). Chief Counsel for Import whenever a Federal agency is required However, the tariff rate quota on cotton Administration, U.S. Department of to publish a notice of rulemaking for woven fabric expired on December 31, Commerce, at (202) 482–6292. any proposed or final rule, it must 2009. Accordingly, these regulations are SUPPLEMENTARY INFORMATION: prepare, and make available for public obsolete and should be withdrawn. Background The regulations pertaining to ‘‘Short comment, a regulatory flexibility analysis that describes the effect of the President Barack Obama issued Supply Procedures,’’ which are codified at 19 CFR 357.101–111, are also no rule on small entities (i.e., small Executive Order 13563 on January 18, businesses, small organizations, and 2011, titled ‘‘Improving Regulation and longer relevant. These regulations were issued pursuant to Section 4(b) of the small government jurisdictions). Regulatory Review.’’ The Executive However, no regulatory flexibility Order directed all agencies, to ‘‘develop Steel Trade Liberalization Program Implementation Act (Pub. L. 101–221) analysis is required if the head of an and submit’’ to the Office of Information agency certifies that the rule will not and Regulatory Affairs plans under (1989). Short Supply Procedures (Interim—Final Rules), 55 FR 1348 (Jan. have a significant economic impact on which agencies, ‘‘consistent with law a substantial number of small entities. and [their] resources and regulatory 12, 1990). They pertain to voluntary restraints on certain steel imports from SBREFA amended the Regulatory priorities,’’ will ‘‘periodically review Flexibility Act to require Federal [their] existing significant regulations to October 1, 1989 through March 31, 1992, and IA was tasked with making agencies to provide a statement of the determine whether any such regulations factual basis for certifying that a rule should be modified, streamlined, short supply determinations under these regulations. IA has determined that will not have a significant economic expanded or repealed so as to make the impact on a substantial number of small agency’s regulatory program more these regulations should also be withdrawn because they are obsolete, as entities. The proposed rule would have effective or less burdensome in no impact on small entities because achieving the regulatory objectives.’’ the associated import restraints have not affected U.S. trade for over 19 years. both sets of regulations are obsolete and The Executive Order states that one of this rule simply makes a technical the purposes of implementing a program Classification correction by withdrawing these to perform a ‘‘retrospective analysis of obsolete regulations. existing rules’’ is to withdraw Executive Order 12866 regulations that are ‘‘outmoded, It has been determined that this Proposed Effective Date ineffective, insufficient, or excessively proposed rule is not significant for ITA is proposing that any final rule burdensome.’’ purposes of Executive Order 12866 of that may issue based upon this In August 2011, the U.S. Department September 30, 1993 (‘‘Regulatory proposed rule become effective upon its of Commerce issued its Plan for Planning and Review’’) (58 FR 51734) publication in the Federal Register. Retrospective Analysis of Existing (October 4, 1993). Neither set of Rules. < http://open.commerce.gov/ regulations has an annual effect on the Comments news/2011/08/23/commerce-plan- economy of $100 million or more, or Parties are invited to comment on retrospective-analysis-existing-rules>. adversely affects in a material way the ITA’s Proposed Withdrawal of

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Regulations Pertaining to Imports of DEPARTMENT OF THE TREASURY published in the Federal Register on Cotton Woven Fabric and Short Supply Tuesday, November 8, 2011 (76 FR Procedures within April 3, 2012. All Internal Revenue Service 69172). submitted comments must be public The rules of 26 CFR 601.601(a)(3) and submitted pursuant to the 26 CFR Part 1 apply to the hearing. A period of 10 minutes is allotted to each person for directions under the ADDRESSES [REG–157714–06] heading. ITA will not accept comments presenting oral comments. After the accompanied by a request that part or RIN 1545–BG43 deadline has passed, persons who have all of the material be treated submitted written comments and wish Determination of Governmental Plan confidentially because of its business to present oral comments at the hearing Status must submit an outline of the topics to proprietary nature or for any other be discussed and the amount of time to reason. All comments responding to this AGENCY: Internal Revenue Service (IRS), be devoted to each topic (a signed notice will be a matter of public record Treasury. original and four copies) by June 18, and will be available for inspection at ACTION: Notice of public hearing on 2012. Import Administration’s Central advanced notice of proposed The IRS will prepare an agenda Records Unit (Room 7046 of the Herbert rulemaking. containing the schedule of speakers. C. Hoover Building) and on the Copies of the agenda will be made SUMMARY: Department’s Web site at http:// This document announces a available free of charge at the hearing. www.trade.gov/ia/. public hearing on an advance notice of Because of access restrictions, the IRS proposed rulemaking, (REG–157714–06) will not admit visitors beyond the List of Subjects relating to the determination of immediate entrance area more than 30 governmental plans. This notice 15 CFR Part 336 minutes before the hearing. For supersedes the notice of public hearing information about having your name Imports, Quotas, Reporting and published in the Federal Register on placed on the building access list to Monday, January 23, 2012 (77 FR 3202) recordkeeping, Tariffs, Textiles. attend the hearing, see the FOR FURTHER that announced a public hearing for 19 CFR Part 357 INFORMATION CONTACT section of this June 5, 2012. This notice also extends document. the comment period for the submission Imports, Reporting and recordkeeping of public comments. Guy R. Traynor, requirements, Steel. DATES: The public hearing is scheduled Federal Register Liaison, Legal Processing Division, Publications and Regulations 15 CFR PART 336—IMPORTS OF for Monday, July 9, 2012, at 10 a.m. in the auditorium of the Internal Revenue Branch, Associate Chief Counsel (Procedure COTTON WOVEN FABRIC and Administration). Building. The IRS must receive outlines [FR Doc. 2012–2499 Filed 2–2–12; 8:45 am] Accordingly, under the authority of the topics to be discussed at the BILLING CODE 4830–01–P given pursuant to the Tax Relief and public hearing by June 18, 2012. Health Care Act of 2006, at Division C, ADDRESSES: The public hearing is being Title IV, Section 406(a)(1) (Pub. L. 109– held in the Internal Revenue Building, DEPARTMENT OF THE TREASURY 432)(2006) (titled ‘‘Temporary Duty 1111 Constitution Avenue NW., Reductions for Certain Cotton Shirting Washington, DC. Due to building Internal Revenue Service Fabric’’ and listing 12/31/2009 as the security procedures, visitors must enter end date for the tariff rate quota), ITA at the Constitution Avenue entrance. In 26 CFR Part 1 addition, all visitors must present photo proposes to amend 15 CFR chapter III by [REG–133223–08] removing part 336. identification to enter the building. Mail outlines to CC:PA:LPD:PR (REG– RIN 1545–BI19 19 CFR PART 357—SHORT SUPPLY 157714–06), Room 5205, Internal Indian Tribal Government Plans PROCEDURES Revenue Service, POB 7604, Ben Franklin Station, Washington, DC AGENCY: Internal Revenue Service (IRS), Accordingly, under the authority 20044. Submissions may be hand- Treasury. delivered Monday through Friday given by Section 4(b) of the Steel Trade ACTION: Notice of public hearing on Liberalization Program Implementation between the hours of 8 a.m. and 4 p.m. advance notice of proposed rulemaking. Act (Pub. L. 101–221), which by its to CC:PA:LPD:PR (REG–157714–06), terms was limited to imports through Couriers Desk, Internal Revenue SUMMARY: This document announces a March 31, 1992, ITA proposes to amend Service, 1111 Constitution Avenue NW., public hearing on an advance notice of Washington, DC or sent electronically 19 CFR chapter III by removing part 357. proposed rulemaking, (REG–133223–08) via the Federal eRulemaking Portal at relating to Indian tribal government Dated: January 26, 2012. www.regulations.gov (REG–157714–06). plans. This notice supersedes the notice Paul Piquado, FOR FURTHER INFORMATION CONTACT: of public hearing published in the Assistant Secretary for Import Concerning the proposed regulations, Federal Register on Monday, January Administration. Pamela Kinard at (202) 622–6060, and 23, 2012 (77 FR 3210) that announced [FR Doc. 2012–2227 Filed 2–2–12; 8:45 am] regarding the submission of public a public hearing for June 5, 2012. This BILLING CODE 3510–DS–P comments and the public hearing, Ms. notice also extends the public comment Oluwafunmilayo (Funmi) Taylor, at period for submission of public (202) 622–7180, (not toll-free numbers). comments. SUPPLEMENTARY INFORMATION: The DATES: The public hearing is scheduled subject of the public hearing is the for Tuesday, July 10, 2012, at 10 a.m. in advanced notice of proposed the auditorium of the Internal Revenue rulemaking (REG–157714–06) that was Building. The IRS must receive outlines

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of the topics to be discussed at the INFORMATION CONTACT section of this http://www.regulations.gov (IRS REG– public hearing by June 18, 2012. document. 115809–11). The public hearing will be held in the IRS Auditorium, Internal Guy R. Traynor, ADDRESSES: The public hearing is being Revenue Building, 1111 Constitution held in the Internal Revenue Building, Federal Register Liaison, Legal Processing Avenue NW., Washington, DC. 1111 Constitution Avenue NW., Division, Publications and Regulations Branch, Associate Chief Counsel (Procedure FOR FURTHER INFORMATION CONTACT: Washington, DC. Due to building and Administration) Concerning the regulations, Jamie security procedures, visitors must enter [FR Doc. 2012–2502 Filed 2–2–12; 8:45 am] Dvoretzky at (202) 622–6060; at the Constitution Avenue entrance. In BILLING CODE 4830–01–P concerning submission of comments, addition, all visitors must present photo the hearing, and/or being placed on the identification to enter the building. building access list to attend the Mail outlines to CC:PA:LPD:PR (REG– DEPARTMENT OF THE TREASURY hearing, Oluwafunmilayo (Funmi) 133223–08), room 5205, Internal Taylor) at (202) 622–7180 (not toll-free Internal Revenue Service Revenue Service, POB 7604, Ben numbers). Franklin Station, Washington, DC SUPPLEMENTARY INFORMATION: 26 CFR Part 1 20044. Submissions may be hand- Paperwork Reduction Act delivered Monday through Friday [REG–115809–11] The collection of information between the hours of 8 a.m. and 4 p.m. RIN 1545–BK23 to CC:PA:LPD:PR (REG–133223–08), contained in this notice of proposed rulemaking has been submitted to the Couriers Desk, Internal Revenue Longevity Annuity Contracts Office of Management and Budget for Service, 1111 Constitution Avenue NW., AGENCY: Internal Revenue Service (IRS), review in accordance with the Washington, DC or sent electronically Treasury. Paperwork Reduction Act of 1995 (44 via the Federal eRulemaking Portal at ACTION: Notice of proposed rulemaking U.S.C. 3507(d)). The collection of www.regulations.gov (REG–133223–08). and notice of public hearing. information in these proposed FOR FURTHER INFORMATION CONTACT: regulations is in § 1.401(a)(9)–6, A– SUMMARY: Concerning the proposed regulations, This document contains 17(a)(6) (disclosure that a contract is proposed regulations relating to the Pamela Kinard at (202) 622–6060, and intended to be a qualifying longevity purchase of longevity annuity contracts regarding the submission of public annuity contract) and § 1.6047–2 (an under tax-qualified defined contribution comments and the public hearing, Ms. initial report must be prepared and an plans under section 401(a) of the initial disclosure statement must be Oluwafunmilayo (Funmi) Taylor, at Internal Revenue Code (Code), section (202) 622–7180, (not toll-free numbers). furnished to qualifying longevity 403(b) plans, individual retirement annuity contract owners, and an annual SUPPLEMENTARY INFORMATION: The annuities and accounts (IRAs) under statement must be provided to subject of the public hearing is the section 408, and eligible governmental qualifying longevity annuity contract advanced notice of proposed section 457 plans. These regulations owners and their surviving spouses rulemaking (REG–133223–08) that was will provide the public with guidance containing information required to be published in the Federal Register on necessary to comply with the required furnished to the IRS). The information Tuesday, November 8, 2011 (76 FR minimum distribution rules under in § 1.401(a)(9)–6, A–17(a)(6), is 69188). section 401(a)(9). The regulations will required in order to notify participants affect individuals for whom a longevity and beneficiaries, plan sponsors, and The rules of 26 CFR 601.601(a)(3) annuity contract is purchased under the IRS that the proposed regulations apply to the hearing. A period of 10 these plans and IRAs (and their apply to a contract. The information in minutes is allotted to each person for beneficiaries), sponsors and the annual statement in § 1.6047–2 is presenting oral comments. After the administrators of these plans, trustees required in order to apply the dollar and deadline has passed, persons who have and custodians of these IRAs, and percentage limitations in § 1.401(a)(9)– submitted written comments and wish insurance companies that issue 6, A–17(b) and § 1.408–8, Q&A–12(b) to present oral comments at the hearing longevity annuity contracts under these and to comply with other requirements must submit an outline of the topics to plans and IRAs. This document also of the proposed regulations, and the be discussed and the amount of time to provides a notice of a public hearing on information in the initial report and be devoted to each topic (a signed these proposed regulations. disclosure statement in § 1.6047–2 is original and four copies) by June 18, DATES: Written or electronic comments required in order for individuals to 2012. must be received by May 3, 2012. understand the features and limitations The IRS will prepare an agenda Outlines of topics to be discussed at the of a qualifying longevity annuity containing the schedule of speakers. public hearing scheduled for June 1, contract. The information would be Copies of the agenda will be made 2012 must be received by May 11, 2012. used by plans and individuals to available free of charge at the hearing. ADDRESSES: Send submissions to: comply with the required minimum Because of access restrictions, the IRS CC:PA:LPD:PR (Reg–115809–11), room distribution rules. Comments on the collection of will not admit visitors beyond the 5203, Internal Revenue Service, P.O. Box 7604, Ben Franklin Station, information should be sent to the Office immediate entrance area more than 30 Washington DC 20044. Submissions of Management and Budget, Attn: Desk minutes before the hearing. For may be hand-delivered Monday through Officer for the Department of the information about having your name Friday between the hours of 8 a.m. and Treasury, Office of Information and placed on the building access list to 4 p.m. to: CC:PA:LPD:PR (Reg–115809– Regulatory Affairs, Washington, DC attend the hearing, see the FOR FURTHER 11), Courier’s Desk, Internal Revenue 20503, with copies to the Internal Service, 1111 Constitution Avenue NW., Revenue Service, Attn: IRS Reports Washington, DC, or sent electronically Clearance Officer, via the Federal eRulemaking Portal at SE:W:CAR:MP:T:T:SP; Washington, DC

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20224. Comments on the collection of not apply in the case of a 5-percent sections also provide that the Secretary information should be received by April owner or an IRA owner. may, by forms or regulations, prescribe 3, 2012. Comments are specifically If the entire interest of the participant the manner and time for filing these requested concerning: is not distributed by the required reports. Section 6693 prescribes Whether the proposed collection of beginning date, section 401(a)(9)(A) monetary penalties for failure to comply information is necessary for the proper provides that the entire interest of the with section 408(i), and sections 6652 performance of the functions of the IRS, participant must be distributed, and 6704 prescribe monetary penalties including whether the information will beginning not later than the required for failure to comply with section have practical utility; beginning date, in accordance with 6047(d). The accuracy of the estimated burden regulations, over the life of the Section 1.401(a)(9)–6 of the Income associated with the proposed collection participant or lives of the participant Tax Regulations sets forth the minimum of information; and a designated beneficiary (or over a distribution rules that apply to a defined How the quality, utility, and clarity of period not extending beyond the life benefit plan and to annuity contracts the information to be collected may be expectancy of the participant or the life under a defined contribution plan. enhanced; expectancy of the participant and a Under § 1.401(a)(9)–6, A–12, if an How the burden of complying with designated beneficiary). Section annuity contract held under a defined the proposed collections of information 401(a)(9)(B) prescribes required contribution plan has not yet been may be minimized, including through minimum distribution rules that apply annuitized, the interest of a participant the application of automated collection after the death of the participant. or beneficiary under that contract is techniques or other forms of information Section 401(a)(9)(G) provides that any treated as an individual account for technology; and distribution required to satisfy the purposes of section 401(a)(9). Thus, the Estimates of capital or start-up costs incidental death benefit requirement of value of that contract is included in the and costs of operation, maintenance, section 401(a) is treated as a required account balance used to determine and purchase of service to provide minimum distribution. required minimum distributions from information. Section 403(b) plans, IRAs described the participant’s individual account. Estimated total average annual in section 408, and eligible deferred If an annuity contract has been recordkeeping burden: 35,661 hours. compensation plans under section annuitized, the periodic annuity Estimated average annual burden per 457(b) also are subject to the required payments must be nonincreasing, response: 10 minutes. minimum distribution rules of section subject to certain exceptions that are set Estimated number of responses: 401(a)(9) pursuant to sections 408(a)(6) forth in § 1.401(a)(9)–6, A–14. In 213,966. and (b)(3), 403(b)(10), and 457(d)(2), addition, annuity payments must satisfy Estimated number of recordkeepers: respectively, and the regulations under the MDIB requirement of section 150. those sections. However, pursuant to 401(a)(9)(G). Under § 1.401(a)(9)–6, A– An agency may not conduct or section 408A(c)(5), the minimum 2(b), if a participant’s sole beneficiary, sponsor, and a person is not required to distribution and minimum distribution as of the annuity starting date, is his or respond to, a collection of information incidental benefit (MDIB) requirements her spouse and the distributions satisfy unless it displays a valid control do not apply to Roth IRAs during the section 401(a)(9) without regard to the number assigned by the Office of life of the participant. MDIB requirement, the distributions to Management and Budget. Section 408(i) provides that the the participant are deemed to satisfy the Books or records relating to a trustee of an individual retirement MDIB requirement. However, if collection of information must be account and the issuer of an endowment distributions are in the form of a joint retained as long as their contents may contract or an individual retirement and survivor annuity for a participant become material in the administration annuity must make reports regarding and a non-spouse beneficiary, the MDIB of any internal revenue law. Generally, such account, contract, or annuity to the requirement is not satisfied unless the tax returns and tax return information Secretary and to the individuals for periodic annuity payment payable to the are confidential, as required by 26 whom the account, contract, or annuity survivor does not exceed an applicable U.S.C. 6103. is maintained with respect to such percentage of the amount that is payable matters as the Secretary may require. to the participant, with the applicable Background Pursuant to this provision, the IRS percentage to be determined using the This document contains proposed prescribes Form 5498 (IRA Contribution table in § 1.401(a)(9)–6, A–2(c). amendments to the Income Tax Information), which requires annual The regulations under sections Regulations (26 CFR part 1) under reporting with respect to an IRA, 403(b)(10), 408(a)(6), 408(b)(3), sections 401(a)(9), 403(b)(10), 408(a)(6), including a statement of the fair market 408A(c)(5), and 457(d)(2) prescribe how 408(b)(3), 408A(c)(5), and 6047(d) of the value of the IRA as of the prior the required minimum distribution Code. December 31. Section 6047(d) states that rules apply to other types of retirement Section 401(a)(9) prescribes required the Secretary shall by forms or plans and accounts. Section 1.403(b)– minimum distribution rules for a regulations require that the employer 6(e)(1) provides that a section 403(b) qualified trust under section 401(a). In maintaining, or the plan administrator contract must meet the requirements of general, under these rules, distribution of, a plan from which designated section 401(a)(9). Section 1.403(b)– of each participant’s entire interest must distributions (as defined in section 6(e)(2) provides, with certain begin by the required beginning date. 3405(e)(1)) may be made, and any exceptions, that the section 401(a)(9) The required beginning date generally is person issuing any contract under required minimum distribution rules are April 1 of the calendar year following which designated distributions may be applied to section 403(b) contracts in the later of (1) the calendar year in made, make returns and reports accordance with the provisions in which the participant attains age 701⁄2 or regarding the plan or contract to the § 1.408–8. Section 1.408–8, Q&A–1, (2) the calendar year in which the Secretary, to the participants and provides, with certain modifications, participant retires. However, the ability beneficiaries of the plan or contract, and that an IRA is subject to the rules of to delay distribution until the calendar to such other persons as the Secretary §§ 1.401(a)(9)–1 through 1.401(a)(9)–9. year in which a participant retires does may by regulations prescribe. These One such modification is set forth in

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§ 1.408–8, Q&A–9, which prescribes a commutation benefit, cash surrender existing regulations under section rule under which an IRA generally does value, or other similar feature. 401(a)(9) limits the extent to which tax- not fail to satisfy section 401(a)(9) The Treasury Department and the IRS favored retirement savings can be used merely because the required minimum have concluded that there are for purposes other than retirement distribution with respect to the IRA is substantial advantages to modifying the income (such as transmitting distributed instead from another IRA. required minimum distribution rules in accumulated wealth to a participant’s Section 1.408A–6, Q&A–14(a), provides order to facilitate a participant’s heirs). Limiting the special treatment for that no minimum distributions are purchase of a deferred annuity that is a longevity annuity to those contracts scheduled to commence at an advanced required to be made from a Roth IRA purchased with no more than 25 percent age—such as age 80 or 85—using a during the life of the participant. of the account balance is consistent with Section 1.408A–6, Q&A–15, provides portion of his or her account. Under the proposed amendments to these rules, the intent of section 401(a)(9)(A) that a participant who is required to because, for a typical participant who receive minimum distributions from his prior to annuitization, the participant will need to draw down the entire or her traditional IRA cannot choose to would be permitted to exclude the value account balance during the period prior take the amount of the required of a longevity annuity contract that minimum distributions from a Roth meets certain requirements from the to commencement of the annuity, the IRA. Section 1.457–6(d) provides that a account balance used to determine overall pattern of payments would not section 457(b) eligible plan must meet required minimum distributions. Thus, provide more deferral than would the requirements of section 401(a)(9) a participant would never need to otherwise normally be available for and the regulations under that section. commence distributions from the lifetime payments under the section On February 2, 2010, the Department annuity contract before the advanced 401(a)(9)(A) rules. of Labor, the IRS, and the Department of age in order to satisfy the required However, because a participant is the Treasury issued a Request for minimum distribution rules and, required to receive only required accordingly, the contract could be Information Regarding Lifetime Income minimum distributions during the designed with a fixed annuity starting Options for Participants and period before the annuity begins (and Beneficiaries in Retirement Plans in the date at the advanced age (and would not need to provide an option to accelerate would not under these proposed Federal Register (75 FR 5253). That regulations be required to draw down Request for Information included commencement of the annuity). Purchasing longevity annuity the entire remaining balance on an questions relating to how the required contracts could help participants hedge accelerated basis), the Treasury minimum distribution rules affect the risk of drawing down their benefits Department and the IRS have concluded defined contribution plan sponsors’ and too quickly and thereby outliving their that, in addition to the percentage participants’ interest in the offering and retirement savings. This risk is of limitation, the amount used to purchase use of lifetime income. In particular, the particular import because of the an annuity for which the minimum Request for Information asked whether substantial, and unpredictable, distribution requirements would be there were changes to the rules that possibility of living beyond one’s life eased should be subject to a dollar could or should be considered to expectancy. Purchasing a longevity limitation, such as $100,000. This dollar encourage arrangements under which annuity contract would also help avoid limitation would be applied in order to participants can purchase deferred the opposite concern that participants annuities that begin at an advanced age constrain the extent to which the may live beneath their means in order combination of payments from the (sometimes referred to as longevity to avoid outliving their retirement annuities or longevity insurance). account balance (determined by savings. If the longevity annuity excluding the value of the annuity A number of commentators identified provides a predictable stream of before the annuity commences) and the required minimum distribution adequate income commencing at a fixed later payments from the annuity rules as an impediment to the date in the future, the participant would utilization of these types of annuities. still face the task of managing retirement contract might result in an overall One such impediment that they noted is income over that fixed period until the pattern of payouts from the plan that the requirement that, prior to annuity commences, but that task permits undue deferral of distribution of annuitization, the value of the annuity generally is far less challenging than the participant’s entire interest. be included in the account balance that managing retirement income over an Such a limit would still allow is used to determine required minimum uncertain period. significant income to be provided distributions. This requirement raises The Treasury Department and the IRS beginning at age 85. For example, if at the risk that, if the remainder of the have concluded that any special age 70 a participant used $100,000 of account has been depleted, the treatment under the required minimum his or her account balance to purchase participant would have to commence distribution rules to facilitate the an annuity that will commence at age distributions from the annuity earlier purchase of such a longevity annuity 85, the annuity could provide an annual than anticipated in order to satisfy the contract should be limited to a portion income that is estimated to range required minimum distribution rules. of a participant’s account balance, such between $26,000 and $42,000 Some commentators stated that if the as 25 percent. A percentage limit is (depending on the actuarial deferred annuity permits a participant necessary in order to be consistent with to accelerate the commencement of section 401(a)(9)(A), which requires the assumptions used by the issuer and the benefits, then, in order to take that entire interest of each participant to be form of the annuity elected by the contingency into account, the premium distributed, beginning by the required participant, such as whether the form would be higher for a given level of beginning date, in accordance with elected is a straight life annuity or a annuity income regardless of whether regulations, over the life or life joint and survivor annuity). These the participant actually commences expectancy of the participant (or the illustrations assume a three-percent benefits at an earlier date. Some participant and a designated interest rate, no pre-annuity-starting- commentators also noted that longevity beneficiary). The pattern of required date death benefit, use of the Annuity annuities often do not provide a minimum payments implemented in the 2000 Mortality Table for males and

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females,1 no indexation for inflation, amount of the premiums paid for the the value of the contract would no and no load for expenses. contract under the plan on a given date longer be excluded from the account These amounts would be higher if the may not exceed the lesser of a dollar or balance used to determine required interest rate used by the issuer to a percentage limitation. The proposed minimum distributions. determine the annuity amount were regulations prescribe rules for applying For calendar years beginning on or higher. For example, the $42,000 these limitations to participants who after January 1, 2014, the dollar amount would be increased to purchase multiple contracts or make limitation would be adjusted at the approximately $50,000 if the annuity multiple premium payments for the same time and in the same manner as were purchased assuming a four-percent same contract. under section 415(d), except that (1) the interest rate, rather than a three-percent Under the dollar limitation, the base period would be the calendar year rate. amount of the premiums paid for a quarter beginning July 1, 2012, and (2) In addition, a participant who contract under the plan may not exceed any increase that is not a multiple of purchases a contract before age 70 could $100,000. If, on or before the date of a $25,000 would be rounded to the next obtain the same income with a lower premium payment, an employee has lowest multiple of $25,000. If a contract premium or could obtain larger income paid premiums for the same contract or failed to be a QLAC immediately before with the same premium. For example, for any other contract that is intended an adjustment because the premiums even assuming a three-percent interest to be a QLAC and that is purchased for exceeded the dollar limitation, an rate, the $42,000 amount would be the employee under the plan or under adjustment of the dollar limitation approximately $51,000 if the annuity any other plan, annuity or account, the would not cause the contract to become were purchased at age 65 rather than age $100,000 limit is reduced by the amount a QLAC. 70. Furthermore, a participant who of those other premium payments.2 purchases increments of annuities over Under the percentage limitation, the B. Maximum Age at Commencement his or her career could hedge the risk of amount of the premiums paid for a The proposed regulations provide interest-rate fluctuation by purchasing contract under the plan may not exceed that, in order to constitute a QLAC, the these increments in different interest an amount equal to 25 percent of the contract must provide that distributions rate environments and effectively employee’s account balance on the date under the contract commence not later averaging annuity purchase rates over of payment. If, on or before the date of than a specified annuity starting date set time. a premium payment, an employee has forth in the contract. The specified To facilitate compliance with the paid premiums for the same contract or annuity starting date must be no later dollar and percentage limitations and for any other contract that is intended than the first day of the month other requirements that longevity to be a QLAC and that is held or coincident with or next following the annuity contracts must satisfy in order purchased for the employee under the employee’s attainment of age 85. This to qualify for the special treatment, plan, the maximum amount under the age reflects the approximate life certain disclosure and reporting 25-percent limit is reduced by the expectancy of an employee at requirements would apply for the amount of those other payments. retirement, and was recommended in a issuers of these contracts. Because For purposes of determining whether number of the comments received in longevity annuities would not begin premiums for a contract exceed the response to the Request for Information. until contract owners reach an advanced dollar or percentage limitation, unless Any contract for which premiums are age, annual statements would also serve the plan administrator has actual paid after the latest permissible as an important reminder to those knowledge to the contrary, the plan specified annuity starting date would owners (and persons assisting them administrator would generally be not be a QLAC, because such a contract with their financial affairs) of their right permitted to rely on an employee’s could not require distributions to to receive the annuities. representation of the amount of commence by that date. premiums paid on or before that date The proposed regulations would Explanation of Provisions under any other contract that is permit a QLAC to allow a participant to These proposed regulations would intended to be a QLAC and that is elect an earlier annuity starting date modify the required minimum purchased for an employee under any than the specified annuity starting date. distribution rules in order to facilitate other plan, annuity, or account. For example, if the specified annuity the purchase of deferred annuities that However, this reliance is not available starting date under a contract were the begin at an advanced age. The proposed with respect to a plan, annuity, or date on which a participant attains age regulations would apply to contracts account that is maintained by an 85, the contract would not fail to be a that satisfy certain requirements, employer (or an entity that is treated as QLAC solely because it allows the including the requirement that a single employer with the employer participant to commence distributions distributions commence not later than under section 414(b), (c), (m), or (o)) at an earlier date. On the other hand, age 85. Prior to annuitization, the value with respect to purchases for an these rules would not require a QLAC of these contracts, referred to as employee under any other plan, to provide an option to commence ‘‘qualifying longevity annuity contracts’’ annuity, or account maintained by that distributions before the specified (QLACs), would be excluded from the employer. annuity starting date, so that a QLAC account balance used to determine If a premium for a contract causes the could provide that distributions must required minimum distributions. total premiums to exceed either the commence only at the specified annuity dollar or percentage limitation, the starting date. For a given premium, such I. Definition of QLAC contract would fail to be a QLAC as of a contract could provide a substantially A. Limitations on Premiums the date on which the excess premiums higher periodic annuity payment were paid. Thus, beginning on that date, The proposed regulations provide beginning on the specified annuity that, in order to constitute a QLAC, the starting date than a contract with an 2 As discussed under the heading ‘‘II. IRAs,’’ a acceleration option. Similarly, contract that is purchased or held under a Roth IRA premiums could be lower for a given 1 If the annuity is provided under an employer is not treated as a contract that is intended to be plan, unisex mortality assumptions would be a QLAC (even if it otherwise meets the level of periodic annuity payment, required. requirements to be a QLAC). leaving a larger portion of the remaining

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account balance for the participant to qualified preretirement survivor proposed regulations. The table is use for living expenses before the annuity 3 (which would have an effect available for use when the contract specified annuity starting date. only if the employee has a substantially provides a pre-annuity-starting-date The proposed regulations provide that older spouse). death benefit to the non-spouse the maximum age may also be adjusted If the employee’s surviving spouse is designated beneficiary. The table takes to reflect changes in mortality. The not the sole beneficiary under the into account that a significant portion of adjusted age (if any) would be contract,4 the only benefit permitted to the premium is used to provide death prescribed by the Commissioner in be paid after the employee’s death is a benefits to a designated beneficiary if revenue rulings, notices, or other life annuity payable to a designated death occurs during the deferral period guidance published in the Internal beneficiary. In order to satisfy the MDIB between age 701⁄2 and age 85. In order Revenue Bulletin (see requirements of section 401(a)(9)(G), the to limit the portion of the premium that § 601.601(d)(2)(ii)(b)). The Treasury life annuity is not permitted to exceed is used to provide death benefits to a Department and the IRS anticipate that an applicable percentage of the annuity designated beneficiary, use of the table such changes will not occur more payment payable to the employee. The is limited to contracts under which any frequently than the adjustment of the applicable percentage is determined non-spouse designated beneficiary must $100,000 limit described in subheading under one of two alternative tables, and be irrevocably selected as of the I.A. ‘‘Limitations on premiums.’’ If a the determination of which table applies required beginning date. Accordingly, contract failed to be a QLAC depends on the different types of death the applicable percentages in the table immediately before an adjustment benefits that are payable to the are based on the expected longevity for because it failed to provide that designated beneficiary. the designated beneficiary, determined distributions must commence by the Under the first alternative, the as of the employee’s required beginning requisite age, an adjustment of the age applicable percentage is the percentage date. would not cause the contract to become described in the existing table in The Treasury Department and the IRS a QLAC. § 1.401(a)(9)–6, A–2(c). Because the considered whether to prescribe a special rule under which a QLAC could C. Benefits Payable After Death of the existing applicable percentage table provide for a pre-annuity-starting-date Employee does not take into account the potential for a death benefit to be paid to the non- death benefit to a non-spouse Under a QLAC, the only benefit spouse designated beneficiary during designated beneficiary and also allow permitted to be paid after the the period between the required the designated beneficiary to be changed employee’s death is a life annuity, beginning date and the annuity starting at any time before the annuity starting payable to a designated beneficiary, that date, this table is available only if, date. However, in order to satisfy the meets certain requirements. Thus, for under the contract, no death benefits are MDIB requirements in such a case, the example, a contract that provides a payable to such a beneficiary if the applicable percentages would need to be distribution form with a period certain employee dies before the specified much smaller than the percentages set or a refund of premiums in the case of annuity starting date. Furthermore, in forth in the special table. This is an employee’s death would not be a order to address the possibility that an because a larger portion of the cost of QLAC. These types of payments are employee with a shortened life the contract would be allocable to death inconsistent with the purpose of expectancy could accelerate the annuity benefits if, after the required beginning providing lifetime income to employees starting date in order to avoid this rule, date and before the annuity starting and their beneficiaries, as described in this table is available only if, under the date, the participant were able to the Background section of this contract, no benefits are payable in any replace a designated beneficiary who preamble. A contract that provides a case in which the employee selects an has died (or to replace a designated given lifetime periodic annuity payment annuity starting date that is earlier than beneficiary who has a short life to an employee would be less expensive the specified annuity starting date under expectancy with one who has a longer if it provided for a life annuity payable the contract and the employee dies less life expectancy). Comments are to a designated beneficiary upon the than 90 days after making that election, requested on whether the proposed employee’s death rather than additional even if the employee’s death occurs regulations should be modified to features such as an optional single-sum after his or her selected annuity starting permit alternative death benefits that death benefit. After paying a lower date. would be subject to such lower premium for such a life annuity, the Under the second alternative, the applicable percentages. employee would be able to retain a applicable percentage is the percentage If the employee dies before the larger portion of his or her account, described in a new table set forth in the specified annuity starting date under the maximizing the employee’s lifetime contract, the date by which benefits benefits, while also leaving larger death 3 A qualified preretirement survivor annuity is must commence to the designated benefits for a beneficiary, from the defined in section 417(c)(2) as an annuity for the beneficiary depends on whether the remaining amount of the account. life of the surviving spouse the actuarial equivalent beneficiary is the employee’s surviving The proposed regulations provide that of which is not less than 50 percent of the portion spouse. If the sole beneficiary under the if the sole beneficiary of an employee of the account balance of the participant (as of the contract is the employee’s surviving date of death) to which the participant had a under the contract is the employee’s nonforfeitable right (within the meaning of section spouse, the life annuity is not required surviving spouse, the only benefit 411(a) of the Code). Section 205(e)(2) of the to commence until the employee’s permitted to be paid after the Employee Retirement Income Security Act of 1974, specified annuity starting date under the employee’s death is a life annuity Public Law 93–406 (88 Stat. 829 (1974)), as contract (in lieu of the otherwise amended (ERISA), includes a parallel definition. payable to the surviving spouse that See Rev. Rul. 2012–3 for rules relating to qualified applicable rule that would require does not exceed 100 percent of the preretirement survivor annuities. distributions to commence by the later annuity payment payable to the 4 If the surviving spouse is one of the designated of the end of the calendar year following employee. The proposed regulations beneficiaries, this rule is applied as if the contract the calendar year in which the were a separate contract for the surviving include a special exception that would beneficiary, but only if certain conditions are employee died or the end of the allow a plan to comply with any satisfied, including a separate account requirement. calendar year in which the employee applicable requirement to provide a See § 1.401(a)(9)–8, A–2(a) and A–3. would have attained age 701⁄2). If the

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employee’s sole beneficiary under the applicable to QLACs apply to this the trustee, custodian, or issuer may rely contract is not the surviving spouse, the contract. on the IRA owner’s representations of life annuity payable to the designated The proposed regulations provide that the amount of the premiums (other than beneficiary must commence by the last distributions under a QLAC must satisfy the premiums paid under the IRA) and, day of the calendar year immediately the generally applicable section for purposes of applying the percentage following the calendar year of the 401(a)(9) requirements relating to limitation, the amount of the employee’s death. annuities at § 1.401(a)(9)–6, other than individual’s account balances (other The proposed regulations include a the requirement that annuity payments than the account balance under the rule for applying the limitations on commence on or before the employee’s IRA). amounts payable to a surviving spouse required beginning date. Thus, for Under the proposed regulations, an or a designated beneficiary in the event example, the limitation on increasing annuity purchased under a Roth IRA the employee dies before the annuity payments under § 1.401(a)(9)–6, A–1(a), would not be treated as a QLAC. This starting date. Under this rule, if the applies to the contract. is because a Roth IRA (unlike a contract does not allow an employee to designated Roth account under a plan, II. IRAs select an annuity starting date that is as described in section 402(A) is not earlier than the date on which the The proposed regulations provide subject to the section 401(a)(9)(A) annuity payable to the employee would that, in order to constitute a QLAC, the requirement that the individual’s have commenced under the contract if amount of the premiums paid for the benefits commence and be paid over the the employee had not died, the contract contract under an IRA on a given date lives or life expectancy of the individual must nonetheless provide a way to may not exceed $100,000. If, on or and a designated beneficiary (but, after determine the periodic annuity before the date of a premium payment, the death of the individual, benefits payments that would have been payable a participant has paid premiums for the must be paid under the same section if payments to the employee had same contract or for any other contract 401(a)(9)(B) rules that apply to commenced immediately prior to the that is intended to be a QLAC and that traditional IRAs). Because the rules of date on which benefit payments to the is purchased for the participant under section 401(a)(9)(A) do not apply to a designated beneficiary commence. the IRA or under any other IRA, plan, Roth IRA owner, a longevity annuity or annuity, the $100,000 limit is contract purchased using a portion of D. Other QLAC Requirements reduced by the amount of those other the individual’s Roth IRA would not Under the proposed regulations, a premium payments. need to provide the right to accelerate QLAC would not include a variable The proposed regulations also provide payments in order to ensure compliance contract under section 817, equity- that in order to constitute a QLAC, the with those rules. Thus, there is no need indexed contract, or similar contract, amount of the premiums paid for the to permit the value of a longevity because the purpose of a QLAC is to contract under an IRA on a given date annuity contract to be excluded from provide a participant with a predictable generally may not exceed 25 percent of the account balance that is used to stream of lifetime income. In addition, a participant’s IRA account balances. determine required minimum exposure to equity-based returns is Consistent with the rule under which a distributions during the life of a Roth available through control over the required minimum distribution from an IRA owner. Accordingly, the proposed remaining portion of the account IRA could be satisfied by a distribution regulations would not apply the rules balance so that a participant can achieve from another IRA (applied separately to regarding QLACs to Roth IRAs. adequate diversification. traditional IRAs and Roth IRAs), the The proposed regulations would not The proposed regulations also provide proposed regulations would allow a preclude the use of assets in a Roth IRA that, in order to be a QLAC, the contract QLAC that could be purchased under an to purchase a longevity annuity is not permitted to make available any IRA within these limitations to be contract, nor would such a contract be commutation benefit, cash surrender purchased instead under another IRA. subject to the same restrictions as a value, or other similar feature. As in the Specifically, the amount of the QLAC. For example, a longevity annuity case of the limitations on benefits premiums paid for the contract under an contract purchased using assets of a payable after death, these limitations IRA may not exceed an amount equal to Roth IRA could have an annuity starting would allow an annuity contract to 25 percent of the sum of the account date that is later than age 85 and offer maximize the annuity payments that are balances (as of December 31 of the features, such as a cash surrender right, made while a participant or beneficiary calendar year before the calendar year in that are not permitted under a QLAC. is alive. In addition, having a limited set which a premium is paid) of the IRAs Although such a contract could not be of options available to purchasers would (other than Roth IRAs) that an excluded from the account balance used make these contracts more readily individual holds as the IRA owner. If, to determine required minimum understandable and enhance on or before the date of a premium distributions, this exclusion is not purchasers’ ability to compare products payment, an individual has paid other necessary because the required across providers. Ease of comparison premiums for the same contract or for minimum distribution rules do not will be particularly important to the any other contract that is intended to be apply during the life of a Roth IRA extent that contracts provided under a QLAC and that is held or purchased owner. plans are priced on a unisex basis, while for the individual under his or her IRAs, In addition, the dollar and percentage contracts offered under IRAs generally the premium payment cannot exceed limitations on premiums that apply to a take gender into account in establishing the amount determined to be 25 percent QLAC would not take into account premiums. of the individual’s IRA account premiums paid for a contract that is The proposed regulations provide that balances, reduced by the amount of purchased or held under a Roth IRA, a contract is not a QLAC unless it states, those other premiums. even if the contract satisfies the when issued, that it is intended to be a The proposed regulations provide requirements to be a QLAC. If a QLAC ‘‘qualifying longevity annuity contract’’ that, for purposes of both the dollar and is purchased or held under a plan, or a ‘‘QLAC.’’ This rule would ensure percentage limitations, unless the annuity, contract, or traditional IRA that that the issuer, participant, plan trustee, custodian, or issuer of an IRA is later rolled over or converted to a sponsor, and IRS know that the rules has actual knowledge to the contrary, Roth IRA, the QLAC would cease to be

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a QLAC (and would cease to be treated IV. Section 457(b) Plans person from whom the employee may as intended to be a QLAC) after the date Section 1.457–6(d) provides that an obtain additional information about the of the rollover or conversion. In that eligible section 457(b) plan must meet contract; and • case, the premiums would then be the requirements of section 401(a)(9) Such other information that the disregarded in applying the dollar and and the regulations under section Commissioner may require. percentage limitations to premiums paid 401(a)(9). Thus, these proposed This report is not required to be filed for other contracts after the date of the regulations relating to the purchase of a with the Internal Revenue Service. Each rollover or conversion.5 QLAC under a tax-qualified defined issuer required to create a report would be required to furnish to the individual Comments are requested on whether contribution plan would automatically in whose name the contract has been the regulations should be modified to apply to an eligible section 457(b) plan. purchased a statement containing the apply the QLAC rules to a Roth IRA or However, the rule relating to QLACs is information in the report. This to reduce the availability of the section limited to eligible governmental section statement must be furnished prior to or 401(a)(9) relief for purchases of QLACs 457(b) plans. Because section 457(b)(6) requires that an eligible section 457(b) at the time of purchase. In addition, in by the amount of assets that the order to avoid duplicating state law individual holds in a Roth IRA. plan that is not a governmental plan be unfunded, the purchase of an annuity disclosure requirements, the statement Comments are also requested as to would not be required to include whether any special rules should apply contract under such a plan would be inconsistent with this requirement. information that the issuer has already where a QLAC is purchased using assets provided to the employee in order to of a Roth IRA, such as special disclosure V. Defined Benefit Plans satisfy any applicable state disclosure in order to minimize any potential Although defined benefit plans are law. Comments are requested on confusion. subject to the minimum required whether the information listed is III. Section 403(b) Plans distribution rules, they offer annuities appropriate, and whether (and, if so, the which provide longevity protection. extent to which) this list would The proposed regulations apply the Because this protection is therefore duplicate disclosure requirements under tax-qualified plan rules, instead of the already available, these proposed existing state law. Comments are also IRA rules, to the purchase of a QLAC regulations would not apply to defined requested on whether there is other under a section 403(b) plan. For benefit plans.6 information that should be included in example, the 25-percent limitation on the disclosure, such as the special tax VI. Disclosure and Annual Reporting attributes of a QLAC. premiums would be separately Requirements determined for each section 403(b) plan The proposed regulations prescribe in which an employee participates. The Under the proposed regulations, the annual reporting requirements under proposed regulations also provide that issuer of a QLAC would be required to section 6047(d) which would require the tax-qualified plan rules relating to create a report containing the following any person issuing any contract that information about the QLAC: states that it is intended to be a QLAC reliance on representations, rather than • the IRA rules, apply to the purchase of A plain-language description of the to file annual calendar-year reports and dollar and percentage limitations on a QLAC under a section 403(b) plan. provide a statement to the individual in premiums; whose name the contract has been • The proposed regulations provide The annuity starting date under the purchased regarding the status of the that, if the sole beneficiary of an contract, and, if applicable, a contract. The Commissioner will employee under a contract is the description of the employee’s ability to prescribe an applicable form and employee’s surviving spouse and the elect to commence payments before the instructions for this purpose, which will employee dies before the annuity annuity starting date; • contain the filing deadline and other starting date under the contract, a life The amount (or estimated amount) information. annuity that is payable to the surviving of the periodic annuity payment that is The report will be required to identify spouse after the employee’s death is payable after the annuity starting date as that the contract is intended to be a permitted to exceed the annuity that a single life annuity (including, if an QLAC and to include, at a minimum, would have been payable to the estimated amount, the assumed interest the following items of information: employee to the extent necessary to rate or rates used in making this • The name, address, and identifying satisfy the requirement to provide a determination), and a statement that number of the issuer of the contract, qualified preretirement survivor annuity there is no commutation benefit or right along with information on how to (as discussed for qualified plans under to surrender the contract in order to contact the issuer for more information subheading I.C. ‘‘Benefits payable after receive its cash value; about the contract; • A statement of any death benefit death of the employee’’). A section • The name, address, and identifying payable under the contract, including 403(b) plan may be subject to this number of the individual in whose any differences between benefits requirement under ERISA, whereas name the contract has been purchased; payable if the employee dies before the IRAs are generally not subject to this • If the contract was purchased under annuity starting date and benefits requirement. See § 1.401(a)–20, Q&A– a plan, the name of the plan, the plan payable if the employee dies on or after 3(d), and § 1.403(b)–5(e). number, and the Employer the annuity starting date; Identification Number (EIN) of the plan • A description of the administrative 5 Section 1.408A–4, Q&A–14, describes the sponsor; procedures associated with an amount includible in gross income when part or all • If payments have not yet employee’s elections under the contract, of a traditional IRA that is an individual retirement commenced, the annuity starting date annuity described in section 408(b) is converted to including deadlines, how to obtain on which the annuity is scheduled to a Roth IRA, or when a traditional IRA that is an forms, and where to file forms, and the individual retirement account described in section commence, the amount of the periodic identity and contact information of a 408(a) holds an annuity contract as an account asset annuity payable on that date, and and the traditional IRA is converted to a Roth IRA. whether that date may be accelerated; Those rules would also apply when a contract is 6 See also Rev. Rul. 2012–4 (relating to rollovers rolled over from a plan into a Roth IRA. to defined benefit plans). and

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• The amount of each premium paid the existing rules under section All comments will be available for for the contract, along with the date of 401(a)(9) continue to apply). public inspection and copying at payment.7 www.regulations.gov or upon request. A Special Analyses Each issuer required to file the report public hearing has been scheduled for with respect to a contract would also be It has been determined that this notice June 1, 2012, beginning at 1 p.m. in the required to provide to the individual in of proposed rulemaking is not a Auditorium, Internal Revenue Service, whose name the contract has been significant regulatory action as defined 1111 Constitution Avenue NW., purchased a statement containing the in Executive Order 12866. Therefore, a Washington, DC. Due to building information that is required to be regulatory assessment is not required. It security procedures, visitors must enter furnished in the report. This also has been determined that section at the Constitution Avenue entrance. In requirement may be satisfied by 553(b) of the Administrative Procedure addition, all visitors must present photo providing the individual with a copy of Act (5 U.S.C. chapter 5) does not apply identification to enter the building. the required form, or in another form to these regulations. It is hereby Because of access restrictions, visitors that contains the following language: certified that the collection of will not be admitted beyond the ‘‘This information is being furnished to information in these proposed immediate entrance area more than 30 the Internal Revenue Service.’’ The regulations will not have a significant minutes before the hearing starts. For statement is required to be furnished to economic impact on a substantial information about having your name the individual on or before January 31 number of small entities. This placed on the building access list to following the calendar year for which certification is based upon the fact that attend the hearing, see the FOR FURTHER the report is required. an insubstantial number of entities of INFORMATION CONTACT section of this An issuer that is subject to these any size will be impacted by the preamble. annual reporting requirements must regulation. In addition, IRS and The rules of 26 CFR 601.601(a)(3) comply with the requirements for each Treasury expect that any burden on apply to the hearing. Persons who wish calendar year beginning with the year in small entities will be minimal because to present oral comments at the hearing which premiums are first paid and required disclosures are expected to must submit written or electronic ending with the earlier of the year in take 10 minutes to prepare. In addition, comments by May 3, 2012, and an which the individual for whom the the entities that will be impacted will be outline of topics to be discussed and the contract has been purchased attains age insurance companies, very few of which amount of time to be devoted to each 85 (as adjusted in calendar years are small entities. Therefore, a topic (a signed original and eight (8) beginning on or after January 1, 2014) or regulatory flexibility analysis under the copies) by May 11, 2012. A period of dies. However, if the individual dies Regulatory Flexibility Act (5 U.S.C. 10 minutes will be allotted to each and the sole beneficiary under the chapter 6) is not required. Pursuant to person for making comments. An contract is the individual’s spouse (so section 7805(f) of the Code, this notice agenda showing the scheduling of the that the spouse’s annuity might not of proposed rulemaking has been speakers will be prepared after the commence until the individual would submitted to the Chief Counsel for deadline for receiving outlines has have attained age 85), the annual Advocacy of the Small Business passed. Copies of the agenda will be reporting requirement continues until Administration for comment on its available free of charge at the hearing. the year in which the distributions to impact on small business. Drafting Information the spouse commence. Comments and Public Hearing The principal authors of these Proposed Effective Date Before these proposed regulations are regulations are Cathy Pastor and Jamie The proposed regulations regarding adopted as final regulations, Dvoretzky, Office of Division Counsel/ disclosure and reporting will be consideration will be given to any Associate Chief Counsel (Tax Exempt effective upon publication in the written comments (a signed original and and Government Entities). However, Federal Register of the Treasury eight (8) copies) or electronic comments other personnel from the IRS and the decision adopting these rules as final that are submitted timely to the IRS. Treasury Department participated in the regulations. Otherwise, these Comments are requested on benefits development of these regulations. regulations are proposed to be effective payable to a non-spouse beneficiary List of Subjects in 26 CFR Part 1 for contracts purchased on or after the (under the subheading ‘‘C. Benefits date of publication of the Treasury Income taxes, Reporting and payable after death of the employee’’), recordkeeping requirements. decision adopting these rules as final Roth IRAs (under the heading ‘‘II. regulations in the Federal Register and IRAs’’), and disclosure (under the Proposed Amendments to the for determining required minimum heading ‘‘VI. Disclosure and annual Regulations distributions for distribution calendar reporting requirements’’). Comments are years beginning on or after January 1, Accordingly, 26 CFR part 1 is also requested on whether an insurance proposed to be amended as follows: 2013. Until regulations finalizing these product that provides guaranteed proposed regulations are issued, lifetime withdrawal benefits could PART 1—INCOME TAXES taxpayers may not rely on the rules set constitute a QLAC, taking into account forth in these proposed regulations (and the rules precluding the use of a Paragraph 1. The authority citation variable annuity and a commutation of for part 1 is amended by adding entries 7 For IRAs, the fair market value of the account benefits and the rules relating to the in numerical order to read in part as on December 31 must be provided to the IRA follows: owners by January 31 of the following year. provision of benefits to a designated Trustees, custodians, and issuers are responsible for beneficiary after an employee’s death Authority: 26 U.S.C. 7805 * * * ensuring that all IRA assets (including those not (under which benefits can be paid only Section 1.6047–2 is also issued under 26 traded on an established securities market or with in the form of a life annuity). The IRS U.S.C. 6047(d). * * * otherwise readily determinable value) are valued annually at their fair market value. This includes and the Treasury Department further Par. 2. Section 1.401(a)(9)–5 is the value of a contract that is intended to be a request comments on all aspects of the amended by: QLAC. proposed rules. 1. Revising paragraph A–3(a).

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2. Redesignating paragraph A–3(d) as Q–17. What is a qualifying longevity (ii) The sum of— new paragraph A–3(e) and revising annuity contract? (A) The premiums paid before that newly designated paragraph A–3(e). A–17. (a) Definition of qualifying date under the contract, and 3. Adding new paragraph A–3(d). longevity annuity contract. A qualifying (B) The premiums paid on or before The revisions and addition read as longevity annuity contract (QLAC) is an that date under any other contract that follows: annuity contract (that is not a variable is intended to be a QLAC and that is contract under section 817, equity- held or was purchased for the employee § 1.401(a)(9)–5 Required minimum indexed contract, or similar contract) under the plan. distributions from defined contribution that is purchased from an insurance (c) Payments after death of the plans. company for an employee and that employee—(1) Surviving spouse is sole * * * * * satisfies each of the following beneficiary—(i) In general. Except as A–3. (a) In the case of an individual requirements— provided in paragraph (c)(1)(ii)(B) of account, the benefit used in determining (1) Premiums for the contract satisfy this A–17, if the sole beneficiary of an the required minimum distribution for a the requirements of paragraph (b) of this employee under the contract is the distribution calendar year is the account A–17; employee’s surviving spouse, the only balance as of the last valuation date in (2) The contract provides that benefit permitted to be paid after the the calendar year immediately distributions under the contract must employee’s death is a life annuity preceding that distribution calendar commence not later than a specified payable to the surviving spouse where year (valuation calendar year) adjusted annuity starting date that is no later the periodic annuity payment is not in in accordance with paragraphs (b), (c), than the first day of the month excess of 100 percent of the periodic and (d) of this A–3. coincident with or next following the annuity payment that is payable to the * * * * * employee’s attainment of age 85; employee (or, in the case of the employee’s death before the employee’s (d) The account balance does not (3) The contract provides that, after annuity starting date, the periodic include the value of any qualifying distributions under the contract annuity payment that would have been longevity annuity contract described in commence, those distributions must payable to the employee as of the date A–17 of § 1.401(a)(9)–6 that is held satisfy the requirements of this section that benefits to the surviving spouse under the plan. This paragraph (d) only (other than the requirement in A–1(c) of commence under paragraph (c)(1)(ii)(A) applies for purposes of determining this section that annuity payments of this A–17). required minimum distributions for commence on or before the required beginning date); (ii) Death before employee’s annuity distribution calendar years beginning on starting date. If the employee dies or after January 1, 2013. (4) The contract does not make available any commutation benefit, cash before the employee’s annuity starting (e) If an amount is distributed from a date and the employee’s surviving plan and rolled over to another plan surrender right, or other similar feature; (5) No benefits are provided under the spouse is the sole beneficiary under the (receiving plan), A–2 of § 1.401(a)(9)–7 contract after the death of the employee contract— provides additional rules for other than the life annuities payable to (A) The life annuity, if any, payable determining the benefit and required a designated beneficiary that are to the surviving spouse under paragraph minimum distribution under the described in paragraph (c) of this A–17; (c)(1)(i) of this A–17 must commence receiving plan. If an amount is and not later than the date on which the transferred from one plan (transferor (6) The contract, when issued, states annuity payable to the employee would plan) to another plan (transferee plan) in that it is intended to be a QLAC. have commenced under the contract if a transfer to which section 414(l) (b) Limitations on premium—(1) In the employee had not died; and applies, A–3 and A–4 of § 1.401(a)(9)–7 general. The premiums paid for the (B) The amount of the periodic provide additional rules for determining contract on a date do not exceed the annuity payment payable to the the amount of the required minimum lesser of the dollar limitation in surviving spouse is permitted to exceed distribution and the benefit under both paragraph (b)(2) of this A–17 or the 100 percent of the periodic annuity the transferor and transferee plans. percentage limitation in paragraph (b)(3) payment that is payable to the employee * * * * * of this A–17. to the extent necessary to satisfy the Par. 3. Section 1.401(a)(9)–6 is (2) Dollar limitation. The dollar requirement to provide a qualified amended by revising the last sentence in limitation is an amount equal to the preretirement survivor annuity (as A–12(a) and adding Q&A–17 to read as excess of— defined under section 417(c)(2) of the follows: (i) $100,000, over Internal Revenue Code (Code) or section (ii) The sum of— 205(e)(2) of the Employee Retirement § 1.401(a)(9)–6 Required minimum (A) The premiums paid before that Income Security Act of 1974, Public distributions for defined benefit plans and Law 93–406 (88 Stat. 829 (1974)), as annuity contracts. date under the contract, and (B) The premiums paid on or before amended (ERISA)) pursuant to sections * * * * * that date under any other contract that 401(a)(11) and 417 of the Code or A–12. (a) * * * See A–1(e) of is intended to be a QLAC and that is section 205(a)(2) of ERISA. § 1.401(a)(9)–5 for rules relating to the purchased for the employee under the (2) Surviving spouse is not sole satisfaction of section 401(a)(9) in the plan, or any other plan, annuity, or designated beneficiary—(i) In general. If year that annuity payments commence, account described in section 401(a), the employee’s surviving spouse is not A–3(d) of § 1.401(a)(9)–5 for rules 403(a), 403(b), or 408 or eligible the sole beneficiary under the contract, relating to qualifying longevity annuity governmental section 457(b) plan. the only benefit permitted to be paid contracts described in A–17 of this (3) Percentage limitation. The after the employee’s death is a life section, and A–2(a)(3) of § 1.401(a)(9)–8 percentage limitation is an amount annuity payable to a designated for rules relating to the purchase of an equal to the excess of— beneficiary where the periodic annuity annuity contract with a portion of an (i) 25 percent of the employee’s payment is not in excess of the employee’s account balance. account balance under the plan applicable percentage (determined * * * * * determined on that date, over under paragraph (c)(2)(iv) of this A–17)

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of the periodic annuity payment that is exceeds the limits under paragraph (b) Adjusted employee/ Applicable payable to the employee (or, in the case beneficiary age percentage of this A–17 on the date of the payment of the employee’s death before the difference of that premium, the contract is not a employee’s annuity starting date, the QLAC beginning on that date. In such a 2 years or less ...... 100 case, none of the value of the contract applicable percentage of the periodic 3 ...... 88 annuity payment that would have been 4 ...... 78 may be disregarded under § 1.401(a)(9)– payable to the employee as of the date 5 ...... 70 5, Q&A–3(d), as of the date on which the that benefits to the designated 6 ...... 63 contract ceases to be a QLAC. (3) Dollar and age limitations subject beneficiary commence under this 7 ...... 57 8 ...... 52 to adjustments—(i) Dollar limitation. In paragraph (c)(2)(i)). In addition, no 9 ...... 48 the case of calendar years beginning on benefit is permitted to be paid after the 10 ...... 44 or after January 1, 2014, the $100,000 employee’s death unless the contract 11 ...... 41 amount under paragraph (b)(2)(i) of this satisfies the requirements of either 12 ...... 38 A–17 will be adjusted at the same time paragraph (c)(2)(ii) or paragraph 13 ...... 36 and in the same manner as under 14 ...... 34 (c)(2)(iii) of this A–17. Moreover, except section 415(d), except that the base as provided in paragraph (c)(1)(ii)(A) of 15 ...... 32 16 ...... 30 period shall be the calendar quarter this A–17, in any case in which the 17 ...... 28 beginning July 1, 2012, and any increase employee dies before the employee’s 18 ...... 27 under this paragraph (d)(3)(i) that is not annuity starting date, any life annuity 19 ...... 26 a multiple of $25,000 shall be rounded payable to a designated beneficiary must 20 ...... 25 to the next lowest multiple of $25,000. commence by the last day of the 21 ...... 24 (ii) Age limitation. The maximum age calendar year immediately following the 22 ...... 23 set forth in paragraph (a)(2) of this 23 ...... 22 calendar year of the employee’s death. A–17 may also be adjusted to reflect 24 ...... 21 changes in mortality, with any such (ii) No pre-annuity starting date death 25 and greater ...... 20 adjusted age to be prescribed by the benefit. The contract satisfies the Commissioner in revenue rulings, requirements of this paragraph (c)(2)(ii) (3) Calculation of early annuity notices, or other guidance published in if the contract provides that no benefit payments. For purposes of paragraphs the Internal Revenue Bulletin (see is permitted to be paid to a beneficiary (c)(1)(i) and (c)(2)(i) of this A–17, to the § 601.601(d)(2)(ii)(b) of this chapter). other than the employee’s surviving extent the contract does not provide an (iii) Prospective application of spouse after the employee’s death— option for the employee to select an adjustments. If a contract fails to be a annuity starting date that is earlier than (A) In any case in which the employee QLAC because it does not satisfy the the date on which the annuity payable dollar limitation in paragraph (b)(2) of dies before the selected annuity starting to the employee would have date under the contract; and this A–17 or the age limitation in commenced under the contract if the paragraph (a)(2) of this A–17, any (B) In any case in which the employee employee had not died, the contract subsequent adjustment that is made selects an annuity starting date that is must provide a way to determine the pursuant to paragraph (d)(3)(i) or earlier than the specified annuity periodic annuity payment that would paragraph (d)(3)(ii) of this A–17 will not starting date under the contract and the have been payable if the employee were cause the contract to become a QLAC. employee dies less than 90 days after to have an option to accelerate the (4) Multiple beneficiaries. If an making that election. payments and the payments had employee has more than one designated commenced to the employee (iii) Pre-annuity starting date death beneficiary under a QLAC, the rules in immediately prior to the date that § 1.401(a)(9)–8, A–2(a), apply for benefit. The contract satisfies the benefit payments to the surviving requirements of this paragraph (c)(2)(iii) purposes of paragraphs (c)(1)(i) and spouse or designated beneficiary (c)(2)(i) of this A–17. if the contract provides that in any case commence. (5) Roth IRAs. A contract that is in which the beneficiary under the (d) Rules of application—(1) Reliance purchased under a Roth IRA is not contract is not the employee’s surviving on representations. For purposes of the treated as a contract that is intended to spouse, benefits are payable to the limitation on premiums described in be a QLAC for purposes of applying the beneficiary only if the beneficiary was paragraphs (b)(2) and (b)(3) of this A–17, dollar and percentage limitation rules in irrevocably selected on or before the unless the plan administrator has actual paragraphs (b)(2)(ii)(B) and (b)(3)(ii)(B) employee’s required beginning date. knowledge to the contrary, the plan of this A–17. See § 1.408A–6, A–14(d). (iv) Applicable percentage. If the administrator may rely on an If a QLAC is purchased or held under contract is described in paragraph employee’s representation (made in a plan, annuity, account, or traditional (c)(2)(ii) of this A–17, the applicable writing or such other form as may be IRA, and that contract is later rolled percentage is the percentage described prescribed by the Commissioner) of the over or converted to a Roth IRA, the in the table in paragraph A–2(c) of this amount of the premiums described in contract is not treated as a contract that section. If the contract is described in paragraphs (b)(2)(ii)(B) and (b)(3)(ii)(B) is intended to be a QLAC after the date of this A–17, but only with respect to paragraph (c)(2)(iii) (and not in (c)(2)(ii)) of the rollover or conversion. Thus, premiums that are not paid under a of this A–17, the applicable percentage premiums paid for the contract will not plan, annuity, or contract that is is the percentage described in the table be taken into account under paragraph maintained by the employer or an entity (b)(2)(ii)(B) or paragraph (b)(3)(ii)(B) of set forth in this paragraph (c)(2)(iv). The that is treated as a single employer with this A–17 after the date of the rollover applicable percentage is based on the the employer under section 414(b), (c), or conversion. adjusted employee/beneficiary age (m), or (o). (e) Effective/applicability date. This difference, determined in the same (2) Consequences of excess premiums. Q&A–17 applies to contracts purchased manner as in paragraph A–2(c) of this If a contract fails to be a QLAC solely on or after the date of publication of the section. because a premium for the contract Treasury decision adopting these rules

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as final regulations in the Federal (i) 25 percent of the total account QLAC, defined in § 1.401(a)(9)–6, A–17, Register and for determining required balances of the IRAs (other than Roth do not apply to a Roth IRA. minimum distributions for distribution IRAs) that an individual holds as the * * * * * calendar years beginning on or after IRA owner as of December 31 of the Par. 7. Section 1.6047–2 is added to January 1, 2013. calendar year immediately preceding read as follows: Par. 4. Section 1.403(b)–6 is amended the calendar year in which a premium by adding paragraph (e)(9) to read as is paid, over § 1.6047–2 Information relating to follows: (ii) The sum of— qualifying longevity annuity contracts. (A) The premiums paid before that (a) Requirement and form of report— § 1.403(b)–6 Timing of distributions and date under the contract, and (1) In general. Any person issuing any benefits. (B) The premiums paid on or before contract that states that it is intended to * * * * * that date under any other contract that be a qualifying longevity annuity (e) * * * is intended to be a QLAC and that is contract (QLAC), defined in (9) Special rule for qualifying held or was purchased for the § 1.401(a)(9)–6, Q&A–17, shall make longevity annuity contracts. The rules in individual under those IRAs. reports required by this section. This § 1.401(a)(9)–6, A–17(b) (relating to (c) Reliance on representations. For requirement applies only to contracts limitations on premiums for a qualifying purposes of the limitations described in purchased or held under any plan, longevity annuity contract (QLAC), and paragraphs (b)(2) and (b)(3) of this A–12, annuity, or account described in section § 1.401(a)(9)–6, A–17(d)(1) (relating to unless the trustee, custodian, or issuer 401(a), 403(a), 403(b), or 408 (other than reliance on representations with respect of an IRA has actual knowledge to the a Roth IRA) or eligible governmental to a QLAC), apply to the purchase of a contrary, the trustee, custodian, or section 457(b) plan. QLAC under a section 403(b) plan issuer may rely on the IRA owner’s (2) Initial disclosure. The issuer shall (rather than the rules in § 1.408–8, representation (made in writing or such be required to prepare a report A–12(b) and (c)). other form as may be prescribed by the identifying that the contract is intended * * * * * Commissioner) of the amount of the to be a QLAC and containing the Par. 5. Section 1.408–8, Q&A–12, is premiums described in paragraphs following information— added to read as follows: (b)(2)(ii)(B) and (b)(3)(ii)(B) of this A–12 (i) A plain-language description of the § 1.408–8 Distribution requirements for that are not paid under the IRA, and the dollar and percentage limitations on individual retirement plans. amount of the account balances premiums; * * * * * described in paragraph (b)(3)(i) of this (ii) The annuity starting date under Q–12. How does the special rule in A–12, other than the account balance the contract, and, if applicable, a § 1.401(a)(9)–5, A–3(d), for a qualifying under the IRA. description of the individual’s ability to longevity annuity contract (QLAC), (d) Roth IRAs. A contract that is elect to commence payments before the defined in § 1.401(a)(9)–6, A–17, apply purchased under a Roth IRA is not annuity starting date; to an IRA? treated as a contract that is intended to (iii) The amount (or estimated A–12. (a) General rule. The special be a QLAC for purposes of applying the amount) of the periodic annuity rule in § 1.401(a)(9)–5, A–3, for a QLAC, dollar and percentage limitation rules in payment that is payable after the defined in § 1.401(a)(9)–6, A–17, applies paragraphs (b)(2)(ii)(B) and (b)(3)(ii)(B) annuity starting date as a single life to an IRA, subject to the exceptions set of this A–12. See § 1.408A–6, A–14(d). annuity (including, if an estimated forth in this A–12. See § 1.408A–6, If a QLAC is purchased or held under amount, the assumed interest rate or A–14(d) for special rules relating to a plan, annuity, account, or traditional rates used in making this Roth IRAs. IRA, and that contract is later rolled determination), and a statement that (b) Limitations on premium—(1) In over or converted to a Roth IRA, the there is no commutation benefit or right general. In lieu of the limitations contract is not treated as a contract that to surrender the contract in order to described in § 1.401(a)(9)–6, A–17(b), is intended to be a QLAC after the date receive its cash value; the premiums paid for the contract on of the rollover or conversion. Thus, (iv) A statement of any death benefit a date are not permitted to exceed the premiums paid for the contract will not payable under the contract, including lesser of the dollar limitation in be taken into account under paragraph any differences between benefits paragraph (b)(2) of this A–12 or the (b)(2)(ii)(B) or paragraph (b)(3)(ii)(B) of payable if the individual dies before the percentage limitation in paragraph (b)(3) this A–12 after the date of the rollover annuity starting date and benefits of this A–12. or conversion. payable if the individual dies on or after (2) Dollar limitation. The dollar (e) Effective/applicability date. This the annuity starting date; limitation is an amount equal to the Q&A–12 applies to contracts purchased (v) A description of the administrative excess of— on or after the date of publication of the procedures associated with an (i) $100,000, over Treasury decision adopting these rules individual’s elections under the (ii) The sum of— as final regulations in the Federal contract, including deadlines, how to (A) The premiums paid before that Register and for determining required obtain forms, and where to file forms, date under the contract, and minimum distributions for distribution and the identity and contact information (B) The premiums paid on or before calendar years beginning on or after of a person from whom the individual that date under any other contract that January 1, 2013. may obtain additional information about is intended to be a QLAC and that is Par. 6. Section 1.408A–6 is amended the contract; and purchased for the IRA owner under the by adding paragraph A–14(d) to read as (vi) Such other information as the IRA, or any other plan, annuity, or follows: Commissioner may require. account described in section 401(a), (3) Annual report. The issuer shall 403(a), 403(b), or 408 or eligible § 1.408A–6 Distributions. make annual calendar-year reports on governmental section 457(b) plan. * * * * * the applicable form prescribed by the (3) Percentage limitation. The A–14. * * * Commissioner for this purpose percentage limitation is an amount (d) The special rules in § 1.401(a)(9)– concerning the status of the contract. equal to the excess of— 5, A–3, and § 1.408–8, Q&A–12, for a The report shall identify that the

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contract is intended to be a QLAC and individual in order to comply with any certain optional forms of benefit that are shall contain the following applicable state disclosure law. paid partly in the form of an annuity information— (2) Annual report. Each issuer and partly in a more accelerated form. (i) The name, address, and identifying required to file the report required by These regulations would affect number of the issuer of the contract, paragraph (a)(3) of this section shall sponsors, administrators, participants, along with information on how to furnish to the individual in whose name and beneficiaries of defined benefit contact the issuer for more information the contract has been purchased a pension plans. This document also about the contract; statement containing the information provides a notice of a public hearing on (ii) The name, address, and required to be furnished in the report, these proposed regulations. identifying number of the individual in except that such statement shall be DATES: Written or electronic comments whose name the contract has been furnished to a surviving spouse to the must be received by May 3, 2012. purchased; extent that the report is required to be Outlines of topics to be discussed at the (iii) If the contract was purchased filed under paragraph (b)(2)(ii) of this public hearing scheduled for June 1, under a plan, the name of the plan, the section. A copy of the required form 2012, must be received by May 11, 2012. plan number, and the Employer may be used to satisfy the statement ADDRESSES: Send submissions to: Identification Number (EIN) of the plan requirement of this paragraph (c)(2). If a CC:PA:LPD:PR (REG–110980–10), Room sponsor; copy of the required form is not used to 5203, Internal Revenue Service, PO Box (iv) If payments have not yet satisfy the statement requirement of this 7604, Ben Franklin Station, Washington, commenced, the annuity starting date paragraph (c)(2), the statement shall DC 20044. Submissions may be hand- on which the annuity is scheduled to contain the following language: ‘‘This delivered Monday through Friday commence, the amount of the periodic information is being furnished to the between the hours of 8 a.m. and 4 p.m. annuity payable on that date, and Internal Revenue Service.’’ The to: CC:PA:LPD:PR (REG–110980–10), whether that date may be accelerated; statement required by this paragraph Courier’s Desk, Internal Revenue (v) The amount of each premium paid (c)(2) shall be furnished on or before Service, 1111 Constitution Avenue NW., for the contract, along with the date of January 31 following the calendar year Washington, DC, or sent electronically, the premium payment; and for which the report required by via the Federal eRulemaking Portal at (vi) Such other information as the paragraph (a)(3) of this section is http://www.regulations.gov (IRS REG– Commissioner may require. required. 110980–10). The public hearing will be (b) Manner and time for filing—(1) (d) Effective/applicability date. This held in the IRS Auditorium, Internal Initial disclosure. The report required by section applies on or after the date of Revenue Building, 1111 Constitution paragraph (a)(2) of this section shall not publication of the Treasury decision Avenue NW., Washington, DC. adopting these rules as final regulations be filed with the Internal Revenue FOR FURTHER INFORMATION CONTACT: in the Federal Register. Service. Concerning the regulations, Peter J. (2) Annual report—(i) Timing. The Steven T. Miller, Marks or Linda S.F. Marshall at (202) report required by paragraph (a)(3) of Deputy Commissioner for Services and 622–6090; concerning submissions of this section shall be filed in accordance Enforcement. comments, the hearing, and/or being with the forms and instructions [FR Doc. 2012–2340 Filed 2–2–12; 8:45 am] placed on the building access list to prescribed by the Commissioner. Such a BILLING CODE 4830–01–P attend the hearing, Oluwafunmilayo report must be filed for each calendar (Funmi) Taylor at (202) 622–7180 (not year beginning with the year in which toll-free numbers). premiums for a contract are first paid DEPARTMENT OF THE TREASURY SUPPLEMENTARY INFORMATION: and ending with the earlier of the year in which the individual in whose name Internal Revenue Service Background the contract has been purchased attains Section 401(a)(11) of the Internal age 85 (as adjusted pursuant to 26 CFR Part 1 Revenue Code (Code) provides that, in § 1.401(a)(9)–6, A–17(d)(3)(ii)) or dies. [REG–110980–10] order for a defined benefit plan to (ii) Surviving spouse. If the individual qualify under section 401(a), and except dies and the sole beneficiary under the RIN 1545–BJ55 as provided under section 417, in the contract is the individual’s spouse (in case of a vested participant who does which case the spouse’s annuity would Modifications to Minimum Present not die before the annuity starting date, not be required to commence until the Value Requirements for Partial Annuity the accrued benefit payable to such individual would have attained age 85), Distribution Options Under Defined participant must be provided in the the report must continue to be filed for Benefit Pension Plans form of a qualified joint and survivor each calendar year until the calendar AGENCY: Internal Revenue Service (IRS), annuity. In the case of a vested year in which the distributions to the Treasury. participant who dies before the annuity spouse commence or in which the ACTION: Notice of proposed rulemaking starting date and who has a surviving spouse dies, if earlier. and notice of public hearing. spouse, a defined benefit plan must (c) Issuer statements. (1) Initial provide a qualified preretirement disclosure. Each issuer required to make SUMMARY: This document contains survivor annuity to the surviving spouse a report required by paragraph (a)(2) of proposed regulations providing of such participant, except as provided this section shall furnish to the guidance relating to the minimum under section 417. individual in whose name the contract present value requirements applicable Section 417(e)(1) provides that a plan has been purchased a statement to certain defined benefit pension plans. may provide that the present value of a containing the information in the report. These proposed regulations would qualified joint and survivor annuity or The statement shall be furnished at the change the regulations regarding the a qualified preretirement survivor time of purchase. The statement is not minimum present value requirements annuity will be immediately distributed required to include information that the for defined benefit plan distributions to if that present value does not exceed the issuer has already provided to the permit plans to simplify the treatment of amount that can be distributed without

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the participant’s consent under section portion thereof) may be, under the terms of Social Security supplements or 411(a)(11). Section 417(e)(2) provides of the plan, equal to the amount qualified disability benefits. that, if the present value of the qualified expressed as the hypothetical account Notice 2007–81 2007–2 CB 899 joint and survivor annuity or the balance or as an accumulated (2007), (see § 601.601(d)(2)(ii)(b) of this qualified preretirement survivor annuity percentage of such participant’s final chapter) provides guidance on the exceeds the amount that can be average compensation. Section corporate bond yield curve and the distributed without the participant’s 411(a)(13)(C) defines the term segment rates used under section 430, as consent under section 411(a)(11), then a ‘‘applicable defined benefit plan’’ to well as the interest rates for determining plan may immediately distribute the mean a defined benefit plan under minimum present values under section present value of a qualified joint and which the accrued benefit (or any 417(e)(3), to implement changes to the survivor annuity or the qualified portion thereof) is calculated as the funding rules and minimum present preretirement survivor annuity only if balance of a hypothetical account value requirements made in PPA ’06. the participant and the spouse of the maintained for the participant or as an Rev. Rul. 2007–67 2007–2 CB 1047 participant (or where the participant has accumulated percentage of the (2007), (see § 601.601(d)(2)(ii)(b) of this died, the surviving spouse) consent in participant’s final average chapter) provides that the applicable writing to the distribution. compensation. mortality table for a given year applies Section 417(e)(3)(A) provides that the Section 1107(a)(2) of PPA ’06 to distributions with annuity starting present value shall not be less than the provides that a pension plan does not dates that occur during stability periods present value calculated by using the fail to meet the requirements of section that begin during that calendar year. applicable mortality table and the 411(d)(6) by reason of a plan Under Rev. Rul. 2007–67, the applicable applicable interest rate.1 amendment to which section 1107 mortality table for 2008 was based on a Section 417(e)(3)(B) of the Code, as applies, except as provided by the fixed blend of 50 percent of the static amended by section 302 of the Pension Secretary of the Treasury. Section 1107 male combined mortality rates and 50 Protection Act of 2006 (PPA ’06), Public of PPA ’06 applies to plan amendments percent of the static female combined Law 109–280, 120 Stat. 780 (2006), made pursuant to the provisions of PPA mortality rates promulgated under provides that the term ‘‘applicable ’06 or regulations issued thereunder that § 1.430(h)(3)–1(c)(3) of the proposed mortality table’’ means a mortality table, are adopted no later than a specified regulations (which were later issued as modified as appropriate by the date, generally the last day of the first final regulations). Rev. Rul. 2007–67 Secretary, based on the mortality table plan year beginning on or after January provides that updated section 417(e)(3) specified for the plan year under section 1, 2009. applicable mortality tables will be 430(h)(3)(A) (without regard to section Final regulations under section 417 published for each calendar year in 430(h)(3)(C) or (3)(D)). relating to the qualified joint and future guidance and, except as provided Section 417(e)(3)(C) of the Code, as survivor and qualified preretirement in that future guidance, will be amended by section 302 of PPA ’06, survivor annuity requirements were determined from the section provides that the term ‘‘applicable issued on August 22, 1988. The final 430(h)(3)(A) tables on the same basis as interest rate’’ means the adjusted first, regulations were amended on April 3, the applicable mortality table for 2008.2 second, and third segment rates applied 1998, to reflect changes enacted by the Rev. Rul. 2007–67 provides that an under rules similar to the rules of Uruguay Round Agreements Act, Public amendment to determine the applicable section 430(h)(2)(C) of the Code for the Law 103–465 (GATT). interest rate under the section 417(e)(3) month before the date of the distribution Section 1.417(e)–1(d)(1) provides that rules in effect for plan years beginning or such other time as the Secretary may a defined benefit plan generally must on or after January 1, 2008, will not prescribe by regulations. Under section provide that the present value of any violate section 411(d)(6) solely because 417(e)(3)(D), these rates are to be accrued benefit and the amount of any of a reduction in accrued benefits or a determined using the average yields for distribution, including a single sum, reduction in the amount of any a month, rather than the 24-month must not be less than the amount distribution with an annuity starting average used under section 430(h)(2)(D). calculated using the specified date occurring during a plan year Section 417(e)(3)(D) also provides applicable interest rate and the specified beginning in 2008 or in a subsequent special rules applicable for plan years applicable mortality table. The present year if the cause of such reduction is the beginning in 2008 through 2011 under value of any optional form of benefit substitution of the modified segment which the applicable interest rate is cannot be less than the present value of rates for the 30-year Treasury rate for based on a blend of the interest rates the accrued benefit determined in the same period. Additionally, Rev. Rul. under section 417(e)(3)(C) and the accordance with the preceding sentence. 2007–67 provides that a plan previously applicable 30-year Treasury Section 1.417(e)–1(d)(6) provides an amendment to incorporate by reference rate. exception from the minimum present the applicable mortality table under Section 411(a)(13) of the Code, as value requirements of section 417(e) and section 417(e)(3) that is prescribed by added by section 701(b) of PPA ’06, § 1.417(e)–1(d). This exception applies Rev. Rul. 2007–67 and by subsequent provides that an ‘‘applicable defined to the amount of a distribution paid in guidance will not violate section benefit plan’’ is not treated as failing to the form of an annual benefit that either 411(d)(6) solely because of a reduction meet the requirements of section 417(e) does not decrease during the life of the in accrued benefits or a reduction in the with respect to accrued benefits derived participant (or, in the case of a qualified amount of any distribution with an from employer contributions solely preretirement survivor annuity, the life annuity starting date occurring during a because the present value of a of the participant’s spouse), or that plan year beginning in 2008 or in a participant’s accrued benefit (or any decreases during the life of the subsequent year if the cause of such participant merely because of the death reduction is the substitution of the 1 Under section 411(a)(11)(B), the same actuarial of the survivor annuitant (but only if the assumptions are used for purposes of determining reduction is to a level not below 50 2 Notice 2008–85, 2008–2 CB 905, sets forth the whether the present value of a participant’s percent of the annual benefit payable section 417(e)(3) applicable mortality tables for nonforfeitable accrued benefit exceeds the distributions with annuity starting dates that occur maximum amount that can be immediately before the death of such survivor during stability periods that begin during calendar distributed without the participant’s consent. annuitant) or the cessation or reduction years 2009 through 2013.

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applicable section 417(e)(3) mortality The proposed regulations would a participant to make separate elections table for the prior applicable mortality provide an exception to this rule in the of optional forms of benefit with respect table under section 417(e)(3). case of a plan with a bifurcated accrued to each of those portions of the accrued Rev. Rul. 2007–67 also provides benefit as defined in the proposed benefit. guidance regarding the applicable regulations. Under this exception, such A second type of plan with a interest rate used under section a plan is permitted to provide that, if a bifurcated accrued benefit that would be 417(e)(3) pursuant to the PPA ’06 participant selects two different eligible for this treatment is a plan that changes. Pursuant to Rev. Rul. 2007–67, distribution options with respect to provides for a participant to apply the rules of §§ 1.417(e)–1(d)(4) and separate portions of the bifurcated different distribution elections to 1.417(e)–1(d)(10)(ii) regarding the time accrued benefit, then the two different different portions of the accrued benefit for determining the applicable interest distribution options are treated as two so that the amount of the distribution, rate continue to apply for plan years separate optional forms of benefit for with respect to the distribution election beginning on or after January 1, 2008, purposes of applying the requirements applied to its respective portion of the without regard to the change in the basis of section 417(e)(3). Thus, if this rule accrued benefit, is the pro rata portion for determining the applicable interest applies to treat two separate distribution of the amount of the distribution that rate. options selected with respect to separate would be determined if that distribution The Worker, Retiree, and Employer portions of a bifurcated accrued benefit election had been applied to the entire Recovery Act of 2008, Public Law 109– as two separate optional forms of accrued benefit. An example of such a 280 (120 Stat. 780 (2008)), amended benefit, and one of those separate plan is a plan that provides both a section 415(b)(2)(E)(v) to provide that optional forms of benefit is exempt from single-sum option and a joint and the applicable mortality table under the requirement to use the section survivor option for the entire benefit, section 417(e)(3)(B) applies for purposes 417(e)(3) assumptions, then that but allows a participant to select an of adjusting a benefit or limitation exemption would apply to that separate optional form which is 25 percent of the pursuant to section 415(b)(2)(B), (C), or optional form of benefit. In such a case, full lump sum and 75 percent of the full (D). the plan would have to apply the joint and survivor annuity. section 417(e)(3) assumptions only to A third type of plan with a bifurcated Explanation of Provisions the separate optional form of benefit accrued benefit that would be eligible Treatment of Bifurcated Accrued that is not so exempted (rather than for this treatment is a plan that provides Benefits apply those assumptions to the entire a single-sum distribution option with optional form of benefit). respect to only a portion of the benefit These proposed regulations would The primary impact of this proposed and provides a separate benefit election amend the current final regulations change would be to make it simpler and for the remainder of the distribution. In under section 417(e) to permit plans to easier for a plan to offer an optional order to satisfy the requirements to be simplify the treatment of certain form of benefit that is a combination of this type of plan with a bifurcated optional forms of benefit that are paid a single-sum payment and an annuity. accrued benefit, the amount of the partly in the form of an annuity that is Allowing a plan to apply a bifurcated distribution that is not paid in a single excepted from the minimum present approach would permit the plan to use sum must be no less than the amount value requirements of section 417(e)(3) the section 417(e)(3) assumptions for the that would be payable under the rules pursuant to § 1.417(e)–1(d)(6) and partly single-sum portion of the optional form described in the prior paragraph had a in a more accelerated form. Where a and its usual annuity equivalence single sum election been available with defined benefit plan offers a single-sum factors for the annuity portion (rather respect to the entire accrued benefit, distribution or other form of accelerated than being required to make a special where the single sum is determined as distribution as an optional form of calculation of the annuity portion using the present value of the accrued benefit benefit in addition to the required the section 417(e)(3) assumptions). Not payable at normal retirement age (or the qualified joint and survivor annuity, only would this be simpler immediate annuity if the participant is many participants have been reluctant administratively, it would also yield a older than normal retirement age) to elect lifetime payments to insure more intuitive result. determined using the applicable interest against unexpected longevity, choosing One type of plan with a bifurcated rates and the applicable mortality table. instead an accelerated distribution form accrued benefit that would be eligible An example of such a plan is a plan that in order to maximize their liquidity. for this treatment is a plan that provides provides that a participant can elect to However, participants who elect a single for two separate portions of the accrued receive in a single sum an amount equal sum or other accelerated form of benefit that are determined without to the employee contributions, distribution may face a greater challenge regard to any election of optional form accumulated with interest, with the in protecting themselves against the risk of benefit and permits a participant to remainder of the accrued benefit paid of outliving their retirement savings. choose different forms of benefit with under one of the annuity optional forms The IRS and the Treasury Department respect to each of those portions of the of benefit available under the plan in an believe that many participants would be accrued benefit. An example of such a amount sufficient to satisfy the better served by having the opportunity plan is a plan that has been amended to requirements under the proposed to elect to receive a portion of their accrue benefits under a different plan regulations. retirement benefits in annuity form formula, where a participant’s benefit is As previously discussed, the (which provides financial protection the sum of the participant’s accrued proposed regulations would make the against unexpected longevity) while benefit for years of service before the bifurcation of benefits for purposes of receiving accelerated payments for the amendment date, determined under the section 417(e)(3) conditional on the remainder of the benefit to provide pre-amendment plan terms, plus the existence of plan terms that explicitly increased liquidity during retirement. participant’s accrued benefit for years of provide that, if a participant selects two Under current regulations, both portions service after the amendment date, different distribution options with of such a distribution option are subject determined under the post-amendment respect to separate portions of the to the minimum present value plan terms, with no interaction between bifurcated accrued benefit, then the two requirements of section 417(e)(3). the two formulas, and the plan permits different distribution options are treated

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as two separate optional forms of benefit entities, the Regulatory Flexibility Act Exempt and Government Entities). for purposes of applying the (5 U.S.C. chapter 6) does not apply. However, other personnel from the IRS requirements of section 417(e)(3). To Pursuant to section 7805(f) of the Code, and the Treasury Department provide for such bifurcated treatment, a this notice of proposed rule making has participated in the development of these plan sponsor would be required to been submitted to the Chief Counsel for regulations. amend its plan to provide for use of the Advocacy of the Small Business plan factors that generally apply to Administration for comment on its List of Subjects in 26 CFR Part 1 annuity distributions instead of the impact on small business. Income taxes, Reporting and section 417(e)(3) assumptions in these recordkeeping requirements. Comments and Public Hearing circumstances. Any plan amendment Before these proposed regulations are Proposed Amendments to the must comply with the requirements of Regulations section 411(d)(6). See the discussion in adopted as final regulations, this preamble under the heading consideration will be given to any Accordingly, 26 CFR part 1 is ‘‘Effective/Applicability Date.’’ written (a signed original and eight (8) proposed to be amended as follows: The Treasury Department and the IRS copies) or electronic comments that are recognize that additional modifications submitted timely to the IRS. The PART 1—INCOME TAXES to the regulations under section Treasury Department and the IRS Paragraph 1. The authority citation 417(e)(3) are needed in light of the request comments on all aspects of these for part 1 continues to read in part as enactment of PPA ‘06. It is expected that proposed regulations. In particular, the follows: additional proposed amendments to the Treasury Department and the IRS regulations under section 417(e)(3) will request comments regarding whether Authority: 26 U.S.C. 7805 * * * be issued to reflect statutory changes the special rules in these proposed Par. 2. Section 1.417(e)–1 is amended and to make other clarifications. regulations regarding bifurcated accrued by: benefits should be extended to any 1. Redesignating paragraph (d)(1) as Effective/Applicability Date types of benefits that are not covered by newly designated paragraph (d)(1)(i) These regulations are proposed to be the rules in these proposed regulations. and revising the heading of the newly effective on the date of publication of All comments will be available for designated paragraph (d)(1)(i). the Treasury decision adopting these public inspection or copying at 2. Adding a new paragraph (d)(1)(ii). rules as final regulations in the Federal www.regulations.gov or upon request. A 3. Revising paragraphs (d)(7) and Register. public hearing has been scheduled for (d)(8)(i). The changes under the proposed June 1, 2012, beginning at 10 a.m. in the 4. Adding a new paragraph (d)(8)(v). regulations are proposed to apply to Auditorium, Internal Revenue Service, The additions and revisions read as distributions with annuity starting dates 1111 Constitution Avenue NW., follows: in plan years beginning after the Washington, DC. Due to building publication date of final regulations. If security procedures, visitors must enter § 1.417(e)–1 Restrictions and valuations of the regulations are finalized as proposed distributions from plans subject to sections at the Constitution Avenue entrance. In 401(a)(11) and 417. and a plan that previously provided for addition, all visitors must present photo a partial single-sum distribution identification to enter the building. * * * * * together with a specified annuity Because of access restrictions, visitors (d) Present value requirement—(1) distribution is amended to treat that will not be admitted beyond the General rule—(i) Defined benefit plans. distribution form as a bifurcated immediate entrance area more than 30 *** accrued benefit (and applies less minutes before the hearing starts. For (ii) Defined contribution plans. favorable actuarial factors to the portion information about having your name Because the accrued benefit under a of the benefit that is not subject to placed on the building access list to defined contribution plan equals the account balance, a defined contribution section 417(e)(3)), then the plan must attend the hearing, see the FOR FURTHER plan is not subject to the requirements comply with the requirements of section INFORMATION CONTACT section of this 411(d)(6). This can be done by preamble. of this paragraph (d), regardless of providing that, after the applicable The rules of 26 CFR 601.601(a)(3) whether the requirements of section amendment date under § 1.411(d)– apply to the hearing. Persons who wish 401(a)(11) apply to the plan. 3(g)(4), the amount of each portion of a to present oral comments at the hearing * * * * * distribution is not less than the amount must submit written or electronic (7) Permitted bifurcation of certain that would have been payable under the comments by May 3, 2012, and an optional forms of benefit—(i) General plan provisions in effect before the outline of topics to be discussed and the rule. A plan with a bifurcated accrued amendment applied to the participant’s amount of time to be devoted to each benefit (as described in paragraph accrued benefit as of the applicable topic (a signed original and eight (8) (d)(7)(ii) of this section) is permitted to amendment date. copies) by May 11, 2012. A period of 10 provide that, if a participant selects two minutes will be allotted to each person different distribution options with Special Analyses for making comments. An agenda respect to separate portions of the It has been determined that this notice showing the scheduling of the speakers bifurcated accrued benefit, then the two of proposed rule making is not a will be prepared after the deadline for different distribution options are treated significant regulatory action as defined receiving outlines has passed. Copies of as two separate optional forms of benefit in Executive Order 12866. Therefore, a the agenda will be available free of for purposes of applying the regulatory assessment is not required. It charge at the hearing. requirements of section 417(e)(3) and also has been determined that section this paragraph (d). Thus, if this 553(b) of the Administrative Procedure Drafting Information paragraph (d)(7) applies to treat two Act (5 U.S.C. chapter 5) does not apply The principal authors of these separate distribution options selected to these regulations, and because the regulations are Peter J. Marks and Linda with respect to separate portions of a proposed regulation does not impose a S.F. Marshall, Office of Division bifurcated accrued benefit as two collection of information on small Counsel/Associate Chief Counsel (Tax separate optional forms of benefit, and

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the exception from the application of (A) The plan provides for a specified annuity, the single sum and the annuity are paragraph (d) of this section that is amount to be distributed in a single treated as two separate optional forms of contained in paragraph (d)(6) of this sum, with the remainder distributed as benefit for purposes of applying the section applies to one of those optional another distribution option payable provisions of the plan implementing the requirements of section 417(e)(3) and forms of benefit, then this paragraph (d) under the plan; § 1.417(e)–1(d). Assume that the December applies only to the optional form of (B) A single-sum distribution is not 2012 segment rates are 3.21%, 5.19% and benefit to which the exception under available with respect to the 5.67% for purposes of this example. paragraph (d)(6) of this section does not participant’s entire accrued benefit; and (ii) Participant S retires at age 62 in 2013, apply. (C) The amount of the distribution with an accrued benefit of $1,000 per month (ii) Bifurcated accrued benefit—(A) In that is not paid in a single sum is not payable as a straight life annuity at normal general. A plan provides a bifurcated less than the amount that would be retirement age. Participant S is eligible for an accrued benefit within the meaning of payable if— unreduced early retirement benefit and can this paragraph (d)(7)(ii) if the plan (1) A single sum election were therefore collect a straight life annuity benefit satisfies the requirements of paragraph available with respect to the entire of $1,000 per month beginning immediately. Alternatively, Participant S can elect to (d)(7)(iii) of this section (relating to accrued benefit, where the single sum is receive the benefit in other forms, including separately determined benefits), the present value of the accrued benefit a single-sum payment of $153,852 (based on (d)(7)(iv) of this section (relating to payable at normal retirement age (or the the applicable interest rate and mortality separate distribution options for immediate annuity if the participant is table under section 417(e), which are the proportionate benefits), or (d)(7)(v) of older than normal retirement age) 2013 applicable mortality table and the this section (relating to single sum with determined using the applicable interest December 2012 segment rates), or a 100% separate distribution option for rates and the applicable mortality table; joint and survivor annuity of $850 per month remainder). (2) The participant elected to receive (based on the plan’s annuity conversion (B) Rules of operation. If a plan the specified amount in a single sum; factors). Participant S elects to receive 25% of the benefit in the form of a single-sum provides a bifurcated accrued benefit and payment and the balance as a 100% joint and within the meaning of this paragraph (3) The rules of paragraph (d)(7)(iv) of survivor annuity. (d)(7)(ii), and one portion of the benefits this section were applied to determine (iii) In accordance with paragraph (d)(7)(iv) under the plan would itself be a the amount of the distribution that is of this section, Plan B provides for a bifurcated accrued benefit if it were the not paid in a single sum. bifurcated accrued benefit because Plan B entire accrued benefit, then the rules of (vi) Examples. The following provides for a participant to select a single- paragraph (d)(7)(i) of this section may be examples illustrate the rules of this sum distribution with respect to a portion of re-applied to such portion. paragraph (d)(7). Unless otherwise the accrued benefit and an annuity (iii) Separately determined benefits. A indicated, these examples are based on distribution option with respect to the plan satisfies the requirements of this the following assumptions: Each plan is remaining portion of the accrued benefit. a single-employer defined benefit plan Each distribution option is available with paragraph (d)(7)(iii) if the plan provides respect to the entire accrued benefit, and the for two separate portions of the accrued with a calendar-year plan year, a one- amount of the distribution with respect to benefit that are determined without year stability period coinciding with the each distribution option applied to its regard to any election of optional form calendar year, and a one-month respective portion of the accrued benefit is of benefit and permits a participant to lookback used for determining the the pro rata portion of the amount of the select different distribution options with applicable interest rate. The normal distribution that would be determined if that respect to each of those portions of the retirement age is 65, and all participant distribution option had been applied to the accrued benefit. elections are made with proper spousal entire accrued benefit. Furthermore, Plan B (iv) Separate elections for consent. In addition, these examples provides that the two different distribution proportionate benefits. A plan satisfies reflect the amendments to sections 417 options selected with respect to each of those portions of the accrued benefit are treated as the requirements of this paragraph and 411 that were made in the Pension two separate optional forms of benefit for (d)(7)(iv) if— Protection Act of 2006, Public Law 109– purposes of applying the provisions of Plan (A) The plan provides for a 280, 120 Stat. 780 (2006). B implementing the requirements of section participant to select one distribution Example 1. (i) Plan B offers a number of 417(e)(3) and § 1.417(e)–1(d). Accordingly, option with respect to a portion of the optional forms of payment, including a Participant S receives a single sum payment accrued benefit and a different qualified joint and survivor annuity and a equal to 25% of the full single sum amount, distribution option with respect to the single-sum payment. The single-sum or $38,463. In addition, Participant S receives remaining portion of the accrued payment is equal to the present value of the a 100% joint and survivor annuity in the benefit; participant’s immediate benefit (but no less amount of $637.50 per month, equal to 75% (B) The distribution option selected than the present value of the participant’s of the full joint and survivor benefit of $850 with respect to each of the separate accrued benefit) using the applicable interest per month otherwise payable. The joint and survivor benefit is not subject to the portions of the accrued benefit is and mortality rates under section 417(e)(3). The amount of the joint and survivor annuity minimum present value requirements of available with respect to the entire is determined using plan factors that are not section 417(e)(3) because it is treated as a accrued benefit; and based on the applicable interest and separate optional form of benefit under (C) The amount of the distribution mortality rates under section 417(e)(3). Plan paragraph (d)(7)(i) of this section. with respect to each distribution option B permits a participant to elect to receive a Example 2. (i) Plan C permits participants applied to its respective portion of the percentage of the accrued benefit chosen by to elect a partial single sum equal to accrued benefit is the pro rata portion of the participant as a single sum and the employee contributions, accumulated with the amount of the distribution that remainder in any annuity form provided interest. Any other amounts must be paid in would be determined if that distribution under the plan, with both portions of the the form of an annuity. Under the terms of Plan C, if a participant elects to receive this option had been applied to the entire payment determined by multiplying the amount that would be payable if the entire partial single sum, the annuity benefit accrued benefit. benefit were paid in that form by the payable to the participant is at least as great (v) Single sum with separate election percentage that applies to that distribution as the minimum amount determined for remainder. A plan satisfies the option. Plan B provides that, with respect to pursuant to paragraph (d)(7)(v)(C) of this requirements of this paragraph (d)(7)(v) a distribution that is paid partly in the form section. Plan C provides that, with respect to if— of a single sum and partly in the form of an a distribution that is paid partly in the form

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of a single sum and partly in the form of an retirement and optional form factors, the determine the minimum amount of annuity, the single sum and the annuity are annuity benefit payable to Participant T in Participant W’s annuity as if a single sum treated as two separate optional forms of the form of a 10-year certain and continuous payment were available, equal to the present benefit for purposes of applying the annuity beginning at age 60 cannot be less value of W’s full accrued benefit. provisions of the plan implementing the than $925 times 79.73% or $737.50 per (iii) If Plan D had offered a single sum requirements of section 417(e)(3) and month. Participant T receives this in addition payment option with respect to Participant § 1.417(e)–1(d). Participant T retires at age 60 to the single sum payment of $32,000. The W’s full accrued benefit of $1,000 per month, in 2013 with an accrued benefit of $1,500 per 10-year certain and continuous benefit is not the minimum present value based on the month payable as a straight life annuity subject to the minimum present value applicable mortality table for 2013 and the payable at normal retirement age. Based on requirements of section 417(e)(3) because it assumed December 2012 segment rates the plan’s early retirement and optional form is treated as a separate optional form of would have been $1,000 × 12 × the deferred factors (which are not based on the benefit under paragraph (d)(7)(i) of this annuity factor of 6.558, or $78,696. The applicable interest and mortality rates under section. single sum payment actually available to section 417(e)(3)), Participant T’s benefit Example 3. (i) Plan D permits participants Participant W under the provisions of Plan D commencing at age 60 in the form of a 10- to elect a single-sum payment of up to is $10,000, which represents 12.71% of the year certain and continuous annuity would $10,000 with the remaining benefit payable single sum value of W’s full accrued benefit be $925 per month. Participant T elects to in the form of an annuity. Under the terms ($10,000 ÷ $78,696 = 12.71%). receive a single sum payment of $32,000 of Plan D, if a participant elects to receive (iv) Therefore, the portion of Participant equal to T’s accumulated contributions with this partial single sum, the annuity benefit W’s accrued benefit not payable as a single interest, and the remainder as a 10-year payable to the participant is at least as great sum must be at least as great as the amount certain and continuous annuity. Assume that as the minimum amount determined based on the remaining 87.29% of W’s the December 2012 segment rates are the pursuant to paragraph (d)(7)(v)(C) of this benefit multiplied by the accrued benefit of same as those assumed in Example 1. Based section. Plan D provides that, with respect to $1,000 per month, or $872.90 per month on the applicable mortality table for 2013 and a distribution that is paid partly in the form payable at normal retirement age. Based on the December 2012 segment rates, the of a single sum and partly in the form of an Plan D’s early retirement and optional form deferred annuity factor at age 60 for lifetime annuity, the single sum and the annuity are factors, the annuity benefit payable to payments commencing at age 65 is 8.769. treated as two separate optional forms of Participant W in the form of a 100% joint- (ii) In accordance with paragraph (d)(7)(v) benefit for purposes of applying the and-survivor annuity beginning at age 55 is of this section, Plan C provides for a provisions of the plan implementing the no less than 87.29% × $800, or $698.32 per bifurcated accrued benefit because Plan C requirements of section 417(e)(3) and month. Participant W receives this in provides for a specified amount to be § 1.417(e)–1(d). Participant W retires in 2013 addition to the single sum payment of distributed in a single sum, with the at age 55 with an accrued benefit of $1,000 $10,000. The joint and survivor annuity remainder distributed as another distribution per month payable at normal retirement age. benefit is not subject to the minimum present option payable under the plan, a single-sum Participant W is eligible for an unreduced value requirements of section 417(e)(3) distribution is not available with respect to early retirement benefit of $1,000 per month because it is treated as a separate optional a participant’s entire accrued benefit, and the payable as a straight life annuity. form of benefit under paragraph (d)(7)(i) of amount of the distribution that is not paid in Alternatively, based on Plan D’s definition of this section. a single sum meets the requirements of actuarial equivalence (which is not based on Example 4. (i) Plan E was amended to paragraph (d)(7)(v)(C) of this section. the applicable interest and mortality rates freeze benefits under the traditional plan Furthermore, Plan C provides that, with under section 417(e)(3)), Participant W can formula as of December 31, 2012, and to respect to a distribution that is paid partly in receive an immediate benefit in the form of provide benefits under a cash balance the form of a single sum and partly in the a 100% joint-and-survivor annuity of $800 formula beginning January 1, 2013. The plan form of an annuity, the single sum and the per month. Participant W elects to receive a provides that participants may elect separate annuity are treated as two separate optional single sum payment of $10,000, with the distribution options for the portion of the forms of benefit for purposes of applying the balance of the benefit payable as a 100% benefit accrued under the traditional formula provisions of the plan implementing the joint-and-survivor annuity beginning at age as of December 31, 2012, and the portion of requirements of section 417(e)(3) and 55. Assume that the December 2012 segment the benefit earned under the cash balance § 1.417(e)–1(d). Accordingly, the rule for rates are the same as those assumed in formula. Furthermore, the plan provides that proportional benefits under paragraph Example 1. Based on the applicable mortality a participant may elect to receive a single- (d)(7)(iv) of this section is applied to table for 2013 and the December 2012 sum payment only with respect to the determine the minimum amount of segment rates, the deferred annuity factor at portion of the benefit earned under the cash Participant T’s annuity as if a single sum age 55 for lifetime payments commencing at balance formula. Plan E provides that the two payment were available, equal to the present age 65 is 6.558. distribution options selected with respect to value of T’s full accrued benefit. If Plan C (ii) In accordance with paragraph (d)(7)(v) the portion of the benefit accrued under the had offered a single sum payment option of this section, Plan D provides for a traditional formula as of December 31, 2012, with respect to Participant T’s full accrued bifurcated accrued benefit because Plan D and the portion of the benefit earned under benefit of $1,500 per month, the minimum provides for a specified amount to be the cash balance formula are treated as two present value based on the applicable distributed in a single sum, with the separate optional forms of benefit for mortality table for 2013 and the assumed remainder distributed as another distribution purposes of applying the provisions of Plan December 2012 segment rates would have option payable under the plan, a single-sum E implementing the requirements of section been $1,500 × 12 × the deferred annuity distribution is not available with respect to 417(e)(3) and § 1.417(e)–1(d). factor of 8.769, or $157,842. The single sum a participant’s entire accrued benefit, and the (ii) In accordance with paragraph (d)(7)(iii) payment actually available to Participant T amount of the distribution that is not paid in of this section, Plan E provides for a under the provisions of Plan C is the amount a single sum meets the requirements of bifurcated accrued benefit because the of accumulated contributions with interest, paragraph (d)(7)(v)(C) of this section. portion of the accrued benefit determined or $32,000 which represents 20.27% of the Furthermore, Plan D provides that, with under the traditional formula and the portion single sum value of Participant T’s full respect to a distribution that is paid partly in of the accrued benefit determined under the accrued benefit ($32,000 ÷ $157,842 = the form of a single sum and partly in the cash balance formula are determined 20.27%). form of an annuity, the single sum and the separately without regard to any election of (iii) Therefore, the portion of T’s accrued annuity are treated as two separate optional optional form of benefit and Plan E permits benefit not payable as a single sum must be forms of benefit for purposes of applying the a participant to select different distribution at least as great as the amount based on the provisions of the plan implementing the options with respect to both of those portions remaining 79.73% of T’s benefit multiplied requirements of section 417(e)(3) and of the accrued benefit. Furthermore, as by the accrued benefit of $1,500 per month, § 1.417(e)–1(d). Accordingly, the rule for permitted by paragraph (d)(7)(i) of this or $1,195.95 per month payable at normal proportional benefits under paragraph section, Plan E provides that the two retirement age. Based on Plan C’s early (d)(7)(iv) of this section is applied to different distribution options selected with

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respect to each of those portions of the to the remaining portion of the cash balance DEPARTMENT OF JUSTICE accrued benefit are treated as two separate formula accrued benefit, each distribution optional forms of benefit for purposes of option is available with respect to the entire Bureau of Alcohol, Tobacco, Firearms, applying the provisions of Plan E cash balance formula accrued benefit, and and Explosives implementing the requirements of section the amount of the distribution with respect 417(e)(3) and § 1.417(e)–1(d). Therefore, to each distribution option applied to its whether a participant elects to receive a 27 CFR Part 478 respective portion of the cash balance single sum payment of the portion of the [Docket No. ATF 32P; AG Order No. 3321– formula accrued benefit is the pro rata benefit earned under the cash balance 2012] formula does not affect whether the portion of the amount of the distribution that distribution elected with respect to the would be determined if that distribution RIN 1140–AA38 portion of the benefit earned as of December option had been applied to the entire cash 31, 2012, is subject to the minimum present balance formula accrued benefit. Federal Firearms License value requirements of section 417(e)(3). Furthermore, Plan E provides that the two Proceedings—Hearings (2008R–15P) Example 5. (i) The facts are the same as different distribution options selected with AGENCY: Bureau of Alcohol, Tobacco, in Example 4, except that Plan E also permits respect to each of those portions of the cash a participant to elect, with respect to the cash Firearms, and Explosives (ATF), balance formula accrued benefit are treated balance portion of the benefit, to receive a Department of Justice. as two separate optional forms of benefit for percentage of the accrued benefit chosen by ACTION: Notice of proposed rulemaking. the participant as a single sum and the purposes of applying the provisions of Plan E implementing the requirements of section remainder in any annuity form provided SUMMARY: The Department of Justice is under the plan, with both portions of the 417(e)(3) and § 1.417(e)–1(d). Thus, under 1 proposing to amend the regulations of payment determined by multiplying the paragraph (d)(7)(iv) of this section, ⁄3 of the the Bureau of Alcohol, Tobacco, amount that would be payable if the entire cash balance hypothetical account is paid as Firearms, and Explosives (ATF) benefit were paid in that form by the a single sum (that is, $15,000 ÷ $45,000), and regarding administrative hearings held percentage that applies to that distribution the remaining 2⁄3 of the cash balance as part of firearms license proceedings. option. Plan E provides that, with respect to hypothetical account, or $30,000, is such a distribution that is paid partly in the This proposed rule clarifies that such converted to an annuity benefit of 2⁄3 × $320, form of a single sum and partly in the form hearings are held in an informal setting or $213.33 per month. of an annuity, the single sum and the annuity (iv) Participant X therefore receives a and that persons requesting a hearing are treated as two separate optional forms of will be afforded the opportunity to benefit for purposes of applying the single sum payment of $15,000, representing the portion of the current hypothetical submit facts, arguments, offers of provisions of the plan implementing the settlement, or proposals of adjustment requirements of section 417(e)(3) and account balance that X elected to receive as § 1.417(e)–1(d). Participant X retires at age a single sum. In addition, Participant X for review and consideration. The 65, with an accrued benefit under the receives a monthly life annuity of $713.33 proposed regulations are intended to traditional formula of $500 per month per month (equal to the $500 benefit ensure that federal firearms licensees (earned as of December 31, 2012), and a cash attributable to the benefit earned as of and persons applying for a federal balance hypothetical account of $45,000. December 31, 2012, plus the $213.33 portion firearms license are familiar with the Based on Plan E’s actuarial equivalence of the cash balance benefit paid as an hearing process relative to the denial, factors, Participant X’s accrued benefit annuity). Participant X’s election to receive a suspension, or revocation of a firearms derived from the cash balance hypothetical license, or imposition of a civil fine. account is $320 per month, payable as a life single sum payment of part of the benefit annuity at normal retirement. Participant V earned under the cash balance formula does DATES: Written comments must be elects to receive $15,000 of the current not affect whether the remainder of postmarked and electronic comments hypothetical account balance in the form of Participant X’s distribution is subject to the must be submitted on or before May 3, a single sum and to receive the remainder of minimum present value requirements of 2012. Commenters should be aware that the total accrued benefit as a life annuity. section 417(e)(3). the electronic Federal Docket (ii) Under the analysis set forth in Example (8) Effective/applicability date—(i) In Management System will not accept 4, Plan E provides for a bifurcated accrued general. Except as otherwise provided comments after Midnight Eastern Time benefit in accordance with paragraph on the last day of the comment period. (d)(7)(C) of this section with respect to the in this paragraph (d)(8), this paragraph portion of the accrued benefit attributable to (d) applies to distributions with annuity ADDRESSES: Send comments to any of the benefit accrued as of December 31, 2012, starting dates in plan years beginning on the following addresses— • and the portion of the accrued benefit or after January 1, 1995. Deborah G. Szczenski, Industry attributable to the benefit earned under the Operations Specialist (Regulations), cash balance formula. Furthermore, Plan E * * * * * Mailstop 6N–602, Enforcement provides that the two different distribution (v) Paragraph (d)(7) of this section Programs and Services, Bureau of options selected with respect to each of those applies to distributions with annuity Alcohol, Tobacco, Firearms, and portions of the accrued benefit are treated as starting dates in plan years beginning on two separate optional forms of benefit for Explosives, 99 New York Avenue NE., purposes of applying the provisions of Plan or after the date final regulations that Washington, DC 20226; Attn: ATF 32P. E implementing the requirements of section finalize these proposed regulations are Written comments must appear in a 417(e)(3) and § 1.417(e)–1(d). Thus, a published in the Federal Register. minimum 12-point size of type (.17 separate distribution option may be chosen * * * * * inches), include your mailing address, for each of these two portions, and section be signed, and may be of any length. 417(e)(3) applies separately to each portion. Steven T. Miller, • (202) 648–9741 (facsimile). (iii) In accordance with paragraphs Deputy Commissioner for Services and • http://www.regulations.gov. Federal (d)(7)(ii)(B) and (d)(7)(iv) of this section, the Enforcement. eRulemaking portal; follow the portion of the accrued benefit under Plan E instructions for submitting comments. earned under the cash balance formula is also [FR Doc. 2012–2341 Filed 2–2–12; 8:45 am] You may also view an electronic a bifurcated accrued benefit because Plan E BILLING CODE 4830–01–P provides for a participant to select a single- version of this proposed rule at the sum distribution with respect to a portion of http://www.regulations.gov site. the cash balance formula accrued benefit and See the Public Participation section at an annuity distribution option with respect the end of the SUPPLEMENTARY

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INFORMATION section for instructions and of Firearms License. In addition, a copy Counsel or authorized Division Counsel. requirements for submitting comments, of the application, marked Pursuant to § 478.77, hearings and for information on how to request ‘‘Disapproved,’’ is furnished to the concerning notification of license a public hearing. applicant. If the decision is that the denials, suspensions, revocations, or the FOR FURTHER INFORMATION CONTACT: license applied for should be issued, the imposition of a civil fine must be held Deborah G. Szczenski, Enforcement applicant will be so notified, in writing, in a location convenient to the aggrieved Programs and Services, Bureau of and the license will be issued. party. Alcohol, Tobacco, Firearms, and Section 478.73 provides that Currently, ATF has procedures Explosives, U.S. Department of Justice, whenever the Director has reason to regarding administrative hearings held 99 New York Avenue NE., Washington, believe that a firearms licensee has as part of firearms license proceedings DC 20226; telephone: (202) 648–7087. willfully violated any provision of the (see ATF 36N, 75 FR 48362, Aug. 10, Act or part 478, a notice of revocation SUPPLEMENTARY INFORMATION: 2010). of the license (ATF Form 4500) may be I. Background issued. In addition, a notice of II. Proposed Rule—Clarification of revocation, suspension, or imposition of Hearing Proceedings The Attorney General is responsible a civil fine may be issued on ATF Form for enforcing the provisions of the Gun As indicated above, the regulations 4500 whenever the Director has reason Control Act of 1968 (‘‘the Act’’), 18 provide certain information regarding to believe that a licensee has knowingly U.S.C. Chapter 44. He has delegated that hearings relative to firearms license transferred a firearm to an unlicensed responsibility to the Director of ATF, proceedings, e.g., who can request a person and knowingly failed to comply subject to the direction of the Attorney hearing, where the hearing is held, and with the requirements of 18 U.S.C. General and the Deputy Attorney that the person requesting a hearing is 922(t)(1), relating to a NICS (National General. 28 CFR 0.130(a). ATF has entitled to representation. ATF believes Instant Criminal Background Check promulgated regulations that implement that other aspects of the hearing process System) background check. the provisions of the Act in 27 CFR Part should be clarified in the regulations. Additionally, under 18 U.S.C. For example, hearings are informal in 478. 924(p)(1)(A) and 922 (z), a notice of The regulations in Subpart E of Part nature and adherence to civil court rules suspension or revocation of a license, or and procedures is not required. In 478, sections 478.71–478.78, relate to the imposition of a civil penalty, may be proceedings involving federal firearms addition, persons who request a hearing issued when a licensee sells, delivers, or have an opportunity at that time for the licenses, including the denial, transfers any handgun to any unlicensed suspension, or revocation of a license, submission and consideration of facts, person without providing a secure gun arguments, offers of settlement, or or the imposition of a civil fine. In storage or safety device for the handgun. particular, § 478.71 provides that the proposals of adjustment. These As specified in § 478.74, a licensee provisions are being incorporated into Director of ATF may issue a notice of who receives a notice of license denial on ATF Form 4498 (Notice of the proposed regulations. suspension or revocation of a license, or The proposed regulations are Denial of Application for License) to an imposition of a civil fine, may file a applicant for a license if he has reason intended to ensure that federal firearms request for a hearing with the Director licensees and applicants for a federal to believe that the applicant is not of Industry Operations. On conclusion qualified, under the provisions of firearms license are familiar with the of the hearing and after consideration of hearing process relative to the denial, § 478.47, to receive a license. The notice all the relevant information presented at sets forth the matters of fact and law suspension, or revocation of a firearms the hearing, the Director renders a license, or imposition of a civil fine. relied upon in determining that the decision and prepares a brief summary application should be denied, and of the findings and conclusions on How This Document Complies With the affords the applicant 15 days from the which the decision was based. If the Federal Administrative Requirements date of receipt of the notice in which to decision is that the license should be for Rulemaking request a hearing to review the denial. revoked or, in actions under 18 U.S.C. A. Executive Order 12866 If a request for a hearing is not filed 922(t)(5) (or 924(p)), that the license within such time, the application is should be revoked or suspended, or that This proposed rule has been drafted disapproved and a copy, so marked, is a civil fine should be imposed, a and reviewed in accordance with returned to the applicant. certified copy of the summary is Executive Order 12866, ‘‘Regulatory Under § 478.72, an applicant who has furnished to the licensee with the final Planning and Review,’’ section 1(b), been denied an original or renewal notice of revocation, suspension, or Principles of Regulation. The license may file a request with the imposition of a civil fine on ATF Form Department of Justice has determined Director of Industry Operations (DIO) 4501. If the decision is that the license that this proposed rule is a ‘‘significant for a hearing to review the denial of the should not be revoked, or in actions regulatory action’’ under Executive application. On conclusion of the under 18 U.S.C. 922(t)(5) (or 924(p)), Order 12866, section 3(f), Regulatory hearing and after consideration of all that the license should not be revoked Planning and Review, and accordingly relevant facts and circumstances or suspended, and a civil fine should this proposed rule has been reviewed by presented by the applicant or his not be imposed, the licensee will be the Office of Management and Budget. representative, the Director (or his or notified in writing. However, this proposed rule will not her delegate) renders a decision Under § 478.76, a firearms licensee or have an annual effect on the economy confirming or reversing the denial of the an applicant for a firearms license may of $100 million, nor will it adversely application. If the decision is that the be represented at a hearing by an affect in a material way the economy, a denial should stand, a certified copy of attorney, certified public accountant, or sector of the economy, productivity, the Director’s findings and conclusions other person recognized to practice competition, jobs, the environment, are furnished to the applicant with a before ATF, provided certain public health or safety, or State, local or final notice of denial, ATF Form 4501 requirements are met. The Director may tribal governments or communities. (now ATF Form 5300.13), Final Notice be represented in hearing proceedings Accordingly, this proposed rule is not of Denial of Application or Revocation by an attorney in the Office of Chief an ‘‘economically significant’’

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rulemaking as defined by Executive E. Small Business Regulatory information posted on the Internet Order 12866. Enforcement Fairness Act of 1996 should submit their comment by mail or The proposed amendments merely This proposed rule is not a major rule facsimile, along with a separate cover clarify that an administrative hearing, as defined by section 251 of the Small sheet that contains their personal pursuant to a firearms license Business Regulatory Enforcement identifying information. Both the cover sheet and comment must reference this proceeding, is held in an informal Fairness Act of 1996, 5 U.S.C. 804. This docket number. Information contained setting where a federal firearms licensee proposed rule will not result in an annual effect on the economy of $100 in the cover sheet will not be posted on or an applicant for a federal firearms the Internet. Any personal identifying license will have the opportunity for the million or more; a major increase in costs or prices; or significant adverse information that appears within the submission and consideration of facts, comment will be posted on the Internet arguments, offers of settlement or effects on competition, employment, investment, productivity, innovation, or and will not be redacted by ATF. proposals of adjustment for review and Any material that the commenter consideration by the Director of ATF. on the ability of United States-based companies to compete with foreign- considers to be inappropriate for B. Executive Order 13132 based companies in domestic and disclosure to the public should not be export markets. included in the comment. Any person This proposed regulation will not submitting a comment shall specifically have substantial direct effects on the F. Unfunded Mandates Reform Act of designate that portion (if any) of his States, on the relationship between the 1995 comments that contains material that is Federal Government and the States, or This proposed rule will not result in confidential under law (e.g., trade on the distribution of power and the expenditure by State, local, and secrets, processes, etc.). Any portion of responsibilities among the various tribal governments, in the aggregate, or a comment that is confidential under levels of government. Therefore, in by the private sector of $100 million or law shall be set forth on pages separate accordance with section 6 of Executive more in any one year, and it will not from the balance of the comment and Order 13132, the Attorney General has significantly or uniquely affect small shall be prominently marked ‘‘confidential’’ at the top of each page. determined that this proposed governments. Therefore, no actions were Confidential information will be regulation will not have sufficient deemed necessary under the provisions included in the rulemaking record but federalism implications to warrant the of the Unfunded Mandates Reform Act of 1995. will not be disclosed to the public. Any preparation of a federalism summary comments containing material that is impact statement. G. Paperwork Reduction Act not confidential under law may be C. Executive Order 12988 This proposed rule does not impose disclosed to the public. In any event, the any new reporting or recordkeeping name of the person submitting a This proposed regulation meets the requirements under the Paperwork comment is not exempt from disclosure. applicable standards set forth in Reduction Act. C. Submitting Comments sections 3(a) and 3(b)(2) of Executive Order 12988. Public Participation Comments may be submitted in any of A. Comments Sought three ways: D. Regulatory Flexibility Act • Mail: Send written comments to the ATF is requesting comments on the address listed in the ADDRESSES section The Regulatory Flexibility Act (5 proposed rule from all interested of this document. Written comments U.S.C. 605(b)) requires an agency to persons. ATF is also specifically must appear in a minimum 12-point conduct a regulatory flexibility analysis requesting comments on the clarity of size of type (.17 inches), include your of any rule subject to notice and this proposed rule and how it may be mailing address, be signed, and may be comment rulemaking requirements made easier to understand. of any length. unless the agency certifies that the rule All comments must reference this • Facsimile: You may submit will not have a significant economic document docket number (ATF 32P), be comments by facsimile transmission to impact on a substantial number of small legible, and include your name and (202) 648–9741. Faxed comments must: entities. Small entities include small mailing address. ATF will treat all (1) Be legible and appear in a businesses, small not-for-profit comments as originals and will not minimum 12-point size of type (.17 enterprises, and small governmental acknowledge receipt of comments. inches); 1 ″ ″ jurisdictions. The Attorney General has Comments received on or before the (2) Be on 8 ⁄2 x 11 paper; reviewed this proposed rule and, by closing date will be carefully (3) Contain a legible, written approving it, certifies that this proposed considered. Comments received after signature; and that date will be given the same rule will not have a significant (4) Be no more than five pages long. consideration if it is practical to do so, economic impact on a substantial ATF will not accept faxed comments but assurance of consideration cannot that exceed five pages. number of small entities. The proposed be given except as to comments received • Federal eRulemaking Portal: To amendments merely clarify that an on or before the closing date. submit comments to ATF via the administrative hearing, pursuant to a Federal eRulemaking portal, visit B. Confidentiality firearms license proceeding, is held in http://www.regulations.gov and follow an informal setting where a federal Comments, whether submitted the instructions for submitting firearms licensee or an applicant for a electronically or on paper, will be made comments. federal firearms license will have the available for public viewing at ATF, and opportunity for the submission and on the Internet as part of the D. Request for Hearing consideration of facts, arguments, offers eRulemaking initiative, and are subject Any interested person who desires an of settlement, or proposals of to the Freedom of Information Act. opportunity to comment orally at a adjustment for consideration by the Commenters who do not want their public hearing should submit his or her Director of ATF. name or other personal identifying request, in writing, to the Director of

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ATF within the 90-day comment period. adjustment for review and 5 p.m., Monday through Friday, except The Director, however, reserves the consideration. * * * Federal holidays. The telephone number right to determine, in light of all Dated: January 30, 2012. is (202) 366–9329. circumstances, whether a public hearing Eric H. Holder, Jr., To avoid duplication, please use only is necessary. one of these four methods. See the Attorney General. ‘‘Public Participation and Request for Disclosure [FR Doc. 2012–2492 Filed 2–2–12; 8:45 am] Comments’’ portion of the Copies of this proposed rule and the BILLING CODE 4410–FY–P SUPPLEMENTARY INFORMATION section comments received will be available for below for instructions on submitting public inspection by appointment comments. during normal business hours at: ATF DEPARTMENT OF HOMELAND SECURITY FOR FURTHER INFORMATION CONTACT: If Reading Room, Room 1E–062, 99 New you have questions on this proposed York Avenue NE., Washington, DC Coast Guard rule, call or email Mr. Edward G. 20226; telephone: (202) 648–8740. LeBlanc, Waterways Management Drafting Information 33 CFR Part 100 and 165 Division at Coast Guard Sector Southeastern New England, telephone The author of this document is [Docket No. USCG–2011–1026] (401) 435–2351, email Deborah G. Szczenski; Enforcement RIN 1625–AA08; AA00 [email protected]. If you Programs and Services; Bureau of have questions on viewing or submitting Alcohol, Tobacco, Firearms, and Safety Zones; Annually Recurring material to the docket, call Renee V. Explosives. Marine Events in Coast Guard Wright, Program Manager, Docket List of Subjects in 27 CFR Part 478 Southeastern New England Captain of Operations, telephone (202) 366–9826. the Port Zone Administrative practice and SUPPLEMENTARY INFORMATION: AGENCY: procedure, Arms and ammunition, Coast Guard, DHS. Public Participation and Request for Authority delegations, Customs duties ACTION: Notice of proposed rulemaking. Comments and inspection, Domestic violence, SUMMARY: Exports, Imports, Law enforcement The Coast Guard proposes to We encourage you to participate in amend special local regulations and to personnel, Military personnel, this rulemaking by submitting establish permanent safety zones in Nonimmigrant aliens, Penalties, comments and related materials. All Coast Guard Southeastern New England Reporting and recordkeeping comments received will be posted Captain of the Port (COTP) Zone for requirements, Research, Seizures and without change to http:// annually recurring marine events. When forfeitures, and Transportation. www.regulations.gov and will include these safety zones are activated, and any personal information you have Authority and Issuance subject to enforcement, this rule may provided. restrict vessels from portions of water Accordingly, for the reasons Submitting Comments discussed in the preamble, 27 CFR Part areas during annual events listed in the If you submit a comment, please 478 is proposed to be amended as TABLE below that may pose a hazard to include the docket number for this follows: public safety. The revised safety zones would expedite public notification of rulemaking (USCG–2011–1026), PART 478—COMMERCE IN FIREARMS events, remove extraneous and indicate the specific section of this AND AMMUNITION discontinued marine events, add new document to which each comment annually recurring marine events, and applies, and provide a reason for each 1. The authority citation for 27 CFR ensure the protection of the maritime suggestion or recommendation. You Part 478 continues to read as follows: public and event participants from the may submit your comments and Authority: 5 U.S.C. 552(a); 18 U.S.C. 847, hazards associated with marine regattas, material online (via http:// 921–930; 44 U.S.C. 3504(h). firework displays, swim competitions, www.regulations.gov) or by fax, mail, or and other marine events. hand delivery, but please use only one 2. Section 478.72 is amended by of these means. If you submit a adding a new fifth sentence to read as DATES: Comments and related material comment online via http:// follows: must be received by the Coast Guard on or before April 3, 2012. Requests for www.regulations.gov, it will be § 478.72 Hearing after application denial. public meetings must be received by the considered received by the Coast Guard * * * The hearing shall be informal Coast Guard on or before February 24, when you successfully transmit the and the applicant will have the 2012. comment. If you fax, hand deliver, or opportunity to submit facts, arguments, ADDRESSES: You may submit comments mail your comment, it will be offers of settlement, or proposals of identified by docket number USCG– considered as having been received by adjustment for review and 2011–1026 using any one of the the Coast Guard when it is received at consideration. * * * following methods: the Docket Management Facility. We 3. Section 478.74 is amended by (1) Federal e-Rulemaking Portal: recommend that you include your name adding a new fourth sentence to read as http://www.regulations.gov. and a mailing address, an email address, follows: (2) Fax: (202) 493–2251. or a telephone number in the body of (3) Mail: Docket Management Facility your document so that we can contact § 478.74 Request for hearing after notice (M–30), U.S. Department of you if we have questions regarding your of suspension, revocation, or imposition of Transportation, West Building Ground submission. civil fine. Floor, Room W12–140, 1200 New Jersey To submit your comment online, go to * * * The hearing shall be informal Avenue SE., Washington, DC 20590– http://www.regulations.gov, click on the and the licensee will have the 0001. ‘‘submit a comment’’ box, which will opportunity to submit facts, arguments, (4) Hand delivery: Same as mail then become highlighted in blue. In the offers of settlement, or proposals of address above, between 9 a.m. and ‘‘Document Type’’ drop down menu

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select ‘‘Proposed Rule’’ and insert Homeland Security Delegation No. 24 events listed in the TABLE, and has ‘‘USCG–2011–1026’’ in the ‘‘Keyword’’ 0170.1, which collectively authorize the not received public comments or box. Click ‘‘Search’’ then click on the Coast Guard to define safety zones. concerns regarding the impact to balloon shape in the ‘‘Actions’’ column. Many marine events are held annually waterway traffic from these annually If you submit your comments by mail or on a recurring basis on or over the recurring events. The seven (7) new hand delivery, submit them in an navigable waters within the Coast Guard annually recurring events now require unbound format, no larger than 81⁄2 by Southeastern New England COTP Zone. local regulations in order to ensure the 11 inches, suitable for copying and These events include sailing regattas, safety of both participants and electronic filing. If you submit powerboat races, rowboat races, spectators, as the marine events may comments by mail and would like to parades, swim events, air shows, and pose unique hazards to waterways know that they reached the Facility, fireworks displays. In the past, the Coast navigation and safety. please enclose a stamped, self-addressed Guard has established special local The Coast Guard does not anticipate postcard or envelope. We will consider regulations, regulated areas, and safety any negative public comments regarding all comments and material received zones for these events on a case by case these seven new annually recurring during the comment period and may basis to ensure the protection of the marine events as these events have been change the rule based on your maritime public and event participants held on an annual basis for several years comments. from the hazards associated with these now, in which local maritime events. This proposed rule will enforcement assets have established Viewing Comments and Documents consistently apprise the public in a ‘‘safety perimeters’’ around the events, To view comments, as well as timely manner through permanent similar to the proposed safety zones. documents mentioned in this preamble publication in Title 33 of the Code of The Coast Guard has promulgated safety as being available in the docket, go to Federal Regulations. The Table in this zones or special local regulations for http://www.regulations.gov, click on the proposed regulation lists each annual these areas in the past, and has not ‘‘read comments’’ box, which will then recurring event requiring a regulated received public comments or concerns become highlighted in blue. In the area as administered by the Coast regarding the impact to waterway traffic ‘‘Keyword’’ box insert ‘‘USCG–2011– Guard. from these annually recurring. By establishing permanent regulations 1026’’ and click ‘‘Search.’’ Click the Discussion of Proposed Rule ‘‘Open Docket Folder’’ in the ‘‘Actions’’ for these events, the Coast Guard will column. You may also visit the Docket eliminate the need to establish The Coast Guard proposes to remove Management Facility in Room W12–140 temporary rules for events that occur on sections 33 CFR 100.112, 100.113, on the ground floor of the Department an annual basis. Some of the events 100.116, to revise section 33 CFR of Transportation West Building, 1200 discussed below are duplicated in 33 100.114, and to add section 33 CFR New Jersey Avenue SE., Washington, CFR 100.112, 100.113, 100.114 and 165.173. The proposed changes will DC 20590, between 9 a.m. and 5 p.m., 100.116, which are citations that no remove seven outdated marine events Monday through Friday, except Federal longer meet the Coast Guard’s intended and establish 24 permanent regulated holidays. We have an agreement with purposes. While 33 CFR part 100 is areas. The proposed rule will apply to the Department of Transportation to use designed for Regattas and Marine each recurring marine event listed in the the Docket Management Facility. Parades, 33 CFR part 165 is for attached Table in the Coast Guard Regulated Navigation Areas and Limited Southeastern New England COTP Zone. Privacy Act Access Areas. The Coast Guard has The Table provides the event name, Anyone can search the electronic identified a number of events in 33 CFR type, and approximate safety zone form of comments received into any of part 100 which would be more dimensions as well as approximate our dockets by the name of the appropriately located in 33 CFR part dates, times, and locations of the events. individual submitting the comment (or 165. This rulemaking will amend local The specific times, dates, regulated signing the comment, if submitted on regulations for events already contained areas and enforcement period for each behalf of an association, business, labor in 33 CFR part 100 both to update event event will be provided through the union, etc.). You may review a Privacy information as well as to move Local Notice to Mariners, Broadcast Act notice regarding our public dockets fireworks displays to Section 165, a Notice to Mariners or through a Notice in the January 17, 2008, issue of the citation that better meets the Coast of Enforcement published in the Federal Federal Register (73 FR 3316). Guard’s intended purpose of ensuring Register. safety during these events. Three event sponsors of fireworks Public Meeting This rulemaking will eliminate seven displays have requested the creation of We do not now plan to hold a public (7) extraneous and outdated marine safety zones which may be enforced 365 meeting. But you may submit a request events which have either been days a year. The purpose of these 365 for one on or before February 24, 2012, discontinued, or no longer require a day safety zones is to permit sponsors using one of the four methods specified special local regulation due to the the flexibility to hold similar fireworks under ADDRESSES. Please explain why absence of a viable marine hazard. displays at the same location on you believe a public meeting would be Elimination of these seven events will different days and for different events beneficial. If we determine that one prevent confusion amongst the public without the need of creating temporary would aid this rulemaking, we will hold who may be led to believe that these final rules. These three 365 day Safety one at a time and place announced by events are still marine events recurring Zones can be found in section 1.0 in the a later notice in the Federal Register. on an annual basis. Their removal will Table below. also promote regulatory efficiency by The particular size of the safety zones Basis and Purpose eliminating unnecessary local established for each event will be The legal basis for the proposed rule regulations which are no longer reevaluated on an annual basis in is 33 U.S.C. 1225, 1226, 1231, 1233; 46 enforced. accordance with Navigational and U.S.C. Chapter 701, 3306, 3703; 50 In addition, the Coast Guard has Vessel Inspection Circular (NVIC) 07– U.S.C. 191, 195; Public Law 107–295, promulgated safety zones or special 02, Marine Safety at Firework Displays, 116 Stat. 2064; and Department of local regulations in the past for 17 of the the National Fire Protection Association

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Standard 1123, Code for Fireworks each separate event that occurs on an If you think that your business, Displays (100-foot distance per inch of annual basis, thereby limiting the costs organization, or governmental diameter of the fireworks mortars), and of cumulative regulations. jurisdiction qualifies as a small entity other pertinent regulations and Notifications will be made to the local and that this rule would have a publications. maritime community through the Local significant economic impact on it, This proposed regulation would Notice to Mariners well in advance of please submit a comment (see prevent vessels from transiting areas the events. If the event does not have a ADDRESSES) explaining why you think it specifically designated as safety zones date listed, then the exact dates and qualifies and how and to what degree during the periods of enforcement to times of the enforcement period will be this rule would economically affect it. ensure the protection of the maritime announced through a Notice of Assistance for Small Entities public and event participants from the Enforcement in the Federal Register. No hazards associated with listed annual new or additional restrictions will be Under section 213(a) of the Small recurring events. Only event sponsors, imposed on vessel traffic. Business Regulatory Enforcement designated participants, and official Fairness Act of 1996 (Pub. L. 104–121), patrol vessels will be allowed to enter Small Entities we want to assist small entities in safety zones and special local regulation Under the Regulatory Flexibility Act understanding this proposed rule so that areas. Spectators and other vessels not (5 U.S.C. 601–612), we have considered they can better evaluate its effects on registered as event participants may not whether this proposed rule would have them and participate in the rulemaking. enter the regulated areas without the a significant economic impact on a If the rule would affect your small permission of the COTP or the COTP’s substantial number of small entities. business, organization, or governmental designated representative. The term ‘‘small entities’’ comprises jurisdiction and you have questions Regulatory Analyses small businesses, not-for-profit concerning its provisions or options for organizations that are independently compliance, please contact the person We developed this proposed rule after owned and operated and are not listed under FOR FURTHER INFORMATION considering numerous statutes and dominant in their fields, and CONTACT. The Coast Guard will not executive orders related to rulemaking. retaliate against small entities that Below we summarize our analyses governmental jurisdictions with populations of less than 50,000. question or complain about this based on 13 of these statutes or proposed rule or any policy or action of executive orders. The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed rule the Coast Guard. Executive Order 12866 and Executive would not have a significant economic Collection of Information Order 13563 impact on a substantial number of small entities. This proposed rule would affect This proposed rule would call for no This proposed rule is not a significant new collection of information under the regulatory action under section 3(f) of the following entities, some of which might be small entities: Owners or Paperwork Reduction Act of 1995 (44 Executive Order 12866, Regulatory U.S.C. 3501–3520). Planning and Review, as supplemented operators of vessels intending to transit, by Executive Order 13563, and does not fish, or anchor in the areas where the Federalism require an assessment of potential costs listed annual recurring events are being A rule has implications for federalism and benefits under section 6(a)(3) of that held. under Executive Order 13132, Order. The Office of Management and The proposed rule would not have a Federalism, if it has a substantial direct Budget has not reviewed it under that significant economic impact on a effect on State or local governments and Order. substantial number of small entities for would either preempt State law or We expect the economic impact of the following reasons: Vessels will only impose a substantial direct cost of this proposed rule to be so minimal that be restricted from safety zones for a compliance on them. We have analyzed a full Regulatory Evaluation is short duration of time; vessels may this proposed rule under that Order and unnecessary. Although this regulation transit in portions of the affected have determined that it does not have may have some impact on the public, waterway except for those areas covered implications for federalism. the potential impact will be minimized by the proposed regulated areas; and for the following reasons: Vessels will vessels may enter or pass through the Unfunded Mandates Reform Act only be restricted from safety zones for affected waterway with the permission The Unfunded Mandates Reform Act a short duration of time; vessels may of the COTP or the COTP’s of 1995 (2 U.S.C. 1531–1538) requires transit in all portions of the affected representative. The Coast Guard has Federal agencies to assess the effects of waterway except for those areas covered promulgated safety zones or special their discretionary regulatory actions. In by the proposed regulated areas, and local regulations in accordance with 33 particular, the Act addresses actions vessels may enter or pass through the CFR parts 100 and 165 for all event that may result in the expenditure by a affected waterway with the permission areas in the past and has not received State, local, or tribal government, in the of the COTP or the COTP’s notice of any negative impact caused by aggregate, or by the private sector of representative. The Coast Guard has any of the safety zones or special local $100,000,000 (adjusted for inflation) or promulgated safety zones or special regulations; and notifications will be more in any one year. Though this local regulations in accordance with 33 made to the local maritime community proposed rule would not result in such CFR parts 100 and 165 for 17 of the through the Local Notice to Mariners expenditure, we do discuss the effects of proposed 24 event areas in the past and well in advance of the events. If the this rule elsewhere in this preamble. has not received notice of any negative event does not have a date listed, then impact caused by any of the safety zones exact dates and times of the Taking of Private Property or special local regulations. By enforcement period will be announced This proposed rule would not cause a establishing a permanent regulation through a Notice of Enforcement in the taking of private property or otherwise containing all of these events, the Coast Federal Register. No new or additional have taking implications under Guard will eliminate the need to restrictions would be imposed on vessel Executive Order 12630, Governmental establish individual temporary rules for traffic. Actions and Interference with

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Constitutionally Protected Property procedures; and related management (along with the associated Rights. systems practices) that are developed or ‘‘Massachusetts ’’ and ‘‘Rhode Island’’ adopted by voluntary consensus titles) as follows: 7.16, 7.18, 7.19, 7.20, Civil Justice Reform standards bodies. 7.21, 7.22, 7.23, 7.24, 7.25, 7.26, 7.27, This proposed rule meets applicable This proposed rule does not use 7.28, 7.38, 8.2, 8.5, 9.4, 10.1, 12.2, 12.3, standards in sections 3(a) and 3(b)(2) of technical standards. Therefore, we did and 12.5. Executive Order 12988, Civil Justice not consider the use of voluntary Reform, to minimize litigation, consensus standards. PART 165—REGULATED NAVIGATION eliminate ambiguity, and reduce AREAS AND LIMITED ACCESS AREAS Environment burden. We have analyzed this proposed rule 4. The authority citation for Part 165 Protection of Children under Department of Homeland continues to read as follows: We have analyzed this proposed rule Security Management Directive 023–01 Authority: 33 U.S.C. 1231; 46 U.S.C. under Executive Order 13045, and Commandant Instruction Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; Protection of Children from M16475.lD, which guide the Coast 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; Environmental Health Risks and Safety Guard in complying with the National Pub. L. 107–295, 116 Stat. 2064; Department Risks. This rule is not an economically Environmental Policy Act of 1969 of Homeland Security Delegation No. 0170.1. significant rule and would not create an (NEPA) (42 U.S.C. 4321–4370f), and 5. Add a new § 165.173 to read as environmental risk to health or risk to have made a preliminary determination follows: safety that might disproportionately that this action appears to be one of a § 165.173 Safety Zones for Annually affect children. category of actions which do not individually or cumulatively have a Recurring Marine Events held in Coast Indian Tribal Governments Guard Sector Southeastern New England significant effect on the human Captain of the Port Zone. This proposed rule does not have environment. tribal implications under Executive A preliminary environmental analysis (a) Regulations. The general regulations contained in Order 13175, Consultation and checklist supporting this determination 33 CFR 165.23 as well as the following Coordination with Indian Tribal is available in the docket where regulations apply to the fireworks Governments, because it would not have indicated under ADDRESSES. This displays and swim events listed in the a substantial direct effect on one or proposed rule involves the Table to § 165.173. These regulations more Indian tribes, on the relationship establishment of safety zones for may be enforced for the duration of each between the Federal Government and fireworks displays, swim events and event. Indian tribes, or on the distribution of other marine events. It appears that this Notifications will be made to the local power and responsibilities between the action will qualify for Coast Guard maritime community through the Local Federal Government and Indian tribes. Categorical Exclusions (34) (g) and (h), Notice to Mariners well in advance of as described in figure 2–1 of the Energy Effects the events. If the event does not have a Commandant Instruction. We have analyzed this proposed rule We seek any comments or information date listed, then exact dates and times under Executive Order 13211, Actions that may lead to the discovery of a of the enforcement period will be Concerning Regulations That significant environmental impact from announced through a Notice of Significantly Affect Energy Supply, this proposed rule. Enforcement in the Federal Register. Distribution, or Use. We have Note to introductory paragraph of List of Subjects determined that it is not a ‘‘significant § 165.173: Although listed in the Code of energy action’’ under that order because 33 CFR Part 100 Federal Regulations, sponsors of events listed it is not a ‘‘significant regulatory action’’ in the Table shall submit an application each Marine safety, Navigation (water), year in accordance with 33 CFR 100.15. under Executive Order 12866 and is not Reporting and recordkeeping likely to have a significant adverse effect requirements, Waterways. (b) Definitions. The following on the supply, distribution, or use of definitions apply to this section: energy. The Administrator of the Office 33 CFR Part 165 (1) Designated Representative. A of Information and Regulatory Affairs Harbors, Marine safety, Navigation ‘‘designated representative’’ is any Coast has not designated it as a significant (water), Reporting and recordkeeping Guard commissioned, warrant or petty energy action. Therefore, it does not requirements, Security measures, officer of the U.S. Coast Guard who has require a Statement of Energy Effects Waterways. been designated by the Captain of the under Executive Order 13211. For the reasons discussed in the Port, Sector Southeastern New England (COTP), to act on his or her behalf. The Technical Standards preamble, the Coast Guard proposes to amend 33 CFR parts 100 and 165 as designated representative may be on an The National Technology Transfer follows: official patrol vessel or may be on shore and Advancement Act (NTTAA) (15 and will communicate with vessels via U.S.C. 272) directs agencies to use PART 100—SAFETY OF LIFE ON VHF–FM radio or loudhailer. In voluntary consensus standards in their NAVIGABLE WATERS addition, members of the Coast Guard regulatory activities unless the agency Auxiliary may be present to inform provides Congress, through the Office of 1. The authority citation for Part 100 vessel operators of this regulation. Management and Budget, with an continues to read as follows: (2) Official Patrol Vessels. Official explanation of why using these Authority: 33 U.S.C. 1233. patrol vessels may consist of any Coast standards would be inconsistent with Guard, Coast Guard Auxiliary, state, or applicable law or otherwise impractical. §§ 100.112, 100.113, 100.116 [Removed] local law enforcement vessels assigned Voluntary consensus standards are 2. Remove §§ 100.112, 100.113, and or approved by the COTP. technical standards (e.g., specifications 100.116 (3) Spectators. All persons and vessels of materials, performance, design, or 3. Remove the following entries in the not registered with the event sponsor as operation; test methods; sampling ‘‘Fireworks Display Table’’ in § 100.114 participants or official patrol vessels.

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(c) The Coast Guard may patrol each endanger participants or other crafts in issued. Failure to comply with a lawful event area under the direction of a the event. direction may result in expulsion from designated Coast Guard Patrol (e) Spectators or other vessels shall the area, citation for failure to comply, Commander. The Patrol Commander not anchor, block, loiter, or impede the or both. may be contacted on Channel 16 VHF– movement of event participants or (g) The Patrol Commander may delay FM (156.8 MHz) by the call sign official patrol vessels in the regulated or terminate any event in this subpart at ‘‘PATCOM.’’ The ‘‘official patrol areas during the effective dates and any time to ensure safety. Such action vessels’’ may consist of any Coast times, or dates and times as modified may be justified as a result of weather, Guard, Coast Guard Auxiliary, state, or through a Notice of Enforcement traffic density, spectator operation or local law enforcement vessels assigned published in the Federal Register, participant behavior. or approved by the Captain of the Port, unless authorized by an official patrol (h) For all fireworks displays listed Sector Southeastern New England. vessel. below, the regulated area is that area of (f) The Patrol Commander may navigable waters within the specified (d) Vessels may not transit the control the movement of all vessels in radius of the launch platform or launch regulated areas without Patrol the regulated area. When hailed or site for each fireworks display, unless Commander approval. Vessels permitted signaled by an official patrol vessel, a modified later in a Notice of to transit must operate at a no wake vessel shall come to an immediate stop Enforcement published in the Federal speed, in a manner which will not and comply with the lawful directions Register.

TABLE TO § 165.173

1.0 365 DAY JANUARY–DECEMBER

1.1 Provincetown Fireworks ...... • Event Type: Fireworks Display. • Date: Enforced on any day during the duration of the event as specified by a Notice of En- forcement published in the Federal Register. • Time: Approximately 5 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of the Provincetown Harbor, Provincetown, MA. • Position: Within 500 yards of 41°28′44″ N, 070°10′83″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks barge.

1.2 Providence Fireworks ...... • Event Type: Fireworks Display. • Date: Enforced on any day during the duration of the event as specified by a Notice of En- forcement published in the Federal Register. • Time: Approximately 5 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of the Hurricane Barrier in the Providence River, Prov- idence, RI. • Position: Within 500 yards of 41°48′50″ N, 071°23′43″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks barge.

1.3 Fall River Fireworks ...... • Event Type: Fireworks Display. • Date: Enforced on any day during the duration of the event as specified by a Notice of En- forcement published in the Federal Register. • Time: Approximately 5 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Battleship Cove, Fall River, MA. • Position: Within 500 yards of 41°42′37″ N, 071°09′53″ W (NAD 83). • Safety Zone Dimension: Approximately 200 yard radius circle around the fireworks barge.

6.0 JUNE

6.1 Oak Bluffs Summer Solstice ...... • Event Type: Fireworks Display. • Date: One night on the 3rd or 4th weekend of June. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Town Beach, Oak Bluffs, MA. • Position: Within 500 yards of 41°27′19″ N, 070°33′08″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks barge.

6.2 RI National Guard Air Show ...... • Event Type: Air Show. • Date: One weekend (Friday, Saturday, and Sunday) in June or July. • Time: Approximately 9 a.m. to 7 p.m. • Location: (1) All waters over the West Passage of Narragansett Bay, in the vicinity of the Quonset State Airport, North Kingston, RI which are within a 4000-yard radius arc extending from position 41°35′44″ N, 071°24′14″ W (NAD 83); and (2) All waters over the West Pas- sage of Narragansett Bay, in the vicinity of Narragansett Pier, Narragansett, RI, which are within a 2000-yard radius arc extending from position 41°26′17″ N, 071°27′02″ W (NAD 83) (Friday only). • Safety Zone Dimension: Approximately 1000 yards long by 1000 yards wide.

7.0 JULY

7.1 Marion 4th of July Fireworks ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m.

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TABLE TO § 165.173—Continued • Location: From a barge in the vicinity of Outer Sipican Harbor, Marion, MA. • Position: Within 500 yards of 41°42′17″ N, 070°45′08″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks barge.

7.2 Oyster Harbors July 4th Festival ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Tim’s Cove, North Bay, Osterville, MA. • Position: Within 500 yards of 41°37′29″ N, 070°25′12″ W (NAD 83). • Safety Zone Dimension: Approximately 200 yard radius circle around the fireworks barge.

7.3 North Kingstown Fireworks Display ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Town Beach, North Kingston, RI. • Position: Within 500 yards of 41°33′59″ N, 071°26′23″ W (NAD 83). • Safety Zone Dimension: Approximately 200 yard radius circle around the fireworks barge.

7.4 Falmouth Fireworks ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Falmouth Beach, Falmouth, MA. • Position: Within 500 yards of 41°32′27″ N, 070°35′26″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks barge.

7.5 Town of Nantucket Fireworks ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Jetties Beach, Nantucket Sound, MA. • Position: Within 500 yards of 41°19′00″ N, 070°06′30″ W (NAD 83). • Safety Zone Dimension: Approximately 200 yard radius circle around the fireworks barge.

7.6 City of Newport 4th of July Fireworks ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From the shore in the vicinity of Fort Adams, Newport, RI. • Position: Within 500 yards of 41°28′49″ N, 071°20′12″ W (NAD 83). • Safety Zone Dimension: Approximately 350 yard radius circle around the launch site.

7.7 Town of Barnstable/Hyannis July 4th Fire- • Event Type: Fireworks Display. works. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Lewis Bay, Hyannis, MA. • Position: Within 500 yards of 41°38′20″ N, 070°15′08″ W (NAD 83). • Safety Zone Dimension: Approximately 350 yard radius circle around the fireworks barge.

7.8 Edgartown 4th of July Fireworks Celebra- • Event Type: Fireworks Display. tion. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Edgartown Outer Harbor, Edgartown, MA. • Approximate position: Within 500 yards of 41°22′39″ N, 070°30′14″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks barge.

7.9 City of New Bedford Fireworks Display ..... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of New Bedford Harbor, New Bedford, MA. • Approximate position: Within 500 yards of 41°37′55″ N, 070°54′44″ W (NAD 83). • Safety Zone Dimension: Approximately 250 yard radius circle around the fireworks barge.

7.10 Onset Fireworks ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: On the shore, in the vicinity of Shellpoint Beach, Onset, MA.

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TABLE TO § 165.173—Continued • Approximate position: Within 500 yards of 41°44′13″ N, 070°39′51″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks launch site.

7.11 Bristol 4th of July Fireworks ...... • Event Type: Fireworks Display. • Date: One night between July 1st and July 10th, as announced in the Local Notice to Mari- ners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: In the vicinity of Northern portion of the Bristol Harbor, Bristol, RI, on the section of Poppasquash Rd separating the harbor and Mill Pond. • Position: Within 500 yards of 41°40′53.4″ N, 071°17′00″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks launch site.

7.12 Swim Buzzards Bay ...... • Event Type: Swim Event. • Date: One Saturday or Sunday in July or August, as announced in the Local Notice to Mari- ners. • Time: Start times will vary from 6 a.m. to 11:59 a.m., and last approximately two hours until the last swimmer is ashore. Start time will be announced in advance in the Local Notice to Mariners. • Location: The regulated area includes all waters in the vicinity of the Outer New Bedford Harbor, within 500 yards along a centerline with an approximate start point of 41°36′35″ N, 070°54′18″ W (NAD 83) and an approximate end point of 41°37′26″ N, 070°53′48 ″W (NAD 83) at Davy’s Locker Restaurant in New Bedford, MA, to Fort Phoenix Beach in Fairhaven, MA. • Safety Zone Dimension: 500 yards on either side of the centerline described above.

7.13 Save the Bay Swim ...... • Event Type: Swim Event. • Date: One Saturday or Sunday in July or August, as announced in the Local Notice to Mari- ners. • Time: Start time will vary from 6 a.m. to 11:59 a.m. and last for approximately four hours, until the last swimmer is ashore. Start time will be announced in advance in the Local Notice to Mariners. • Location: The regulated area includes all waters in the vicinity of the Newport/Pell Bridge, East Passage of Narragansett Bay, along a centerline with an approximate start point of 41°30′24″N, 071°19′49″ W (NAD 83) and an approximate end point of 41°30′39″ N, 071°21′50″ W (NAD 83), i.e., a line drawn from the Officers’ Club, Coaster’s Harbor Island, Naval Station Newport, to Potter Cove, Jamestown. • Safety Zone Dimension: 500 yards on either side of the centerline described above.

8.0 AUGUST

8.1 Boston Pops Nantucket ...... • Event Type: Fireworks Display. • Date: One night in August as announced in the Local Notice to Mariners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: On the shore, in the vicinity of Jetties Beach, Nantucket, MA. • Position: Within 500 yards of 41°17′43″ N, 070°06′10″ W (NAD 83). • Safety Zone Dimension: Approximately 400 yard radius circle around the fireworks barge.

8.2 Oak Bluffs Fireworks ...... • Event Type: Fireworks Display. • Date: One night in August. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Oak Bluffs Harbor, Oak Bluffs, MA. • Position: Within 500 yards of 41°27′27″ N, 070°33′17″ W (NAD 83). • Safety Zone Dimension: Approximately 350 yard radius circle around the fireworks barge.

8.3 Newport Salute to Summer Fireworks ...... • Event Type: Fireworks Display. • Date: One night during the last two weekends in August or 1st weekend in September. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: From a barge in the vicinity of Naval Station Newport, Newport, RI. • Position: Within 500 yards of 41°30′15″ N, 071°19′50″ W (NAD 83). • Safety Zone Dimension: Approximately 400 yard radius circle around the fireworks barge.

9.0 SEPTEMBER

9.1 Provincetown Harbor Swim for Life ...... • Event Type: Swim Event. • Date: On a day in September as announced in the Local Notice to Mariners. • Time: Times will vary from 10 a.m. until the last swimmer is ashore, no later than 2 p.m. • Location: The regulated area includes all waters in the vicinity of the Provincetown Harbor along a centerline between the start point, the Long Point Lighthouse. approximate position 42°01′59″ N, 070°10′07″ W (NAD 83), and the end point, the Boatslip Resort, Provincetown, MA., approximate position 42°02′48″ N, 070°11′24″ W (NAD 83). • Safety Zone Dimension: 250 yards on either side of the centerline described above.

9.2 Spirit of Somerset Celebration ...... • Event Type: Fireworks Display.

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TABLE TO § 165.173—Continued • Date: One night in September, as announced in the Local Notice to Mariners. • Time: Approximately 8 p.m. to 11:59 p.m. • Location: On the shore, in the vicinity of Mallard Point, Somerset, MA. • Position: Within 500 yards of 41°46′18″ N, 071°07′14″ W (NAD 83). • Safety Zone Dimension: Approximately 200 yard radius circle around the fireworks launch site.

10.0 OCTOBER

10.1 Yarmouth Seaside Festival Fireworks ..... • Event Type: Fireworks Display. • Date: One night in October, as announced in the Local Notice to Mariners. • Time: Approximately 7 p.m. to 11:59 p.m. • Location: On the shore, in the vicinity of Seagull Beach, West Yarmouth, MA. • Position: Within 500 yards of 41°38′06″ N, 070°13′13″ W (NAD 83). • Safety Zone Dimension: Approximately 300 yard radius circle around the fireworks launch site.

Dated: January 3, 2012. SUPPLEMENTARY INFORMATION: Recent Authority: 5 U.S.C. 552(a); 13 U.S.C. 301– V.B. Gifford, Jr., advances in technology allow 307; 18 U.S.C. 1692–1737; 39 U.S.C. 101, Captain, U.S. Coast Guard, Captain of the distribution of Periodicals publications 401, 403, 404, 414, 416, 3001–3011, 3201– 3219, 3403–3406, 3621, 3622, 3626, 3632, Port Southeastern New England. through various electronic media 3633, and 5001. [FR Doc. 2012–2391 Filed 2–2–12; 8:45 am] channels. According to the standards BILLING CODE 9110–04–P that govern the Periodicals class, all 2. Revise the following sections of paid circulation for publications Mailing Standards of the United States authorized in the General category, and Postal Service, Domestic Mail Manual POSTAL SERVICE all requested circulation for (DMM), as follows: publications authorized in the Mailing Standards of the United States 39 CFR Part 111 Requestor category may be counted Postal Service, Domestic Mail Manual toward the publication’s eligibility for (DMM) Periodicals—Recognition of Periodicals prices. Distribution of Periodicals via Efforts to identify the conditions that * * * * * would allow electronic copies of Electronic Copies 700 Special Standards Periodicals (e-pubs) to be counted with TM AGENCY: Postal Service . other distribution outside the mails * * * * * ACTION: Proposed rule. have been ongoing for the past two 707 Periodicals years. During that time, the transition SUMMARY: The Postal Service proposes from traditional printed copies of * * * * * to revise the Mailing Standards of the Periodicals to electronic copies of the United States Postal Service, Domestic 6.0 Qualification Categories ® same publications has grown. Many Mail Manual (DMM ) 707.6, to allow factors contributed to this migration 6.1 General Publication publishers who use electronic including the proliferation of electronic * * * * * distribution methods to report such reading devices and the desire of circulation as paid or requested subscribers to read news immediately 6.1.2 Circulation Standards distribution, as applicable. upon publication. General publications must meet these DATES: We must receive your comments The proposed effective date is circulation standards: on or before March 5, 2012. Early September 30, 2012. * * * * * comments are encouraged. Although we are exempt from the [Revise the first sentence in item ADDRESSES: Mail or deliver written notice and comment requirements of the 6.1.2c as follows:] comments to the Manager, Product Administrative Procedure Act [5 U.S.C. Persons whose subscriptions are Classification, U.S. Postal Service®, 475 of 553(b), (c)] regarding proposed obtained at a nominal price and those L’Enfant Plaza SW., Room 4446, rulemaking by 39 U.S.C. 410(a), we whose copies bear an alternative form of Washington, DC 20260–5015. You may invite public comments on the address (except as allowed for electronic inspect and photocopy all written following proposed revisions to Mailing copies in 6.5) must not be included in comments at USPS® Headquarters Standards of the United States Postal the legitimate list of subscribers. * * * Library, 475 L’Enfant Plaza SW., 11th Service, Domestic Mail Manual (DMM), * * * * * Floor N, Washington, DC by incorporated by reference in the Code of appointment only between the hours of Federal Regulations. See 39 CFR 111.1. 6.4 Requester Publications 9 a.m. and 4 p.m., Monday through List of Subjects in 39 CFR Part 111 * * * * * Friday by calling 1–202–268–2906 in advance. Email comments, containing Administrative practice and 6.4.2 Circulation Standards the name and address of the commenter, procedure, Postal Service. Requester publications must meet may be sent to: Product Accordingly, 39 CFR part 111 is these circulation standards: [email protected], with a subject proposed to be amended as follows: * * * * * line of ‘‘epublications.’’ Faxed PART 111—[AMENDED] [Revise the second sentence in 6.4.2e comments are not accepted. as follows:] FOR FURTHER INFORMATION CONTACT: 1. The authority citation for 39 CFR e. * * * Copies addressed using an Susan Thomas at (202) 268–8069. part 111 continues to read as follows: alternative address format (except as

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allowed for electronic copies under 6.5) ENVIRONMENTAL PROTECTION Environmental Protection Agency, 1200 are not considered requested copies, AGENCY Pennsylvania Ave. NW., Washington, and persons are not considered to have DC 20460 at (202) 250–8793 or [EPA–HQ–OW–2012–0035; FRL–9624–9] requested the publication if their copies [email protected]. are addressed in that manner. 40 CFR Parts 141 and 142 SUPPLEMENTARY INFORMATION: * * * * * Listening Session Registration: Announcement of Public Meeting on [Renumber current 6.5 through 6.6 as Individuals planning on participating in the Consumer Confidence Report the Listening Session must register for new 6.6 through 6.7 and add new 6.5 as (CCR) Rule Retrospective Review the meeting at https:// follows:] www3.gotomeeting.com/register/ AGENCY: Environmental Protection 6.5 Electronic Copies 396514342. Agency (EPA). Web Dialogue Registration: Copies of Periodicals publications ACTION: Notice of a public meeting. Individuals planning on participating in distributed through email or by the web dialogue discussions must join SUMMARY: The Environmental Protection accessing a password protected Web site the community at http:// Agency (EPA) will be holding a public (e-pubs) may be counted toward an CCRRetrospectiveReview.ideascale.com. meeting via the Internet on February 23, approved or pending general or The web dialogue will be available 2012, to obtain stakeholder input on the requester publications’ eligibility for from February 23, 2012, to March 9, Consumer Confidence Report (CCR) 2012, for the public to share and post Periodicals prices. The following Rule as part of the agency’s comments on the dialogue. conditions additionally apply: Retrospective Review of Existing Special Accommodations: For a. Copies of e-pubs that may be Regulations. EPA plans to discuss information on access or counted toward a publications electronic delivery of CCRs, resource accommodations for individuals with implications for implementing CCR eligibility for Periodicals prices: disabilities, please contact Adrienne delivery certification, use of CCRs to 1. Must be paid at a price above Harris at (202) 250–8793 or by email at meet Tier 3 Public Notification nominal rate for publications approved [email protected]. requirements, and how contaminant in the General category. Please allow at least five business days levels are reported in the CCR. EPA prior to the meeting to give EPA time to 2. Must be requested in writing or by invites the public to participate in this electronic correspondence for process your request. information exchange on the CCR rule. Background: Consumer Confidence publications approved in the Requester The instructions for registration for the category. Reports are a key part of the public’s meeting are located in the right-to-know as established in the 1996 b. Access to electronic copies of a SUPPLEMENTARY INFORMATION section of Amendments to the Safe Drinking Water Periodicals publication offered in this notice. Act (SDWA, section 1414(c)). The conjunction with printed copies of the DATES: The webinar will be held on Consumer Confidence Report, or CCR, is same issues may not be counted when February 23, 2012, from 2 p.m. to 4 an annual water quality report that a determining total circulation for the p.m., Eastern Standard Time. The web community water system is required by publication. dialogue will be available from February Federal regulations (63 FR 44511, 23, 2012, to March 9, 2012. c. At least 40% of the total circulation August 19, 1998) to provide to its How To Access Information: EPA has of each issue must consist of printed customers each year. Community water established a docket for this activity copies. systems (CWSs) serving 10,000 or more under Docket ID No. EPA–HQ–OW– persons are required to mail or d. Publications for which at least 60% 2012–0035; background information otherwise directly deliver these reports. of total circulation consists of printed (including the CCR and Public States may allow CWSs serving fewer copies to subscribers or requesters, as Notification rules) are available in this than 10,000 persons to provide these applicable, will be exempt from annual docket. Comments received on the reports by other means. The report lists circulation audits. Preliminary Plan for Periodic the regulated contaminants found in the e. If less than 60% of a Periodicals Retrospective Reviews of Existing drinking water, as well as health effects publication’s total circulation consists Regulations are available for viewing in information related to violations of the EPA’s Docket No. EPA–HQ–OA–2011– of printed copies distributed to drinking water standards. More 0154. Publicly available docket subscribers or requesters, as applicable, information on CCRs can be accessed on materials are available either EPA’s Web site at http://water.epa.gov/ annual Postal audits must be conducted electronically through by a certified audit bureau lawsregs/rulesregs/sdwa/ccr/index.cfm. www.regulations.gov or in hard copy at In August 2011, the Environmental * * * * * the Water Docket, EPA/DC, EPA West, Protection Agency (EPA) finalized its We will publish an appropriate Room 3334, 1301 Constitution Ave. Improving Our Regulations: Final Plan amendment to 39 CFR part 111 if our NW., Washington, DC. The Public for Periodic Retrospective Reviews of proposal is adopted. Reading Room is open from 8:30 a.m. to Existing Regulations in response to E.O. 4:30 p.m., Monday through Friday, 13563. Since 1998, when the CCR rule Stanley F. Mires, excluding legal holidays. The telephone was finalized, the communication of Attorney, Legal Policy and Legislative Advice. number for the Public Reading Room is information and the speed with which [FR Doc. 2012–2374 Filed 2–2–12; 8:45 am] (202) 566–1744, and the telephone information can be shared have greatly BILLING CODE 7710–12–P number for the Water Docket is (202) expanded, along with a corresponding 566–2426. increase in the diversity of FOR FURTHER INFORMATION CONTACT: communication tools. The EPA Adrienne Harris, Drinking Water included the CCR rule in its Protection Division, Office of Ground retrospective review plan to explore Water and Drinking Water (MC4606M), ways to promote greater transparency

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and public participation in protecting DATES: The closing date for filing provided in these requests. Therefore, the nation’s drinking water. The comments is extended from February 3, PHMSA has extended the comment agency’s CCR retrospective review will 2012, to March 6, 2012. period from February 3, 2012 to March look for opportunities to improve the ADDRESSES: Comments should reference 6, 2012. effectiveness of communicating Docket No. PHMSA–2010–0026 and Issued in Washington, DC, on January 30, drinking water information to the may be submitted in the following ways: 2012. • public, while lowering the burden on E-Gov Web Site: http:// Jeffrey D. Wiese, water systems and States. One example www.Regulations.gov. This site allows Associate Administrator for Pipeline Safety. suggested by water systems is to allow the public to enter comments on any [FR Doc. 2012–2406 Filed 2–2–12; 8:45 am] electronic delivery through email, Federal Register notice issued by any thereby reducing mailing charges. As agency. BILLING CODE 4910–60–P EPA evaluates alternative delivery • Fax: 1–(202) 493–2251. • Mail: DOT Docket Management options and other opportunities to DEPARTMENT OF TRANSPORTATION improve communication with System: U.S. DOT, Docket Operations, consumers, the agency will consider M–30, West Building Ground Floor, Pipeline and Hazardous Materials impacts on consumer burden, Room W12–140, 1200 New Jersey Safety Administration environmental justice, and State Avenue SE., Washington, DC 20590– implementation. By improving 0001. 49 CFR Part 192 communication, customers are better Hand Delivery: U.S. DOT Docket prepared to make informed decisions Management System; West Building [Docket ID PHMSA–2011–0009] and the readership of CCRs also may Ground Floor, Room W12–140, 1200 RIN 2137–AE71 increase. New Jersey Avenue SE., Washington, DC 20590–0001, between 9 a.m. and 5 Dated: January 25, 2012. Pipeline Safety: Expanding the Use of p.m., Monday through Friday, except Cynthia C. Dougherty, Excess Flow Valves in Gas Distribution Federal holidays. Systems to Applications Other Than Director, Office of Ground Water and Drinking Instructions: You should identify the Single-Family Residences Water. Docket No. PHMSA–2010–0026 at the [FR Doc. 2012–2025 Filed 2–2–12; 8:45 am] beginning of your comments. If you AGENCY: Pipeline and Hazardous BILLING CODE 6560–50–P submit your comments by mail, please Materials Safety Administration submit two copies. To receive (PHMSA); DOT. confirmation that PHMSA received your ACTION: Advance notice of proposed DEPARTMENT OF TRANSPORTATION comments, include a self-addressed rulemaking; extension of comment stamped postcard. Internet users may period. Pipeline and Hazardous Materials submit comments to the Docket at Safety Administration http://www.regulations.gov. SUMMARY: On November 25, 2011, Note: Comments are posted without PHMSA published in the Federal 49 CFR Parts 191, 192 and 195 changes or edits to http:// Register an Advance Notice of Proposed www.regulations.gov, including any personal Rulemaking (ANPRM), titled: ‘‘Pipeline [Docket ID PHMSA–2010–0026] information provided. There is a privacy Safety: Expanding the Use of Excess statement published on http:// Flow Valves (EFVs) in Gas Distribution RIN 2137–AE59 www.regulations.gov. Systems to Applications Other Than FOR FURTHER INFORMATION CONTACT: For Single-Family Residences.’’ The Pipeline Safety: Miscellaneous further information contact Kay McIver ANPRM sought public comment on Changes to Pipeline Safety at 202–366–4046 or by EMail at several issues related to expanding the Regulations [email protected] use of EFVs in gas distribution systems. On January 10, 2012, PHMSA received AGENCY: Pipeline and Hazardous SUPPLEMENTARY INFORMATION: a request to extend the comment period Materials Safety Administration to provide additional time to respond to (PHMSA); DOT. Background On November 29, 2011, PHMSA the ANPRM. In light of that request, ACTION: Notice of proposed rulemaking; PHMSA is extending the comment extension of comment period. issued a notice of proposed rulemaking (NPRM) that would make miscellaneous period from February 18, 2012, to March SUMMARY: On November 29, 2011, amendments to the pipeline safety 19, 2012. PHMSA published in the Federal regulations (76 FR 73570). On January DATES: The closing date for filing Register a Notice of Proposed 12, 2012, the Interstate Natural Gas comments is extended from February Rulemaking titled: ‘‘Miscellaneous Association of America requested an 18, 2012, until March 19, 2012. Changes to Pipeline Safety Regulations’’ extension of the comment period for ADDRESSES: Comments should reference seeking comments on the need for that NPRM. On January 20, 2012, the Docket No. PHMSA–2011–0009 and changes to the regulations covering Committee on Pipe and Tube Imports may be submitted in the following ways: pipeline safety regulations. The Ad Hoc Large Diameter Line Pipe • E-Gov Web Site: http:// Committee on Pipe and Tube Imports Producers Group Transportation www.Regulations.gov. This site allows Ad Hoc Large Diameter Line Pipe Subcommittee also requested an the public to enter comments on any Producers Group Transportation extension of the comment period to Federal Register notice issued by any Subcommittee and the Interstate Natural further review a National Transportation agency. Gas Association of America petitioned Safety Board (NTSB) recommendation • Fax: 1–(202) 493–2251. PHMSA to extend the comment period. that would impact guidelines on the • Mail: DOT Docket Management PHMSA is granting these requests and transportation of pipe. PHMSA believes System: U.S. DOT, Docket Operations, extending the comment period from that extension of the comment period is M–30, West Building Ground Floor, February, 3, 2012, to March 6, 2012. warranted based on the information Room W12–140, 1200 New Jersey

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Avenue SE., Washington, DC 20590– additional demands on their resources ADDRESSES: You may submit comments, 0001. for analysis. identified by NOAA–NMFS–2011–0292, • Hand Delivery: U.S. DOT Docket PHMSA has posed important by any of the following methods: Management System; West Building questions in the ANPRM on the • Electronic Submissions: Submit all Ground Floor, Room W12–140, 1200 technical challenges and potential costs electronic public comments via the New Jersey Avenue SE., Washington, and benefits of expanding the use of Federal eRulemaking Portal at http:// DC 20590–0001 between 9 a.m. and 5 EFV applications beyond single family www.regulations.gov p.m., Monday through Friday, except residences. Expanded use of EFVs, if • Fax: (206) 526–6736, Attn: Sarah Federal holidays. implemented, could impose significant Williams Instructions: You should identify the cost on the pipeline industry. PHMSA • Mail: William W. Stelle, Jr., Docket No. PHMSA–2011–0009 at the needs thorough responses to the Regional Administrator, Northwest beginning of your comments. If you ANPRM to facilitate its consideration of Region, NMFS, 7600 Sand Point Way submit your comments by mail, submit these important and complex issues. NE., Seattle, WA 98115–0070, Attn: two copies. To receive confirmation that Accordingly, PHMSA is granting the Sarah Williams. PHMSA received your comments, request filed by AGA and APGA and Instructions: All comments received include a self-addressed stamped extending the comment period from are a part of the public record and will postcard. Internet users may submit February 18, 2012, to March 19, 2012. generally be posted to http:// comments at http:// www.regulations.gov without change. www.regulations.gov. Issued in Washington, DC, on January 30, 2012. All personal identifying information (for Note: Comments are posted without Jeffrey D. Wiese, example, name, address, etc.) changes or edits to http:// voluntarily submitted by the commenter Associate Administrator for Pipeline Safety. www.regulations.gov, including any personal may be publicly accessible. Do not information provided. There is a privacy [FR Doc. 2012–2518 Filed 2–2–12; 8:45 am] submit confidential business statement published on http:// BILLING CODE 4910–60–P information, or otherwise sensitive or www.regulations.gov. protected information. National Marine FOR FURTHER INFORMATION CONTACT: For Fisheries Service (NMFS) will accept further information contact Mike Israni DEPARTMENT OF COMMERCE anonymous comments (enter N/A in the at (202) 366–4566 or by email at required fields if you wish to remain [email protected]. National Oceanic and Atmospheric anonymous). Attachments to electronic Administration SUPPLEMENTARY INFORMATION: The comments will be accepted in Microsoft Word, Excel, WordPerfect, or Adobe National Transportation Safety Board 50 CFR Part 300 has made a safety recommendation (P– PDF file formats only. Information 01–02) to PHMSA that EFVs be installed [Docket No. 120106033–2031–01] relevant to this proposed rule, which includes a regulatory impact review in all new and renewed gas service RIN 0648–BB68 lines, regardless of a customer’s (RIR), and an initial regulatory classification, when the operating flexibility analysis (IRFA) are available Pacific Halibut Fisheries; Catch for public review during business hours conditions are compatible with readily Sharing Plan available valves. In response to that at the National Marine Fisheries Service recommendation, on November 25, AGENCY: National Marine Fisheries Northwest Regional Office, 7600 Sand 2011, PHMSA published in the Federal Service (NMFS), National Oceanic and Point Way NE., Seattle, WA 98115. Register an ANPRM titled: ‘‘Pipeline Atmospheric Administration (NOAA), FOR FURTHER INFORMATION CONTACT: Safety: Expanding the Use of Excess Commerce. Sarah Williams, phone: (206) 526–4646, Flow Valves in Gas Distribution ACTION: Proposed rule. fax: (206) 526–6736, or email: Systems to Applications Other Than [email protected] SUMMARY: NMFS proposes to approve Single-Family Residences’’ (76 FR SUPPLEMENTARY INFORMATION: 72666). The ANPRM sought public and implement changes to the Pacific comment on several issues related to Halibut Catch Sharing Plan (Plan) for Electronic Access expanding the use of EFVs in gas the International Pacific Halibut This rule is accessible via the Internet distribution systems. PHMSA also Commission’s (IPHC or Commission) at the Office of the Federal Register Web sought comment from gas distribution regulatory Area 2A off Washington, site at http://www.access.gpo.gov/ system operators on their experiences Oregon, and California (Area 2A). NMFS su_docs/aces/aces140.html. Background using EFVs, particularly from a cost- proposes to implement the portions of information and documents are benefit perspective. the Plan and management measures that available at the NMFS Northwest Region On January 10, 2012, the American are not implemented through the IPHC. Web site at http://www.nwr.noaa.gov/ Gas Association (AGA) and the These measures include the sport Groundfish-Halibut/Groundfish-Fishery- American Public Gas Associations fishery allocations and management Management/index.cfm and at the (APGA) asked PHMSA to extend the measures for Area 2A. These actions are Council’s Web site at http:// ANPRM comment period by at least 30 intended to enhance the conservation of www.pcouncil.org. days. AGA and APGA stated that the Pacific halibut, provide greater angler depth and scope of the ANPRM requires opportunity where available, and Background that stakeholders have substantially protect overfished groundfish species The Northern Pacific Halibut Act more time to respond. AGA and APGA from being incidentally caught in the (Halibut Act) of 1982, 16 U.S.C. 773– further stated that the existence of two halibut fisheries. 773K, gives the Secretary of Commerce other significant PHMSA rulemakings DATES: Comments on the proposed (Secretary) general responsibility for open for comment and the recent changes to the Plan and on the proposed implementing the provisions of the passage of the Pipeline Safety, domestic Area 2A halibut management Halibut Convention between the United Regulatory Certainty, and Job Creation measures must be received no later than States and Canada (Halibut Convention) Act of 2011 (PL112–90), have imposed 5 p.m., local time on February 21, 2012. (16 U.S.C. 773c). It requires the

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Secretary to adopt regulations as may be domestic fishing regulations by have to refer to two separate Federal necessary to carry out the purposes and February 21, 2012. This schedule will Register documents for one fishery. objectives of the Halibut Convention allow the public the opportunity to Incidental Halibut Retention in the and the Halibut Act. Section 773c of the consider the final Area 2A TAC before Sablefish Primary Fishery North of Pt. Halibut Act also authorizes the regional submitting comments on the proposed Chehalis, Washington fishery management councils to develop rule. The States of Washington and regulations in addition to, but not in Oregon will conduct public workshops Preliminary estimates of the 2012 conflict with, regulations of the IPHC to shortly after the IPHC meeting to obtain Area 2A TAC are higher than the 2011 govern the Pacific halibut catch in their input on the sport season dates. After TAC. The preliminary IPHC TAC recommendation for area 2A is 989,000 corresponding U.S. Convention waters. the final Area 2A TAC is known and lb (448.6 mt), which results in a Each year between 1988 and 1995, the after NMFS reviews public comments Washington sport allocation that is more Pacific Fishery Management Council and comments from the states, NMFS (Pacific Council) developed a catch than 214,110 lb (97.1 mt). According to will issue a final rule for Areas 2A, 2C, the catch sharing plan, incidental sharing plan in accordance with the 3A, 3B, 4A, 4B, 4C, 4D, and 4E. This Halibut Act to allocate the total halibut retention would be allowed in final rule will also contain the IPHC the primary directed sablefish fishery allowable catch (TAC) of Pacific halibut regulations for the 2012 Pacific halibut between treaty Indian and non-treaty north of Point Chehalis, WA, in 2012 fisheries. A 15-day public comment harvesters and among non-treaty under the current preliminary IPHC period is necessary to incorporate the commercial and sport fisheries in Area TAC recommendation. While the final U.S. domestic regulations into the 2A. preliminary TAC recommendation for In 1995, NMFS implemented the IPHC regulations in order to have the area 2A may change following the IPHC Pacific Council-recommended long-term combined regulations in place as close annual meeting, it is not anticipated that Plan (60 FR 14651, March 20, 1995). In to March 1 as possible. The regulations the TAC will change enough to prohibit each of the intervening years between need to be in effect in early March incidental halibut retention in the 1995 and the present, minor revisions to because under the 2011 regulations primary sablefish fishery. Landings the Plan have been made to adjust for most commercial fishing seasons started restrictions will be recommended by the the changing needs of the fisheries. The on March 12, although this date may Council at one of its spring meetings Plan allocates 35 percent of the Area 2A need to be changed by the 2012 and NMFS will publish the restrictions Pacific halibut TAC to Washington regulations to be consistent with the in the Federal Register. IPHC’s decisions at its annual meeting treaty Indian tribes in Subarea 2A–1, Pacific Council Recommended Changes in January. This proposed rule cannot and 65 percent of the Area 2A TAC to to the Plan and Domestic Fishing be published earlier because the non-tribal fisheries. Regulations The TAC allocation to non-tribal preliminary TAC amounts were fisheries is divided into three shares, announced at the IPHCs interim meeting Each year, the Washington with the Washington sport fishery on November 30 and December 1, 2011. Department of Fish and Wildlife (north of the Columbia River) receiving The 2012 commercial season starting (WDFW), Oregon Department of Fish 36.6 percent, the Oregon/California date(s) need to be published soon after and Wildlife (ODFW), and the tribes sport fishery receiving 31.7 percent, and the IPHC meeting in January 2012 to with treaty fishing rights for halibut the commercial fishery receiving 31.7 notify the public of that date so the consider whether changes to the Plan percent. The commercial fishery is industry can plan for the season. are needed or desired by their fishery further divided into a directed participants. Fishery managers from the Combining the IPHC regulations with commercial fishery that is allocated 85 states hold public meetings before both the domestic regulations for percent of the commercial allocation of the September and November Pacific Washington, Oregon, and California in Pacific halibut TAC, and an incidental Council meetings to get public input on the final rule is in the best interest of the catch in the salmon troll fishery that is revisions to the Plan. At the September public because it results in publication allocated 15 percent of the commercial 2011 Pacific Council meeting, WDFW allocation. The directed commercial of all the halibut regulations in one and ODFW recommended changes to fishery in Area 2A is confined to Federal Register notice. Section the Plan, while NMFS and the tribes did southern Washington (south of 300.63(b)(1) of the current regulations not recommend any changes to the Plan 46°53.30″ N. lat.), Oregon, and provides that NMFS will publish the for the 2012 fishing season. Following California. North of 46°53.30″ N. lat. (Pt. annual sport fishing regulations for Area the meeting, WDFW and ODFW again Chehalis), the Plan allows for incidental 2A in the Federal Register, so this reviewed their proposals with the halibut retention in the sablefish notification is where the fishermen get public and drafted their recommended primary fishery when the overall Area their information. This process reduces revisions for review and 2A TAC is above 900,000 lb (408.2 mt). confusion for fishery participants recommendation by the Pacific Council. The Plan also divides the sport fisheries because they only have to reference one At its November 2–7, 2011, meeting in into six geographic subareas, each with document for all Pacific halibut Costa Mesa, CA, the Pacific Council separate allocations, seasons, and bag regulations on the West Coast and in considered the results of state- limits. Alaska. Combining these regulations sponsored workshops on the proposed The Area 2A TAC will be set by the also eliminates errors that may occur changes to the Plan, and made its final IPHC at its annual meeting on January from trying to separate the halibut recommendations for modifications to 24–27, 2012, in Anchorage, AK. regulations into two different rules. The the Plan. The following are the Following the annual meeting the IPHC separation could be confusing to the Council’s proposed changes to the Plan: will publish the final TAC on their Web public because many of the IPHC 1. Adjust the primary fishery schedule site and produces a news release. regulations apply to all West Coast and of the Washington South Coast subarea Through this proposed rule, NMFS Alaska Pacific halibut fisheries in the (section (f)(1)(ii)) to be open for the first requests public comments on the Pacific U.S. Therefore, if the regulations were 3 consecutive weeks Sunday and Council’s recommended modifications split between two different rule making Tuesday and closed the following week. to the Plan and the resulting proposed processes many U.S. fishermen would Previously, the fishery was open the last

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Sunday in the month. The goal of this Columbia River subarea and the Periods,’’ paragraph (2)–(3) is proposed change is to maintain the status quo allocations to the Oregon Central Coast to read as follows and paragraph (6) is opening date and to maintain the and South of Humbug subareas does not added to read as follows: number of open days prior to the equal the overall Oregon/California (1) * * * management closure at the end of the quota. To remedy this situation NMFS (2) Each fishing period in the Area 2A month. is not proposing to make any allocation directed fishery shall begin at 0800 2. Adjust the subarea quota split for changes, but is proposing to allocate the hours and terminate at 1800 hours local the Columbia River subarea (section remainder of the overall Oregon/ time on (insert season dates) unless the (f)(1)(iv)) between the early and late California quota left after the Columbia Commission specifies otherwise. fishery from 70 percent for the early River contribution is removed according (3) Notwithstanding paragraph (2), fishery and 30 percent for the late to the Oregon/California subarea and paragraph (7) of section 11, an fishery to 80 percent for the early allocations specified in the Plan i.e., the incidental catch fishery is authorized fishery and 20 percent to the late remainder would be distributed 92 during salmon troll seasons in Area 2A fishery. The goal of this change is to percent to the Central Coast subarea and in accordance with regulations allocate the subarea quota to match 3 percent to the South of Humbug promulgated by NMFS. This fishery will recent year effort in the area and to subarea. occur between 1200 hours local time on maximize access to the overall quota. (insert date) and 1200 hours local time Proposed Changes to the Plan Since 2008, the late season fishery has on (insert season date). harvested less than 20 percent of the NMFS is proposing to approve the (4) * * * subarea quota even though the Pacific Council recommendations and to (5) * * * allocation was 30 percent. implement the changes described above. (6) Notwithstanding paragraph (7) of 3. Set the Oregon TAC contribution to A version of the Plan including these section 11, an incidental catch fishery is the subarea quota for the Columbia changes can be found at http:// authorized during the sablefish primary River subarea (section (f)(1)(iv)) equal www.nwr.noaa.gov/Groundfish-Halibut/ fishery in Area 2A in accordance with the Washington contribution. The goal Pacific-Halibut/Index.cfm. regulations promulgated by NMFS. of this change is to better align Oregon’s In section 26 of the annual domestic contribution to the subarea with the Proposed Corrections to Federal management measures, ‘‘Sport Fishing recent catches in Oregon. Regulations for Halibut,’’ paragraph 1(a)–(b) will be 4. Adjust the Oregon Central Coast NMFS is proposing to make minor updated with 2012 total allowable catch subarea quota (section (f)(1)(v)) from 67 corrections the federal regulations at limits in the final rule. In section 26 of percent to 63 percent for the spring § 300.63 to make the halibut regulations the annual domestic management fishery and from 8 percent to 12 percent regarding the sablefish primary fishery measures, ‘‘Sport Fishing for Halibut’’ for the nearshore fishery and allow any consistent with the groundfish paragraph (8) is proposed to read as remaining quota to be allocated from the regulations which define the sablefish follows: spring fishery to either the summer primary fishery. These changes are (8) * * * fishery and/or the nearshore fishery. minor corrections and do not represent (a) The area in Puget Sound and the The goal of these changes is to provide a shift in policy regarding the sablefish U.S. waters in the Strait of Juan de Fuca, as many fishing days as possible to the primary fishery or the halibut fishery. east of a line extending from 48°17.30′ nearshore fishery and as many days as N. lat., 124°23.70′ W. long. north to Proposed 2012 Sport Fishery possible to the summer season when 48°24.10′ N. lat., 124°23.70′ W. long., is Management Measures participation is at its highest. The not managed in-season relative to its summer fishery was open only two days NMFS also proposes sport fishery quota. This area is managed by setting in 2011. management measures that are a season that is projected to result in a The Council-proposed change in the necessary to implement the Plan in catch of 57,393 lb (26 mt). Oregon contribution to the Columbia 2012. The annual domestic management (i) The fishing season in eastern Puget River subarea would result in a small measures are published each year Sound (east of 123°49.50′ W. long., Low portion of the overall Oregon/California through a final rule. For the 2011 fishing Point) is (insert season dates), and the quota being undistributed. The overall season the final rule was published on fishing season in western Puget Sound Oregon/California quota is separated March 16, 2011 (76 FR 14300), and the (west of 123°49.50′ W. long., Low Point) into three components: (1) A following section numbers refer to is (insert season dates), 5 days a week contribution to the Columbia River sections within that final rule. The final (Thursday through Monday). (previously 5 percent or amount equal 2012 TAC for Area 2A will be (ii) The daily bag limit is one halibut to the Washington contribution, determined by the IPHC at its annual of any size per day per person. whichever was greater); (2) a 92 percent meeting on January 24–27, 2012, in (b) The quota for landings into ports allocation to the Oregon Central Coast Anchorage, AK. Because the final 2012 in the area off the north Washington subarea; and (3) a 3 percent allocation TAC has not yet been determined, these coast, west of the line described in to the South of Humbug subarea. In past proposed sport fishery management paragraph (2)(a) of section 26 and north years the Oregon contribution was set at measures use the IPHC staff’s of the Queets River (47°31.70′ N. lat.), is 5 percent because it was greater than the preliminary 2012 Area 2A TAC 108,030 lb (49 mt). Washington contribution, meaning that recommendation of 989,000 lb (448.6 (i) The fishing seasons are: all three allocations equaled 100 mt), which is higher than the 2011 TAC (A) Commencing on May 10 and percent. This year, the Oregon of 910,000 lb (412.7 mt). Where season continuing 2 days a week (Thursday and contribution is set equal to the dates are not indicated, those dates will Saturday) until 108,030 lb (49 mt) are Washington contribution, which is an be provided in the final rule, following estimated to have been taken and the amount less than 5 percent of the determination of the 2012 TAC and season is closed by the Commission or overall Oregon/California allocation. consultation with the states and the until May 31. This change results in a remainder of 2 public. (B) If sufficient quota remains the percent undistributed quota. Therefore In Section 8 of the annual domestic fishery will reopen on June 7 in the the sum of the contribution to the management measures, ‘‘Fishing entire north coast subarea, continuing 2

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days per week (Thursday and Saturday) WA (47°31.70′ N. lat.) and Leadbetter within the South Coast Recreational until there is not sufficient quota for Point, WA (46°38.17′ N. lat.), is 42,739 YRCA and Westport Offshore YRCA. It another full day of fishing and the area lb (19.3 mt). is unlawful for recreational fishing is closed by the Commission. When (i) This subarea is divided between vessels to take and retain, possess, or there is insufficient quota remaining to the all-waters fishery (the Washington land halibut taken with recreational gear reopen the entire north coast subarea for South coast primary fishery), and the within the South Coast Recreational another day, then the nearshore areas incidental nearshore fishery in the area YRCA and Westport Offshore YRCA. A described below will reopen for 2 days from 47°31.70′ N. lat. south to 46°58.00′ vessel fishing in the South Coast per week (Thursday and Saturday), until N. lat. and east of a boundary line Recreational YRCA and/or Westport the overall quota of 108,030 lb (49 mt) approximating the 30 fm depth contour. Offshore YRCA may not be in is estimated to have been taken and the This area is defined by straight lines possession of any halibut. Recreational area is closed by the Commission, or connecting all of the following points in vessels may transit through the South until September 30, whichever is the order stated as described by the Coast Recreational YRCA and Westport earlier. After May 31, any fishery following coordinates (the Washington Offshore YRCA with or without halibut opening will be announced on the South coast, northern nearshore area): on board. The South Coast Recreational NMFS hotline at (800) 662–9825. No (1) 47°31.70′ N.lat, 124°37.03′ W. YRCA and Westport Offshore YRCA are halibut fishing will be allowed after long; areas off the southern Washington coast May 31 unless the date is announced on (2) 47°25.67′ N. lat, 124°34.79′ W. established to protect yelloweye the NMFS hotline. The nearshore areas long; rockfish. The South Coast Recreational for Washington’s North Coast fishery are (3) 47°12.82′ N. lat, 124°29.12′ W. YRCA is defined at 50 CFR § 660.70(d). defined as follows: long; The Westport Offshore YRCA is defined ° ′ ° ′ (1) WDFW Marine Catch Area 4B, (4) 46 58.00 N. lat, 124 24.24 W. at 50 CFR § 660.70(e). which is all waters west of the Sekiu long. (d) The quota for landings into ports River mouth, as defined by a line The south coast subarea quota will be in the area between Leadbetter Point, extending from 48°17.30′ N. lat., allocated as follows: 40,739 lb (18.4 mt) WA (46°38.17′ N. lat.) and Cape Falcon, 124°23.70′ W. long. north to 48°24.10′ for the primary fishery and 2,000 lb (0.9 OR (45°46.00′ N. lat.), is 11,895 lb (5.3 N. lat., 124°23.70′ W. long., to the mt) for the nearshore fishery. The mt). Bonilla-Tatoosh line, as defined by a primary fishery commences on May 6 (i) The fishing season commences on line connecting the light on Tatoosh and continues 2 days a week (Sunday May 3, and continues 3 days a week Island, WA, with the light on Bonilla and Tuesday) until May 22. If the (Thursday, Friday and, Saturday) until Point on Vancouver Island, British primary quota is projected to be 9,516 lb (4.3 mt) are estimated to have Columbia (at 48°35.73′ N. lat., obtained sooner than expected the been taken and the season is closed by 124°43.00′ W. long.) south of the management closure may occur earlier. the Commission or until July 15, International Boundary between the Beginning on June 3 the primary fishery whichever is earlier. The fishery will U.S. and Canada (at 48°29.62′ N. lat., will be open 2 days per week (Sunday reopen on August 3 and continue 3 days 124°43.55′ W. long.), and north of the and/or Tuesday) until the quota for the a week (Friday through Sunday) until point where that line intersects with the south coast subarea primary fishery is 2,379 lb (1.1 mt) have been taken and boundary of the U.S. territorial sea. taken and the season is closed by the the season is closed by the Commission, (2) Shoreward of the recreational Commission, or until September 30, or until September 30, whichever is halibut 30-fm boundary line, a modified whichever is earlier. The fishing season earlier. Subsequent to this closure, if line approximating the 30-fm depth in the nearshore area commences on there is insufficient quota remaining in contour from the Bonilla-Tatoosh line May 6 and continues seven days per the Columbia River subarea for another south to the Queets River. The 30-fm week. Subsequent to closure of the fishing day, then any remaining quota depth contour is defined in groundfish primary fishery the nearshore fishery is may be transferred in-season to another regulations at 50 CFR 660.71(e). open seven days per week, until 42,739 Washington and/or Oregon subarea by (ii) The daily bag limit is one halibut lb (19.3 mt) is projected to be taken by NMFS via an update to the recreational of any size per day per person. the two fisheries combined and the halibut hotline. Any remaining quota (iii) Recreational fishing for fishery is closed by the Commission or would be transferred to each state in groundfish and halibut is prohibited September 30, whichever is earlier. If proportion to its contribution. within the North Coast Recreational the fishery is closed prior to September (ii) The daily bag limit is one halibut Yelloweye Rockfish Conservation Area 30, and there is insufficient quota of any size per day per person. (YRCA). It is unlawful for recreational remaining to reopen the northern (iii) Pacific Coast groundfish may not fishing vessels to take and retain, nearshore area for another fishing day, be taken and retained, possessed or possess, or land halibut taken with then any remaining quota may be landed, except sablefish and Pacific cod recreational gear within the North Coast transferred in-season to another when allowed by Pacific Coast Recreational YRCA. A vessel fishing in Washington coastal subarea by NMFS groundfish regulations, when halibut the North Coast Recreational YRCA may via an update to the recreational halibut are on board the vessel. not be in possession of any halibut. hotline. (e) The quota for landings into ports Recreational vessels may transit through (ii) The daily bag limit is one halibut in the area off Oregon between Cape the North Coast Recreational YRCA with of any size per day per person. Falcon (45°46.00′ N. lat.) and Humbug or without halibut on board. The North (iii) Seaward of the boundary line Mountain (42°40.50′ N. lat.), is 191,780 Coast Recreational YRCA is a C-shaped approximating the 30-fm depth contour lb (86.9 mt). area off the northern Washington coast and during days open to the primary (i) The fishing seasons are: intended to protect yelloweye rockfish. fishery, lingcod may be taken, retained (A) The first season (the ‘‘inside The North Coast Recreational YRCA is and possessed when allowed by 40-fm’’ fishery) commences May 1 and defined in groundfish regulations at groundfish regulations at 50 CFR continues 7 days a week through § 660.70(a). 660.360, Subpart G. October 31, in the area shoreward of a (c) The quota for landings into ports (iv) Recreational fishing for boundary line approximating the 40-fm in the area between the Queets River, groundfish and halibut is prohibited (73-m) depth contour, or until the sub-

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quota for the central Oregon ‘‘inside 40- on the NMFS hotline whether the to adopt regulations as may be necessary fm’’ fishery (23,014 lb (10.4 mt)) or any summer all-depth fishery will be open to carry out the purposes and objectives in-season revised subquota is estimated on such additional fishing days, what of the Convention and Halibut Act. This to have been taken and the season is days the fishery will be open and what proposed rule is consistent with the closed by the Commission, whichever is the bag limit is. Secretary of Commerce’s authority earlier. The boundary line (ii) The daily bag limit is one halibut under the Halibut Act. approximating the 40-fm (73-m) depth of any size per day per person, unless This action has been determined to be contour between 45°46.00′ N. lat. and otherwise specified. NMFS will not significant for purposes of Executive 42°40.50′ N. lat. is defined at§ 660.71(k). announce on the NMFS hotline any bag Order 12866. (B) The second season (spring season), limit changes. NMFS has prepared an RIR/IRFA on which is for the ‘‘all-depth’’ fishery, is (iii) During days open to all-depth the proposed changes to the Plan and open from May 10, 2012 to (insert halibut fishing, no Pacific Coast the annual domestic Area 2A halibut dates). The projected catch for this groundfish may be taken and retained, management measures. Copies of these season is 120,821 lb (54.8 mt). If possessed or landed, except sablefish documents are available from NMFS sufficient unharvested catch remains for and Pacific cod, when allowed by (see ADDRESSES). NMFS prepared an additional fishing days, the season will Pacific Coast groundfish regulations, if IRFA that describes the economic re-open. Depending on the amount of halibut are on board the vessel. impact this proposed rule, if adopted, unharvested catch available, the (iv) When the all-depth halibut would have on small entities. A potential season re-opening dates will fishery is closed and halibut fishing is description of the action, why it is being be: (Insert dates no later than July 31). permitted only shoreward of a boundary considered, and the legal basis for this If NMFS decides in-season to allow line approximating the 40-fm (73-m) action are contained at the beginning of fishing on any of these re-opening dates, depth contour, halibut possession and this section in the preamble and in the notice of the re-opening will be retention by vessels operating seaward SUMMARY section of the preamble. The announced on the NMFS hotline (206) of a boundary line approximating the IRFA is available from NMFS (see 526–6667 or (800) 662–9825. No halibut 40-fm (73-m) depth contour is ADDRESSES). A summary of the IRFA fishing will be allowed on the re- prohibited. follows: opening dates unless the date is (v) Recreational fishing for groundfish A fish-harvesting business is announced on the NMFS hotline. and halibut is prohibited within the considered a ‘‘small’’ business by the (C) If sufficient unharvested catch Stonewall Bank YRCA. It is unlawful for Small Business Administration (SBA) if remains, the third season (summer recreational fishing vessels to take and it has annual receipts not in excess of season), which is for the ‘‘all-depth’’ retain, possess, or land halibut taken $4.0 million. For related fish-processing fishery, will be open from August 3, with recreational gear within the businesses, a small business is one that 2012 to (insert dates) or until the Stonewall Bank YRCA. A vessel fishing employs 500 or fewer persons. For combined spring season and summer in the Stonewall Bank YRCA may not wholesale businesses, a small business season quotas in the area between Cape possess any halibut. Recreational is one that employs not more than 100 Falcon and Humbug Mountain, OR, vessels may transit through the people. For marinas and charter/party totaling 168,766 lb (76.5 mt), are Stonewall Bank YRCA with or without boats, a small business is one with estimated to have been taken and the halibut on board. The Stonewall Bank annual receipts not in excess of area is closed by the Commission, or YRCA is an area off central Oregon, near $6.5 million. All of the businesses that October 31, whichever is earlier. NMFS Stonewall Bank, intended to protect would be affected by this action are will announce on the NMFS hotline in yelloweye rockfish. The Stonewall Bank considered small businesses under July whether the fishery will re-open for YRCA is defined at § 660.70(f). Small Business Administration the summer season in August. No (f) The area south of Humbug guidance. halibut fishing will be allowed in the Mountain, Oregon (42°40.50′ N. lat.) and In 2011, 604 vessels were issued IPHC summer season fishery unless the dates off the California coast is not managed licenses to retain halibut. IPHC issues are announced on the NMFS hotline. in-season relative to its quota. This area licenses for: The directed commercial Additional fishing days may be opened is managed on a season that is projected fishery in Area 2A (147 licenses in if sufficient quota remains after the last to result in a catch of 6,056 lb (2.7 mt). 2011); incidental halibut caught in the day of the first scheduled open period (i) The fishing season will commence salmon troll fishery (316 licenses in (insert date following establishment of on May 1 and continue 7 days a week 2011); and the charterboat fleet season dates.) If, after this date, an until October 31. (141 licenses in 2011). No vessel may amount greater than or equal to 60,000 (ii) The daily bag limit is one halibut participate in more than one of these lb (27.2 mt) remains in the combined of any size per day per person. three fisheries per year. Individual all-depth and inside 40-fm (73-m) quota, recreational anglers and private boats Classification the fishery may re-open every Friday are the only sectors that are not required and Saturday, beginning (insert dates of Regulations governing the U.S. to have an IPHC license to retain next possible open period as established fisheries for Pacific halibut are halibut. preseason), and ending October 31. If developed by the IPHC, the Pacific The IRFA analyzed the impacts of the after September 3, an amount greater Fishery Management Council, the North changes to the Plan and regulations. For than or equal to 30,000 lb (13.6 mt) Pacific Fishery Management Council the 2012 fishing year the proposed remains in the combined all-depth and (Council), and the Secretary of changes to the Plan, which allocates the inside 40-fm (73-m) quota, and the Commerce. Section 5 of the Northern catch of Pacific halibut among users in fishery is not already open every Friday Pacific Halibut Act of 1982 (Halibut Act, Washington, Oregon and California, and and Saturday, the fishery may re-open 16 U.S.C. 773c) provides the Secretary the federal regulations, would: every Friday and Saturday, beginning of Commerce with the general 1. Adjust the primary fishery schedule September 7 and 8, and ending October responsibility to carry out the for the Washington Southcoast subarea 31. After September 3, the bag limit may Convention between Canada and the (section (f)(1)(iii)) to be open for the first be increased to two fish of any size per United States for the management of 3 consecutive weeks Sunday and person, per day. NMFS will announce Pacific halibut, including the authority Tuesday and closed the following week.

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2. Adjust the subarea quota split for price changes only affect the income any listed species, and that in no way the Columbia River subarea (section estimates associated with commercial did the 2011 fishery make an (f)(1)(iv)) between the early and late fishermen and tribal fishermen.) irreversible or irretrievable commitment fishery from 70 percent for the early The proposed changes to the Plan and of resources by the agency. At this time fishery and 30 percent for the late regulations do not include any reporting the consultation is not completed. fishery to 80 percent for the early or recordkeeping requirements. These Therefore for the 2012 fishery the fishery and 20 percent to the late changes will not duplicate, overlap or determinations made under the ESA fishery, and adjust the Oregon conflict with other laws or regulations. will be updated at the final rule stage. These changes to the Plan and annual contribution to the subarea quota to List of Subjects in 50 CFR Part 300 equal the Washington contribution. domestic Area 2A halibut management 3. Adjust the Oregon Central Coast measures are not expected to meet any Fisheries, Fishing, and Indian subarea quota (section (f)(1)(v)) from 67 of the RFA tests of having a fisheries. percent to 63 percent for the spring ‘‘significant’’ economic impact on a Dated: January 30, 2012. fishery and from 8 percent to 12 percent ‘‘substantial number’’ of small entities Alan D. Risenhoover, for the nearshore fishery and allow because the changes will not affect Acting Deputy Assistant Administrator for remaining quota to be allocated from the overall allocations. They are designed to Regulatory Programs, National Marine spring fishery to either the summer provide the best fishing opportunities Fisheries Service. fishery and/or the nearshore fishery. within the overall TAC. Nonetheless, For the reasons set out in the NMFS has prepared an IRFA. Through Because there is no new analysis or preamble, 50 CFR part 300 is proposed this proposed rule, NMFS requests information available, the RIR/IRFA to be amended as follows: comments on these conclusions. relies on the analysis in the 2009 RIR, Pursuant to Executive Order 13175, which used information from the Pacific PART 300—INTERNATIONAL the Secretary recognizes the sovereign FISHERIES REGULATIONS Fishery Management Council’s Draft status and co-manager role of Indian Environmental Impact Statement (DEIS) tribes over shared Federal and tribal 1. The authority citation for part 300 (available at ADDRESSES) on the 2009– fishery resources. Section 302(b)(5) of continues to read as follows: 2010 Groundfish Biennial Harvest the Magnuson-Stevens Fishery Authority: 16 U.S.C. 1801 et seq., 16 Specifications and Management Conservation and Management Act U.S.C. 5501 et seq., 16 U.S.C. 2431 et seq., Measures to make personal income establishes a seat on the Pacific Council 31 U.S.C. 9701 et seq. impact projections of the TAC on for a representative of an Indian tribe 2. In § 300.63, paragraphs(b)(3), coastal communities. Personal income is with federally recognized fishing rights considered a key indicator of economic (d)(1)(ii), (d)(3)–(d)(4), (d)(6), and (e)(2) from California, Oregon, Washington, or are revised to read as follows: activity, and is used in economic Idaho. analysis to evaluate distributional The U.S. Government formally § 300.63 Catch sharing plan and domestic effects on local and regional economies recognizes that the 13 Washington management measures in Area 2A. associated with changes in regulations. Tribes have treaty rights to fish for * * * * * Income impacts include the amount of Pacific halibut. In general terms, the (b) * * * employee salaries and benefits, business quantification of those rights is 50 (3) A portion of the Area 2A owner (proprietor) income, and percent of the harvestable surplus of Washington recreational TAC is property-related income (rents, Pacific halibut available in the tribes’ allocated as incidental catch in the dividends, interest, royalties, etc.) that usual and accustomed (U and A) fishing sablefish primary fishery north of result from commercial fishing and areas (described at 50 CFR 300.64). Each 46°53.30′ N. lat, (Pt. Chehalis, recreational expenditures. Using of the treaty tribes has the discretion to Washington), which is regulated under available analysis from the DEIS, the administer their fisheries and to 50 CFR 660.231. This fishing 2009 RIR estimated that the 2008 establish their own policies to achieve opportunity is only available in years in commercial, recreational, and tribal program objectives. Accordingly, tribal which the Area 2A TAC is greater than fisheries generated about $8.8 million in allocations and regulations, including 900,000 lb (408.2 mt,) provided that a personal income for the coastal tribal the proposed changes to the Plan, have minimum of 10,000 lb (4.5 mt) is and non-tribal communities. This 2008 been developed in consultation with the available above a Washington estimate was based on a TAC of affected tribe(s) and, insofar as possible, recreational TAC of 214,100 lb (97.1 1,220,000 lbs. For 2012, the TAC is with tribal consensus. mt). Each year that this harvest is projected to be 989,000 lbs, or about 81 For the 2011 annual management available, the landing restrictions percent of the 2008 TAC. On a measures and implementation of the necessary to keep this fishery within its proportional basis, this decline would catch sharing plan NMFS NWR initiated allocation will be recommended by the suggest that the income impacts for consultation on the halibut fishery Pacific Fishery Management Council at 2012 would be about $8.0 million in under Section 7 of the ESA because of its spring meetings, and will be 2008 dollars. This projection assumes the listing of yelloweye, canary, and published in the Federal Register. that prices are constant. However, this bocaccio rockfish of the Puget Sound/ These restrictions will be designed to is not the case. According to the Pacific Georgia Basin. Area 2A partially ensure the halibut harvest is incidental States Marine Fisheries Commission overlaps with the Distinct Population to the sablefish harvest and will be PacFIN data reports (Report 307), Segments (DPSs) for listed rockfish. based on the amounts of halibut and halibut prices have varied significantly NMFS completed a 7(a)(2)/7(d) sablefish available to this fishery, and by year: 2008—$3.57/lb, 2009—$2.72/ determination memo under the other pertinent factors. The restrictions lb, and through November 2010—$4.01 Endangered Species Act (ESA) finding may include catch or landing ratios, per lb. At $4.01 per lb, the projected ex- that bycatch in the 2011 fishery was not landing limits, or other means to control vessel value of the 2012 commercial likely to be a significant impact on the rate of halibut landings. tribal (346,150 lbs) and non-tribal listed species, that direct effects of the (i) In years when this incidental (203,783 lbs) fishery is about fishery (e.g. direct takes) were not likely harvest of halibut in the sablefish $2.2 million. (Note that these ex-vessel to jeopardize the continued existence of primary fishery north of 46°53.30′ N. lat.

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is allowed, it is allowed only for vessels that has been used during the same annual domestic management measures using longline gear that are registered to calendar year for the incidental catch and IPHC regulations in Area 2A. groundfish limited entry permits with fishery during the salmon troll fishery * * * * * sablefish endorsements and that possess as authorized in Section 8 of the annual (e) * * * the appropriate incidental halibut domestic management measures and * * * * * harvest license issued by the IPHC regulations. (2) Non-treaty commercial vessels Commission. (4) No person shall fish for halibut in (ii) It is unlawful for any person to operating in the incidental catch fishery the directed commercial halibut fishery during the sablefish primary fishery possess, land or purchase halibut south and/or retain halibut incidentally taken of 46°53.30′ N. lat. that were taken and north of Pt. Chehalis, Washington, in in the sablefish primary fishery in Area Area 2A are required to fish outside of retained as incidental catch authorized 2A from a vessel that, during the same by this section in the sablefish primary a closed area. Under Pacific Coast calendar year, has been used in the fishery. groundfish regulations at 50 CFR sport halibut fishery in Area 2A or that * * * * * 660.230, fishing with limited entry fixed is licensed for the sport charter halibut gear is prohibited within the North (d) * * * fishery in Area 2A. (1) * * * Coast Commercial Yelloweye Rockfish (ii) The commercial directed fishery * * * * * Conservation Area (YRCA). It is for halibut during the fishing period(s) (6) No person shall retain halibut in unlawful to take and retain, possess, or established in section 8 of the annual the salmon troll fishery in Area 2A as land halibut taken with limited entry domestic management measures and authorized under section 8 of the annual fixed gear within the North Coast IPHC regulations and/or the incidental domestic management measures and Commercial YRCA. The North Coast retention of halibut during the sablefish IPHC regulations taken on a vessel that, Commercial YRCA is an area off the primary fishery described at 50 CFR during the same calendar year, has been northern Washington coast, overlapping 660.231; or used in the directed commercial halibut the northern part of the North Coast * * * * * fishery during the fishing periods Recreational YRCA, and is defined by (3) No person shall fish for halibut in established in Section 8 of the annual straight lines connecting latitude and the directed commercial halibut fishery domestic management measures and longitude coordinates. Coordinates for during the fishing periods established in IPHC regulations and/or retained the North Coast Commercial YRCA are section 8 of the annual domestic halibut incidentally taken in the specified in groundfish regulations at management measures and IPHC sablefish primary fishery for Area 2A or 50 CFR 660.70(b). regulations and/or retain halibut that is licensed to participate in these * * * * * incidentally taken in the sablefish commercial fisheries during the fishing [FR Doc. 2012–2362 Filed 2–2–12; 8:45 am] primary fishery in Area 2A from a vessel periods established in Section 8 of the BILLING CODE 3510–22–P

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Notices Federal Register Vol. 77, No. 23

Friday, February 3, 2012

This section of the FEDERAL REGISTER holidays. To be sure someone is there to These activities are currently contains documents other than rules or help you, please call (202) 690–2817 approved by the Office of Management proposed rules that are applicable to the before coming. and Budget (OMB) under OMB control public. Notices of hearings and investigations, FOR FURTHER INFORMATION CONTACT: For number 0579–0015, which also covers committee meetings, agency decisions and information collection activities for a rulings, delegations of authority, filing of information on the importation of petitions and applications and agency animal and poultry products (milk and variety of other animal and poultry statements of organization and functions are eggs) into the United States, contact Dr. products imported into the United examples of documents appearing in this Lynette Williams-McDuffie, Staff States. We are proposing to separate the section. Veterinarian, Technical Trade commodities previously approved Services—Products, NCIE, VS, APHIS, under OMB control number 0579–0015 4700 River Road Unit 40, Riverdale, MD into individual collections to better DEPARTMENT OF AGRICULTURE 20737; (301) 734–3277. For copies of reflect the commodities’ specific more detailed information on the collection activities and account for the Animal and Plant Health Inspection information collection, contact Mrs. information APHIS collects. Once Service Celeste Sickles, APHIS’ Information approved by OMB, only information [Docket No. APHIS–2011–0128] Collection Coordinator, at (301) 851– collection activities associated with the 2908. importation of nonfood animal and Notice of Request for Approval of an poultry products and byproducts will be Information Collection; Importation of SUPPLEMENTARY INFORMATION: under OMB control number 0579–0015. Animal and Poultry Products (Milk and Title: Importation of Animal and Information collection activities for milk Eggs) Into the United States Poultry Products (Milk and Eggs) Into and eggs and other commodities now the United States. covered under OMB control number AGENCY: Animal and Plant Health OMB Number: 0579–xxxx. 0579–0015 will receive new numbers Inspection Service, USDA. Type of Request: Approval of an when approved. ACTION: Approval of an information information collection. We are asking the Office of collection; comment request. Abstract: Under the authority of the Management and Budget (OMB) to Animal Health Protection Act (7 U.S.C. approve our use of these information SUMMARY: In accordance with the 8301 et seq.), the Animal and Plant collection activities related to the Paperwork Reduction Act of 1995, this Health Inspection Service (APHIS) importation of milk and eggs for 3 years. notice announces the Animal and Plant regulates the importation of certain The purpose of this notice is to solicit Health Inspection Service’s intention to animal and poultry products and comments from the public (as well as request approval of an information byproducts to prevent the introduction affected agencies) concerning our collection associated with regulations of pests and diseases of livestock and information collection. These comments for the importation of animal and poultry into the United States. These will help us: poultry products (milk and eggs) into (1) Evaluate whether the collection of regulations are found at 9 CFR parts 94, the United States. information is necessary for the proper 95, 96, and 122. performance of the functions of the DATES: We will consider all comments The regulations require a number of Agency, including whether the that we receive on or before April 3, information collection activities to 2012. information will have practical utility; prevent the introduction of livestock (2) Evaluate the accuracy of our ADDRESSES: You may submit comments and poultry diseases and pests via the estimate of the burden of the collection by either of the following methods: importation of animal and poultry • of information, including the validity of Federal eRulemaking Portal: Go to products and byproducts, including the methodology and assumptions used; http://www.regulations.gov/ milk and eggs, into the United States. (3) Enhance the quality, utility, and #!documentDetail;D=APHIS-2011-0128- For milk and eggs, these include clarity of the information to be 0001. applications for approval/report of collected; and • Postal Mail/Commercial Delivery: inspection of establishments to handle (4) Minimize the burden of the Send your comment to Docket No. restricted animal byproducts or collection of information on those who APHIS–2011–0128, Regulatory Analysis controlled materials; agreements for are to respond, through use, as and Development, PPD, APHIS, Station handling restricted imports of animal appropriate, of automated, electronic, 3A–03.8, 4700 River Road Unit 118, byproducts and controlled materials; mechanical, and other collection Riverdale, MD 20737–1238. certifications for eggs (other than technologies; e.g., permitting electronic Supporting documents and any hatching eggs); applications for the submission of responses. comments we receive on this docket importation of eggs (other than hatching Estimate of burden: The public may be viewed at http:// eggs) in specific cases; applications for reporting burden for this collection of www.regulations.gov/ the importation of small amounts of information is estimated to average #!docketDetail;D=APHIS-2011-0128 or milk/milk products for analysis, testing, 1.998316334 hours per response. in our reading room, which is located in or examination; certificates of origin for Respondents: Processing operators; room 1141 of the USDA South Building, milk and milk products from regions foreign national governments; foreign 14th Street and Independence Avenue free of foot-and-mouth disease and veterinarians; and importers and SW., Washington, DC. Normal reading rinderpest; and marking requirements exporters. room hours are 8 a.m. to 4:30 p.m., for eggs from regions with exotic Estimated annual number of Monday through Friday, except Newcastle disease. respondents: 227.

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Estimated annual number of may be viewed at http:// approve our use of these information responses per respondent: 900.0704846. www.regulations.gov/ collection activities for an additional 3 Estimated annual number of #!docketDetail;D=APHIS-2011-0113 or years. responses: 204,316. in our reading room, which is located in The purpose of this notice is to solicit Estimated total annual burden on room 1141 of the USDA South Building, comments from the public (as well as respondents: 408,288 hours. (Due to 14th Street and Independence Avenue affected agencies) concerning our averaging, the total annual burden hours SW., Washington, DC. Normal reading information collection. These comments may not equal the product of the annual room hours are 8 a.m. to 4:30 p.m., will help us: number of responses multiplied by the Monday through Friday, except (1) Evaluate whether the collection of reporting burden per response.) holidays. To be sure someone is there to information is necessary for the proper All responses to this notice will be help you, please call (202) 690–2817 performance of the functions of the summarized and included in the request before coming. Agency, including whether the for OMB approval. All comments will FOR FURTHER INFORMATION CONTACT: For information will have practical utility; also become a matter of public record. information on special need requests (2) Evaluate the accuracy of our Done in Washington, DC, this 30th day of under the Plant Protection Act, contact estimate of the burden of the collection January 2012. Ms. Lynn Evans-Goldner, National of information, including the validity of Kevin Shea, Program Manager, EDP, PPQ, APHIS, the methodology and assumptions used; Acting Administrator, Animal and Plant 4700 River Road Unit 160, Riverdale, (3) Enhance the quality, utility, and Health Inspection Service. MD 20737; (301) 734–7228. For copies clarity of the information to be [FR Doc. 2012–2444 Filed 2–2–12; 8:45 am] of more detailed information on the collected; and BILLING CODE 3410–34–P information collection, contact Mrs. (4) Minimize the burden of the Celeste Sickles, APHIS’ Information collection of information on those who Collection Coordinator, at (301) 851– are to respond, through use, as DEPARTMENT OF AGRICULTURE 2908. appropriate, of automated, electronic, mechanical, and other collection SUPPLEMENTARY INFORMATION: Animal and Plant Health Inspection technologies; e.g., permitting electronic Title: Special Need Request Under the Service submission of responses. Plant Protection Act. [Docket No. APHIS–2011–0113] OMB Number: 0579–0291. Estimate of burden: The public Type of Request: Extension of reporting burden for this collection of Notice of Request for Extension of information is estimated to average 160 Approval of an Information Collection; approval of an information collection. Abstract: The Plant Protection Act hours per response. Special Need Requests Under the Plant (PPA, 7 U.S.C. 7701 et seq.) authorizes Respondents: State Governments. Protection Act the Secretary of Agriculture to restrict Estimated annual number of AGENCY: Animal and Plant Health the importation, entry, or interstate respondents: 1. Inspection Service, USDA. movement of plants, plant products, and Estimated annual number of responses per respondent: 1. ACTION: Extension of approval of an other articles to prevent the information collection; comment introduction of plant pests into the Estimated annual number of request. United States or their dissemination responses: 1. within the United States. This authority Estimated total annual burden on SUMMARY: In accordance with the has been delegated to the Animal and respondents: 160 hours. (Due to Paperwork Reduction Act of 1995, this Plant Health Inspection Service averaging, the total annual burden hours notice announces the Animal and Plant (APHIS), which administers regulations may not equal the product of the annual Health Inspection Service’s (APHIS) to implement the PPA. Regulations number of responses multiplied by the intention to request an extension of governing the interstate movement of reporting burden per response.) approval of an information collection plants, plant products, and other articles All responses to this notice will be associated with regulations to allow are contained in 7 CFR part 301, summarized and included in the request States to impose prohibitions or ‘‘Domestic Quarantine Notices.’’ for OMB approval. All comments will restrictions on specific articles in The regulations in ‘‘Subpart- also become a matter of public record. addition to those required by APHIS to Preemption and Special Need Requests’’ Done in Washington, DC, this 30th day of help protect against the introduction allow States or political subdivisions of January 2012. and establishment of plant pests. States to request approval from APHIS Kevin Shea, DATES: We will consider all comments to impose prohibitions or restrictions on Acting Administrator, Animal and Plant that we receive on or before April 3, the movement in interstate commerce of Health Inspection Service. 2012. specific articles that pose a plant health [FR Doc. 2012–2445 Filed 2–2–12; 8:45 am] ADDRESSES: You may submit comments risk that are in addition to the BILLING CODE 3410–34–P by either of the following methods: prohibitions and restrictions imposed • Federal eRulemaking Portal: Go to by APHIS. This process requires http://www.regulations.gov/ information collection activities, DEPARTMENT OF AGRICULTURE #!documentDetail;D=APHIS-2011-0113- including a pest data detection survey 0001. with a pest risk analysis showing that a Food Safety and Inspection Service • Postal Mail/Commercial Delivery: pest is not present in a State, or, if [Docket No. FSIS–2012–0002] Send your comment to Docket No. already present, the current distribution APHIS–2011–0113, Regulatory Analysis in the State, and that the pest would Codex Alimentarius Commission: and Development, PPD, APHIS, Station harm or injure the environment and/or Meeting of the Codex Committee on 3A–03.8, 4700 River Road Unit 118, agricultural resources of the State or Contaminants in Food Riverdale, MD 20737–1238. political subdivision. Supporting documents and any We are asking the Office of AGENCY: Office of the Under Secretary comments we receive on this docket Management and Budget (OMB) to for Food Safety, USDA.

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ACTION: Notice of public meeting and CFSAN/FDA, HFS–317, 5100 Paint • Matters of Interest Arising from request for comments. Branch Parkway, College Park, MD FAO and WHO (including JECFA). 20740, telephone: (240) 402–2023, fax: • Matters of Interest Arising from SUMMARY: The Office of the Under (301) 436–2651, email: other International Organizations— Secretary for Food Safety, U.S. [email protected]. International Atomic Energy Agency Department of Agriculture (USDA), and For Further Information About the (IAEA). the Food and Drug Administration Public Meeting Contact: Henry Kim, • Draft Maximum Levels for (FDA), U.S. Department of Health and Ph.D., Office of Food Safety, CFSAN/ Melamine in Food (liquid infant Human Services, are sponsoring a FDA, HFS–317, 5100 Paint Branch formula). • public meeting on February 23, 2012. Parkway, College Park, MD 20740, Proposed Draft Maximum Levels for The objective of the public meeting is to telephone: (301) 436–2023, fax: (301) Arsenic in Rice. provide information and receive public • 436–2651, email: Proposed Draft Maximum Levels for comments on agenda items and draft [email protected]. Deoxynivalenol (DON) and its United States (U.S.) positions that will Acetylated Derivatives in Cereals and be discussed at the 6th Session of the SUPPLEMENTARY INFORMATION: Cereal-Based Products. • Codex Committee on Contaminants in Background Proposed Draft Maximum Levels for Food (CCCF) of the Codex Alimentarius Total Aflatoxins in Dried Figs including Commission (Codex), which will be Codex was established in 1963 by two Sampling Plans. held in Maastricht, The Netherlands, United Nations organizations, the Food • Editorial Amendments to the March 26–30, 2012. The Under and Agriculture Organization (FAO) and General Standard for Contaminants and Secretary for Food Safety and FDA the World Health Organization (WHO). Toxins in Foods and Feeds (GSCTFF). recognize the importance of providing Through adoption of food standards, • Discussion Paper on Pyrrolizidine interested parties the opportunity to codes of practice, and other guidelines Alkaloids in Food and Feed. • obtain background information on the developed by its committees, and by Discussion Paper on Maximum 6th Session of the CCCF and to address promoting adoption and Levels for Lead in Various Foods in the items on the agenda. implementation by governments, Codex General Standard for Contaminants and DATES: The public meeting is scheduled seeks to protect the health of consumers Toxins in Food and Feed and the for Thursday, February 23, 2012, from 1 and ensure that fair practices are used Related Code of Practice for the p.m. to 3 p.m. in the food trade. Prevention and Reduction of Lead Contamination in Foods and the Code of ADDRESSES: The public meeting will be The CCCF establishes or endorses permitted maximum levels, and where Practice for Source Directed Measure to held at the Harvey W. Wiley Federal Reduce Contamination of Foods with Building, Room 3B–047, FDA, Center necessary revises existing guideline levels for contaminants and naturally Chemicals. for Food Safety and Applied Nutrition • occurring toxicants in food and feed; Discussion Paper on Mycotoxins in (CFSAN), 5100 Paint Branch Parkway, Sorghum. College Park, MD 20740. Documents prepares priority lists of contaminants • and naturally occurring toxicants for Discussion Paper on Ochratoxin A related to the 6th Session of the CCCF in Cocoa. will be accessible via the World Wide risk assessment by the Joint FAO/WHO • Expert Committee on Food Additives Discussion Paper on Guidance for web at http:// Risk Management Options in Light of (JECFA); considers and elaborates www.codexalimentarius.org. Different Risk Assessment Options. methods of analysis and sampling for Nega Beru, U.S. Delegate to the 6th • Priority List of Contaminants and Session of the CCCF, invites interested the determination of contaminants and Naturally Occurring Toxicants Proposed U.S. parties to submit their comments naturally occurring toxicants in food for Evaluation by the JECFA. electronically to the following email and feed; considers and elaborates Each issue listed will be fully address [email protected]. standards or codes of practice for related described in documents distributed, or Registration: Attendees may register subjects; and considers other matters to be distributed, by the Secretariat prior electronically at the same email address assigned to it by Codex in relation to to the meeting. Members of the public provided above by February 18, 2012. contaminants and naturally occurring may access copies of these documents The meeting will be held in a Federal toxicants in food and feed. (see ADDRESSES). building; therefore, early registration is The Committee is chaired by The encouraged as it will expedite entry into Netherlands. Public Meeting the building and its parking area. You Issues To Be Discussed at the Public At the February 23, 2012, public should also bring photo identification Meeting meeting, draft U.S. positions on the and plan for adequate time to pass agenda items will be described and through security screening systems. If The following items on the agenda for discussed, and attendees will have the you require parking, please include the the 6th Session of the CCCF will be opportunity to pose questions and offer vehicle make and tag number when you discussed during the public meeting: comments. Written comments may be • register. Attendees that are not able to Matters Referred to the CCCF by offered at the meeting or sent to Dr. attend the meeting in-person but wish to Codex and other Codex Committees/ Henry Kim for the 6th Session of the participate may do so by phone. Task Forces. CCCF (see ADDRESSES). Written • Call-In Number: If you wish to Revision of the Risk Analysis comments should state that they relate participate in the public meeting for the Principles Applied by the Codex to activities of the 6th Session of the 6th Session of the CCCF by conference Committee on Food Additives (CCFA) CCCF. and the CCCF as to Their Separation call, please use the call-in number and Additional Public Notification participant code listed below. from the CCFA and Their Applicability Call-in Number: 1–(888) 858–2144. to Feed. FSIS will announce this notice online Participant Code: 6208658. • Revision of the Code of Practice for through the FSIS Web page located at For Further Information About the 6th Source Directed Measures to Reduce http://www.fsis.usda.gov/ Session of the CCCF Contact: Henry Contamination of Food with Chemicals regulations_&_policies/ Kim, Ph.D., Office of Food Safety, as to Their Applicability to Feed. Federal_Register_Notices/index.asp.

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FSIS will also make copies of this DEPARTMENT OF AGRICULTURE not able to attend the meeting in-person Federal Register publication available but wish to participate may do so by through the FSIS Constituent Update, Food Safety and Inspection Service phone. Those wishing to participate by phone should request the call-in which is used to provide information [Docket No. FSIS–2012–0001] regarding FSIS policies, procedures, number and conference code when they regulations, Federal Register notices, Codex Alimentarius Commission: register for the meeting. FSIS public meetings, and other types of Meeting of the Codex Committee on FOR FURTHER INFORMATION ABOUT THE information that could affect or would Food Additives 44TH SESSION OF THE CCFA CONTACT: be of interest to constituents and Dennis M. Keefe, Ph.D., Director, Office AGENCY: Office of the Under Secretary stakeholders. The Update is of Food Additive Safety, Center for Food for Food Safety, USDA. communicated via Listserv, a free Safety and Applied Nutrition CFSAN/ electronic mail subscription service for ACTION: Notice of public meeting and FDA, HFS–205, 5100 Paint Branch industry, trade groups, consumer request for comments. Parkway, College Park, MD 20740, Telephone: (240) 402–1200, Fax: (301) interest groups, health professionals, SUMMARY: The Office of the Under and other individuals who have asked 436–2972, email: Secretary for Food Safety, U.S. [email protected]. to be included. The Update is also Department of Agriculture (USDA), and available on the FSIS Web page. In the Food and Drug Administration FOR FURTHER INFORMATION ABOUT THE addition, FSIS offers an electronic mail (FDA), U.S. Department of Health and PUBLIC MEETING CONTACT: Jannavi R. subscription service which provides Human Services, are sponsoring a Srinivasan, Ph.D., Chemistry Reviewer, automatic and customized access to public meeting on February 13, 2012. Division of Biotech and GRAS Notice selected food safety news and The objective of the public meeting is to Review, Office of Food Additive Safety information. This service is available at provide information and receive public CFSAN/FDA HFS–255, 5100 Paint http://www.fsis.usda.gov/ comments on agenda items and draft Branch Parkway, College Park, MD News_&_Events/Email_Subscription/. United States (U.S.) positions that will 20740, telephone: (240) 402–1199, fax: (301) 436–2965, email: Options range from recalls to export be discussed at the 44th Session of the Codex Committee on Food Additives [email protected]. information to regulations, directives, (CCFA) of the Codex Alimentarius and notices. Customers can add or SUPPLEMENTARY INFORMATION: Commission (Codex), which will be delete subscriptions themselves, and held in Hangzhou, China March 12–16, Background have the option to password protect 2012. USDA and FDA recognize the their accounts. Codex was established in 1963 by two importance of providing interested United Nations organizations, the Food USDA Nondiscrimination Statement parties the opportunity to obtain and Agriculture Organization (FAO) and background information on the 44th the World Health Organization (WHO). USDA prohibits discrimination in all Session of the CCFA and to address Through adoption of food standards, its programs and activities on the basis items on the agenda. codes of practice, and other guidelines of race, color, national origin, gender, DATES: The public meeting is scheduled developed by its committees, and by religion, age, disability, political beliefs, for Monday, February 13, 2012, from 9 promoting their implementation by sexual orientation, and marital or family a.m. to 12 p.m. governments, Codex seeks to protect the status (Not all prohibited bases apply to ADDRESSES: The public meeting will be health of consumers and ensure that fair all programs). held in Rooms 1A–001 and 1A–002, practices are used in trade. Persons with disabilities who require FDA, Harvey Wiley Federal Building, The CCFA establishes or endorses alternative means for communication of 5100 Paint Branch Parkway, College permitted maximum levels for program information (Braille, large Park, MD 20740. individual additives; prepares priority print, and audiotape) should contact Documents related to the 44th Session lists of food additives for risk USDA’s Target Center at (202) 720–2600 of the CCFA will be accessible via the assessment by the Joint FAO/WHO Expert Committee on Food Additives (voice and TTY). World Wide Web at the following address: http:// (JECFA); assigns functional classes to To file a written complaint of www.codexalimentarius.org. individual food additives; recommends discrimination, write USDA, Office of The U.S. Delegate to the 44th Session specifications of identity and purity for the Assistant Secretary for Civil Rights, of the CCFA, Dennis Keefe, and FDA, food additives for adoption by Codex; 1400 Independence Avenue SW., invite interested U.S. parties to submit considers methods of analysis for the Washington, DC 20250–9410 or call their comments electronically to the determination of additives in food; and (202) 720–5964 (voice and TTY). USDA following email address: cfsan- considers and elaborates standards or is an equal opportunity provider and [email protected]. codes for related subjects such as employer. Registration: Attendees may register labeling of food additives when sold as such. The CCFA is hosted by China. Done at Washington, DC on: January 27, electronically at the same email address 2012. provided above by February 8, 2012. Issues To Be Discussed at the Public Early registration is encouraged because Doreen Chen-Moulec, Meeting it will expedite entry into the building U.S. office for Codex Alimentarius. and its parking area. If you require The following items on the agenda for [FR Doc. 2012–2439 Filed 2–2–12; 8:45 am] parking, please include the vehicle the 44th Session of the CCFA will be BILLING CODE 3410–DM–P make and tag number when you register. discussed during the public meeting: Because the meeting will be held in a • Matters referred by Codex and other Federal building, you should also bring Codex Committees and Task Forces photo identification and plan for (CX/FA 12/44/2) adequate time to pass through security • Draft risk analysis principles applied screening systems. Attendees that are by the CCFA (CX/FA 12/44/3)

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• Matters of interest arising from FAO/ opportunity to pose questions and offer Done at Washington, DC, on January 27, WHO and from the 74th Meeting of comments. Written comments may be 2012. the JECFA (CX/FA 12/44/4) offered at the meeting or sent to the U.S. Doreen Chen-Moulec, • Endorsement or revision of maximum Delegate for the 44th Session of the U.S. Office for Codex Alimentarius. levels for food additives and CCFA, Dr. Dennis Keefe, (see [FR Doc. 2012–2449 Filed 2–2–12; 8:45 am] processing aids in Codex standards ADDRESSES). Written comments should BILLING CODE 3410–DM–P (CX/FA 12/44/5) state that they relate to activities of the • Discussion paper on the alignment of 44th Session of the CCFA. the food additive provisions of the Additional Public Notification standards for meat products and DEPARTMENT OF COMMERCE relevant provisions of the General FSIS will announce this notice online Standard for Food Additives (GSFA) through the FSIS Web page located at International Trade Administration (CX/FA 12/44/6) http://www.fsis.usda.gov/ • Pending draft and proposed draft food regulations_&_policies/ [A–570–970, C–570–971] additives provisions and related Federal_Register_Notices/index.asp. matters (CX/FA 12/44/7) FSIS will also make copies of this Multilayered Wood Flooring From the • Comments and information on several Federal Register publication available People’s Republic of China: Amended food additives (replies to CL 2011/4– through the FSIS Constituent Update, Antidumping and Countervailing Duty FA, Part B, points 9, 10 and 11 and which is used to provide information Orders CL 2011/17–FA) (CX/FA 12/44/8) • regarding FSIS policies, procedures, Draft and proposed draft food additive regulations, Federal Register notices, AGENCY: Import Administration, provisions (provisions in Table 1 and FSIS public meetings, and other types of International Trade Administration, 2 of Table 3 food additives with information that could affect or would Department of Commerce. ‘‘acidity regulators’’ or ‘‘emulsifier, be of interest to constituents and SUMMARY: The Department of Commerce stabilizer and thickener’’ function) stakeholders. The Update is (‘‘the Department’’) is issuing amended (CX/FA 12/44/9) and the proposed communicated via Listserv, a free antidumping (‘‘AD’’) and countervailing horizontal approach for consideration electronic mail subscription service for duty (‘‘CVD’’) orders on multilayered of these provisions (CX/FA 12/44/9 industry, trade groups, consumer wood flooring from the People’s Add. 1) • interest groups, health professionals, Republic of China (‘‘PRC’’) to remove an Provisions for aluminum-containing and other individuals who have asked food additives in the GSFA (CX/FA incorrect Harmonized Tariff Schedule of to be included. The Update is also the United States (‘‘HTSUS’’) number 12/44/10) available on the FSIS Web page. In • Discussion paper on description of from the scope of the orders. addition, FSIS offers an electronic mail food category 16.0 of the GSFA (CX/ DATES: subscription service which provides Effective Date: February 3, 2012. FA 12/44/11) automatic and customized access to FOR FURTHER INFORMATION CONTACT: • Discussion paper on use of Note 161 selected food safety news and in the GSFA (CX/FA 12/44/12) Joshua Morris, AD/CVD Operations, • Draft revision of the Standard for information. This service is available at Office 1; Erin Kearney, Brandon http://www.fsis.usda.gov/ Farlander, or Charles Riggle, AD/CVD Food Grade Salt (CODEX STAN 150– _ _ _ 1985) (N08–2010) (REP11/FA App. News & Events/Email Subscription/. Operations, Office 4, Import IX) Options range from recalls to export Administration, International Trade • Proposals for changes or additions to information to regulations, directives, Administration, U.S. Department of the International Numbering System and notices. Customers can add or Commerce, 14th Street and Constitution for Food Additives (CX/FA 12/44/14) delete subscriptions themselves, and Avenue NW., Washington, DC 20230; • Specifications for the identity and have the option to password protect telephone: (202) 482–1779, (202) 482– purity of food additives arising from their accounts. 0167, (202) 482–0182, or (202) 482– 0650, respectively. the 74th JECFA Meeting (CX/FA 12/ USDA Nondiscrimination Statement 44/15) Background • Proposals for additions and changes USDA prohibits discrimination in all to the priority list of food additives its programs and activities on the basis Following affirmative final proposed for evaluation by JECFA of race, color, national origin, gender, determinations by the Department and (replies to CL 2011/8–FA) (CX/FA 12/ religion, age, disability, political beliefs, the International Trade Commission, the 44/16) sexual orientation, and marital or family Department published AD and CVD • Discussion paper on mechanisms for status (Not all prohibited bases apply to orders on multilayered wood flooring re-evaluation of substances by JECFA all programs). from the PRC on December 8, 2011. See (CX/FA 12/44/17) Persons with disabilities who require Multilayered Wood Flooring From the Each issue listed will be fully alternative means for communication of People’s Republic of China: Amended described in documents distributed, or program information (Braille, large Final Determination of Sales at Less to be distributed, by the Executive print, and audiotape) should contact Than Fair Value and Antidumping Duty Secretariat prior to the meeting. USDA’s Target Center at (202) 720–2600 Order, 76 FR 76690 (December 8, 2011) Members of the public may also access (voice and TTY). (‘‘AD Order’’) and Multilayered Wood these documents at http:// To file a written complaint of Flooring From the People’s Republic of www.codexalimentarius.org. discrimination, write USDA, Office of China: Countervailing Duty Order, 76 the Assistant Secretary for Civil Rights, FR 76693 (December 8, 2011) (‘‘CVD Public Meeting 1400 Independence Avenue SW., Order’’). Subsequently, the Department At the February 13, 2012, public Washington, DC 20250–9410 or call discovered that a non-existent HTSUS meeting, draft U.S. positions on the (202) 720–5964 (voice and TTY). USDA number (specifically, HTSUS number agenda items will be described and is an equal opportunity provider and 4412.31.3175) was listed in the scope of discussed, and attendees will have the employer. the AD Order and CVD Order.

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Scope of the Orders composite, or strips of lumber placed purposes, the written description of the Multilayered wood flooring is edge-to-edge. subject merchandise is dispositive. Multilayered wood flooring products composed of an assembly of two or Amended AD and CVD Orders more layers or plies of wood veneer(s) 1 generally, but not exclusively, may be in in combination with a core. The several the form of a strip, plank, or other A ministerial error is defined as ‘‘an layers, along with the core, are glued or geometrical patterns (e.g., circular, error in addition, subtraction, or other otherwise bonded together to form a hexagonal). All multilayered wood arithmetic function, clerical error final assembled product. Multilayered flooring products are included within resulting from inaccurate copying, wood flooring is often referred to by this definition regardless of the actual or duplication, or the like, and any other other terms, e.g., ‘‘engineered wood nominal dimensions or form of the similar type of unintentional error flooring’’ or ‘‘plywood flooring.’’ product. which the Secretary considers Regardless of the particular terminology, Specifically excluded from the scope ministerial.’’ See 19 CFR 351.224(f); see all products that meet the description are cork flooring and bamboo flooring, also sections 705(e) and 735(e) of the set forth herein are intended for regardless of whether any of the sub- Tariff Act of 1930, as amended (‘‘the inclusion within the definition of surface layers of either flooring are Act’’), and 19 CFR 351.224(c). HTSUS subject merchandise. made from wood. Also excluded is number 4412.31.3175, which was laminate flooring. Laminate flooring All multilayered wood flooring is originally listed in the scope of the included within the definition of subject consists of a top wear layer sheet not petition, does not exist in the schedule. merchandise, without regard to: made of wood, a decorative paper layer, The inclusion of this number in the Dimension (overall thickness, thickness a core-layer of HDF, and a stabilizing scope of these orders was an inadvertent of face ply, thickness of back ply, bottom layer. ministerial error within the meaning of thickness of core, and thickness of inner Imports of the subject merchandise 19 CFR 351.224(f). Accordingly, this plies; width; and length); wood species are provided for under the following notice amends the AD Order and CVD used for the face, back and inner subheadings of the HTSUS: Order with respect to the scope of the veneers; core composition; and face 4412.31.0520; 4412.31.0540; grade. Multilayered wood flooring 4412.31.0560; 4412.31.2510; orders, by removing the non-existent included within the definition of subject 4412.31.2520; 4412.31.4040; HTSUS number. merchandise may be unfinished (i.e., 4412.31.4050; 4412.31.4060; These amended orders are issued and without a finally finished surface to 4412.31.4070; 4412.31.5125; published in accordance with sections protect the face veneer from wear and 4412.31.5135; 4412.31.5155; 736(a) and 706(a) of the Act, 19 CFR tear) or ‘‘prefinished’’ (i.e., a coating 4412.31.5165; 4412.31.6000; 351.224(e) and 19 CFR 351.211. applied to the face veneer, including, 4412.31.9100; 4412.32.0520; Dated: January 26, 2012. but not exclusively, oil or oil-modified 4412.32.0540; 4412.32.0560; or water-based polyurethanes, ultra- 4412.32.2510; 4412.32.2520; Paul Piquado, violet light cured polyurethanes, wax, 4412.32.3125; 4412.32.3135; Assistant Secretary for Import epoxy-ester finishes, moisture-cured 4412.32.3155; 4412.32.3165; Administration. urethanes and acid-curing formaldehyde 4412.32.3175; 4412.32.3185; [FR Doc. 2012–2506 Filed 2–2–12; 8:45 am] finishes.) The veneers may be also 4412.32.5600; 4412.39.1000; BILLING CODE 3510–DS–P soaked in an acrylic-impregnated finish. 4412.39.3000; 4412.39.4011; All multilayered wood flooring is 4412.39.4012; 4412.39.4019; included within the definition of subject 4412.39.4031; 4412.39.4032; DEPARTMENT OF COMMERCE merchandise regardless of whether the 4412.39.4039; 4412.39.4051; face (or back) of the product is smooth, 4412.39.4052; 4412.39.4059; International Trade Administration wire brushed, distressed by any method 4412.39.4061; 4412.39.4062; Antidumping or Countervailing Duty or multiple methods, or hand-scraped. 4412.39.4069; 4412.39.5010; In addition, all multilayered wood 4412.39.5030; 4412.39.5050; Order, Finding, or Suspended flooring is included within the 4412.94.1030; 4412.94.1050; Investigation; Advance Notification of definition of subject merchandise 4412.94.3105; 4412.94.3111; Sunset Reviews regardless of whether or not it is 4412.94.3121; 4412.94.3131; AGENCY: manufactured with any interlocking or 4412.94.3141; 4412.94.3160; Import Administration, connecting mechanism (for example, 4412.94.3171; 4412.94.4100; International Trade Administration, tongue-and-groove construction or 4412.94.5100; 4412.94.6000; Department of Commerce. locking joints). All multilayered wood 4412.94.7000; 4412.94.8000; Background flooring is included within the 4412.94.9000; 4412.94.9500; definition of the subject merchandise 4412.99.0600; 4412.99.1020; Every five years, pursuant to section regardless of whether the product meets 4412.99.1030; 4412.99.1040; 751(c) of the Tariff Act of 1930, as a particular industry or similar 4412.99.3110; 4412.99.3120; amended (‘‘the Act’’), the Department of standard. 4412.99.3130; 4412.99.3140; Commerce (‘‘the Department’’) and the The core of multilayered wood 4412.99.3150; 4412.99.3160; International Trade Commission flooring may be composed of a range of 4412.99.3170; 4412.99.4100; automatically initiate and conduct a materials, including but not limited to 4412.99.5100; 4412.99.5710; review to determine whether revocation hardwood or softwood veneer, 4412.99.6000; 4412.99.7000; of a countervailing or antidumping duty particleboard, medium-density 4412.99.8000; 4412.99.9000; order or termination of an investigation fiberboard, high-density fiberboard 4412.99.9500; 4418.71.2000; suspended under section 704 or 734 of (‘‘HDF’’), stone and/or plastic 4418.71.9000; 4418.72.2000; and the Act would be likely to lead to 4418.72.9500. continuation or recurrence of dumping 1 A ‘‘veneer’’ is a thin slice of wood, rotary cut, sliced or sawed from a log, bolt or flitch. Veneer is While HTSUS subheadings are or a countervailable subsidy (as the case referred to as a ply when assembled. provided for convenience and customs may be) and of material injury.

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Upcoming Sunset Reviews for March Dated: January 13, 2012. We determine that completion of the 2012 Christian Marsh, final results of this review within the Deputy Assistant Secretary for Antidumping original time limit is not practicable. The following Sunset Reviews are and Countervailing Duty Operations. The Department rejected a rebuttal brief scheduled for initiation in March 2012 [FR Doc. 2012–2219 Filed 2–2–12; 8:45 am] from the respondent, Navneet and will appear in that month’s Notice BILLING CODE 3510–DS–P Publications (India) Limited of Initiation of Five-Year Sunset (‘‘Navneet’’), due to untimely filed new Reviews. factual information and received a DEPARTMENT OF COMMERCE revised brief on December 23, 2011.4 Antidumping Duty Proceedings Additional time is required by the Activated Carbon From China (A– International Trade Administration Department in order to analyze and 570–904) (1st Review). [A–533–843] evaluate all of the issues raised by the parties based on the final version of the Department Contact Certain Lined Paper Products From brief recently submitted on the record of this proceeding. Accordingly, the Jennifer Moats, (202) 482–5047. India: Notice of Extension of Time Limit for the Final Results of Department is extending the time limit Countervailing Duty Proceedings Antidumping Duty Administrative for the final results by 30 days. The final Review results are now due no later than March No Sunset Review of suspended 5, 2012. investigations is scheduled for initiation AGENCY: Import Administration, This extension is in accordance with in March 2012. International Trade Administration, section 751(a)(3)(A) of the Act and 19 Department of Commerce. CFR 351.213(h)(2). This notice is Suspended Investigations FOR FURTHER INFORMATION CONTACT: published pursuant to sections 751(a)(1) No Sunset Review of suspended Stephanie Moore or George McMahon, and 777(i)(1) of the Act. investigations is scheduled for initiation AD/CVD Operations, Office 3, Import Dated: January 30, 2012. in March 2012. Administration, International Trade Christian Marsh, Administration, U.S. Department of The Department’s procedures for the Deputy Assistant Secretary for Antidumping Commerce, 14th Street and Constitution conduct of Sunset Reviews are set forth and Countervailing Duty Operations. Ave. NW., Washington, DC 20230; in 19 CFR 351.218. Guidance on [FR Doc. 2012–2508 Filed 2–2–12; 8:45 am] telephone: (202) 482–3692 or (202) 482– methodological or analytical issues BILLING CODE 3510–DS–P 1167, respectively. relevant to the Department’s conduct of Sunset Reviews is set forth in the Background DEPARTMENT OF COMMERCE Department’s Policy Bulletin 98.3— On October 28, 2010, the Department Policies Regarding the Conduct of Five- of Commerce (‘‘the Department’’) International Trade Administration year (‘‘Sunset’’) Reviews of published a notice of initiation of the Antidumping and Countervailing Duty administrative review of the [A–533–810] Orders; Policy Bulletin, 63 FR 18871 antidumping duty order on certain lined Stainless Steel Bar From India: (April 16, 1998). The Notice of Initiation paper products from India.1 Extension of Time Limit for the of Five-Year (‘‘Sunset’’) Reviews On October 7, 2011, the Department Preliminary Results of the 2010–2011 provides further information regarding published the preliminary results of this Antidumping Duty Administrative what is required of all parties to review.2 The final results of this review Review participate in Sunset Reviews. are currently due no later than February Pursuant to 19 CFR 351.103(c), the 6, 2012.3 AGENCY: Import Administration, Department will maintain and make Extension of Time Limit of the Final International Trade Administration, available a service list for these Results Department of Commerce. proceedings. To facilitate the timely DATES: Effective Date: February 3, 2012. Section 751(a)(3)(A) of the Tariff Act preparation of the service list(s), it is FOR FURTHER INFORMATION CONTACT: requested that those seeking recognition of 1930, as amended (‘‘the Act’’), requires the Department to issue the Joseph Shuler or Yasmin Nair, AD/CVD as interested parties to a proceeding Operations, Office 1, Import contact the Department in writing final results of a review within 120 days after the date on which the preliminary Administration, International Trade within 10 days of the publication of the results are published. However, if it is Administration, U.S. Department of Notice of Initiation. not practicable to complete the review Commerce, 14th Street and Constitution Please note that if the Department within that time period, section Avenue NW., Washington, DC 20230; receives a Notice of Intent to Participate 751(a)(3)(A) of the Act allows the telephone (202) 482–1293 and (202) from a member of the domestic industry Department to extend the time limit for 482–3813, respectively. within 15 days of the date of initiation, the final results to a maximum of 180 SUPPLEMENTARY INFORMATION: the review will continue. Thereafter, days. See also 19 CFR 351.213(h)(2). Background any interested party wishing to participate in the Sunset Review must 1 See Initiation of Antidumping and On March 31, 2011, the Department of provide substantive comments in Countervailing Duty Administrative Reviews, 75 FR Commerce (Department) published in response to the notice of initiation no 66349 (October 28, 2010). 2 See Certain Lined Paper Products from India: 4 See the Department’s letter to Navneet, titled later than 30 days after the date of Notice of Preliminary Results of Antidumping Duty ‘‘Rejection of Rebuttal Brief with Untimely Filed initiation. Administrative Review, 76 FR 62343 (October 7, New Factual Information,’’ dated December 16, This notice is not required by statute 2011). 2011; see also Memo from George McMahon to the 3 As the due date of February 4, 2012, is a File titled, ‘‘Rejection of Submission Due to but is published as a service to the weekend, the due date falls on the next business Untimely Filed New Factual Information,’’ dated international trading community. day of February 6, 2012. December 16, 2011.

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the Federal Register its initiation of an DEPARTMENT OF COMMERCE Commerce, 14th Street and Constitution administrative review of the Avenue NW., Washington, DC 20230; antidumping duty order on stainless International Trade Administration telephone: (202) 482–3586, (202) 482– steel bar from India, covering the period [C–570–980] 1396 or (202) 482–0176, respectively. February 1, 2010, through January 31, SUPPLEMENTARY INFORMATION: 2011. See Initiation of Antidumping Countervailing Duty Investigation of Duty Administrative Reviews, Requests Crystalline Silicon Photovoltaic Cells, Background for Revocation in Part, and Deferral of Whether or Not Assembled Into Administrative Review, 76 FR 17825 Modules, From the People’s Republic On November 8, 2011, the Department (March 31, 2011) (Initiation Notice). On of China: Preliminary Determination of initiated a CVD investigation of solar October 11, 2011, the Department Critical Circumstances cells from the PRC.3 In the Initiation published an extension notice for the Notice, the Department stated that, if the AGENCY: preliminary results for this review Import Administration, criteria for a finding of critical extending the deadline to January 30, International Trade Administration, circumstances are established, we Department of Commerce. 2012. See Stainless Steel Bar From would issue a critical circumstances SUMMARY: On October 19, 2011, the India: Extension of Time Limit for the 4 Department of Commerce (Department) finding at the earliest possible date. Preliminary Results of the 2010–2011 received a countervailing duty (CVD) Section 703(e)(1) of the Act provides Antidumping Duty Administrative petition concerning imports of that the Department will preliminarily Review, 76 FR 62761 (October 11, 2011). crystalline silicon photovoltaic cells, determine that critical circumstances Extension of Time Limit for the whether or not assembled into modules exist if there is a reasonable basis to Preliminary Results of Review (solar cells), from the People’s Republic believe or suspect: (A) That ‘‘the alleged of China (PRC), filed in proper form by countervailable subsidy’’ is inconsistent Section 751(a)(3)(A) of the Tariff Act SolarWorld Industries America Inc. with the Subsidies and Countervailing of 1930, as amended (the Act), requires (Petitioner).1 The petition included a Measures (SCM) Agreement of the the Department to issue its preliminary timely allegation, pursuant to section World Trade Organization, and (B) that results in an administrative review of an 703(e)(1) of the Tariff Act of 1930, as there have been massive imports of the antidumping duty order within 245 amended (the Act), and 19 CFR 351.206, subject merchandise over a relatively days after the last day of the anniversary that critical circumstances exist with short period. To determine whether month of the order for which the respect to imports of the merchandise imports of the subject merchandise administrative review was requested. under investigation. In accordance with under investigation have been However, if the Department determines section 703(e)(1) of the Act, because ‘‘massive,’’ 19 CFR 351.206(h)(1) that it is not practicable to complete the Petitioner submitted its critical provides that the Department normally review within the aforementioned circumstances allegation more than 20 will examine: (i) The volume and value specified time limits, section days before the scheduled date of the of the imports; (ii) seasonal trends; and 751(a)(3)(A) of the Act and 19 CFR preliminary determination, the (iii) the share of domestic consumption 351.213(h)(2) allow the Department to Department must promptly issue a accounted for by the imports. In extend the time limit for the preliminary preliminary critical circumstances addition, 19 CFR 351.206(h)(2) provides results to a maximum of 365 days after determination.2 Based on information that imports must increase by at least 15 the last day of the anniversary month. provided by Petitioner and the data percent during the ‘‘relatively short See section 751(a)(3)(A) of the Act and placed on the record of this period’’ to be considered ‘‘massive.’’ A 19 CFR 351.213(h)(2). investigation by the mandatory ‘‘relatively short period’’ is defined in The Department has determined that respondents, Wuxi Suntech Power Co., the regulations as normally being the it requires additional time to complete Ltd. (Suntech) and Changzhou Trina period beginning on the date the the preliminary results for this review. Solar Energy Co., Ltd. (Trina) proceeding begins (i.e., the date the The Department needs additional time (collectively, respondents), the petition is filed) and ending at least to issue a supplemental questionnaire Department preliminarily determines three months later.5 The regulations also regarding the reporting period for sales that critical circumstances exist for provide, however, that, if the and to analyze the response. Thus, it is imports of solar cells from the PRC for Department finds that importers, or not practicable to complete the Suntech, Trina, and all other producers exporters or producers had reason to preliminary results by January 30, 2012, or exporters. believe, at some time prior to the and the Department is extending the DATES: Effective Date: February 3, 2012. beginning of the proceeding, that a time limit for completion of the FOR FURTHER INFORMATION CONTACT: proceeding was likely, the Department preliminary results by an additional 30 Gene Calvert, Jun Jack Zhao or Emily may consider a period of not less than days to February 28, 2012. Accordingly, Halle, AD/CVD Operations, Import three months from that earlier time.6 the deadline for completion of the Administration, International Trade preliminary results is now no later than Administration, U.S. Department of In determining whether the above February 28, 2012. statutory and regulatory criteria have been satisfied, we examined the This notice is published pursuant to 1 See Petition for the Imposition of Antidumping evidence presented in the October 19, sections 751(a)(3)(A) of the Act and 19 and Countervailing Duties Against Crystalline Silicon Photovoltaic Cells, Whether or Not 2011 petition, comments from both CFR 351.213(h)(2). Assembled Into Modules, from the People’s Dated: January 27, 2012. Republic of China, dated October 19, 2011 (Petition). 3 See Crystalline Silicon Photovoltaic Cells, Gary Taverman, 2 An allegation of critical circumstances was also Whether or Not Assembled Into Modules, from the Acting Deputy Assistant Secretary for included with the antidumping duty (AD) petition. People’s Republic of China: Initiation of Antidumping and Countervailing Duty However, the statute establishes an earlier due date Countervailing Duty Investigation, 76 FR 70966 (November 16, 2011) (Initiation Notice). Operations. for a CVD preliminary determination than for an AD determination. As such, a critical circumstances 4 See id. at 70969. [FR Doc. 2012–2480 Filed 2–2–12; 8:45 am] determination in the AD proceeding will be issued 5 See 19 CFR 351.206(i). BILLING CODE 3510–DS–P subsequent to this determination. 6 Id.

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Petitioner and Suntech,7 and the Based on the record evidence period depending on whether the prior respondents’ shipment volume available to the Department at this time, notice took place in the first or second submissions.8 the Department has a reasonable basis to half of the month. However, in this case, believe or suspect that the subsidy Alleged Countervailable Subsidy is regardless of whether knowledge was allegations identified above are Inconsistent With the Subsidies imputed to importers, exporters or inconsistent with the SCM Agreement. Agreement producers in the first or second half of Massive Imports September 2011, we find that imports To determine whether an alleged have been massive over a relatively countervailable subsidy is inconsistent In determining whether there are short period of time. First, the with the SCM Agreement, in accordance ‘‘massive imports’’ over a ‘‘relatively Department compared imports during a with section 703(e)(1)(A) of the Act, the short period,’’ pursuant to section base period of May through August 2011 Department considered the evidence 703(e)(1)(B) of the Act, the Department to imports from September through currently on the record of this normally compares the import volumes December 2011 (assuming knowledge investigation. Specifically, the petition of the subject merchandise for at least was imputed in early September, included allegations, supported by three months immediately preceding the putting that month into the comparison filing of the petition (i.e., the ‘‘base factual information reasonably available period). Second, we compared imports to Petitioner, that the following export period’’) to a comparable period of at during a July through September 2011 subsidy programs were available to solar least three months following the filing base period to imports from October cell producers: Export Product Research of the petition (i.e., the ‘‘comparison through December 2011 (assuming and Development Fund; Subsidies for period’’). Imports normally will be knowledge was imputed in late Development of ‘‘Famous Brands’’ and considered massive when imports September, putting that month into the ‘‘China World Top Brands;’’ Sub-Central during the comparison period have base period). Government Subsidies for Development increased by 15 percent or more of ‘‘Famous Brands’’ and ‘‘China World compared to imports during the base According to the monthly shipment Top Brands;’’ Funds for Outward period. information provided by the Expansion of Industries in Guangdong Based on evidence provided by respondents, the volume of shipments Province; Income Tax Reductions for Petitioner, the Department finds that of solar cells to the United States Export-Oriented FIEs; Tax Refunds for pursuant to 19 CFR 351.206(i), increased by substantially more than 15 Reinvestment of FIE Profits in Export- importers, exporters or producers had percent for Suntech and Trina, Oriented Enterprises; Export Credit reason to believe, at some time prior to regardless of which of these two base Subsidy Programs; and Export the filing of the petition, that a and comparison periods we examined.11 Guarantees and Insurance for Green proceeding was likely. Specifically, the The data provided by the two Technology. In addition, the petition Department concludes that the available respondents is business proprietary included allegations that two import factual information provided by information (BPI), and, therefore, the substitution programs were provided to Petitioner indicates that importers, exact figures are included in a separate, solar cell producers: Tax Reductions for exporters or producers had reason to BPI memorandum.12 believe that a proceeding was likely FIEs Purchasing Chinese-Made In determining if U.S. shipments from Equipment and VAT Rebates on FIE during September 2011. The petition included factual all other producers or exporters were Purchases of Chinese-Made Equipment. massive, we relied on the experience of The Department has determined in information from August 24, 2009, through October 11, 2011. The factual the mandatory respondents. We did not previous CVD investigations of imports rely on data from the ITC to determine from the PRC that a number of these information included commentary about the closing and/or bankruptcy of U.S. if critical circumstances existed for all programs constitute export subsidies other producers or exporters. After and import substitution subsidies.9 solar cell companies, articles discussing subsidies given to Chinese solar cell examining the ITC data for Harmonized Tariff Schedule of the United States 7 See letter from Suntech, ‘‘Crystalline producers in the PRC, and articles Photovoltaic Cells, Whether or Not Assembled into concerning actions being taken by the numbers 8541.40.6020 (solar cells Modules, from the People’s Republic of China: U.S. Trade Representative. However, it assembled into modules or panels) and Opposition to Petitioner’s Request for a Critical is not until September 2011 that the 8541.40.6030 (solar cells, not assembled Circumstances Inquiry,’’ November 28, 2011, and into modules or made up into panels) letter from SolarWorld, ‘‘Crystalline Silicon information submitted explicitly refers 10 Photovoltaic Cells, Whether or Not Assembled Into to AD and CVD remedies. Given the for the time period of June to November Modules, From the People’s Republic Of China: factual information in the petition, we 2011, we found that the reported Petitioner’s Critical Circumstances Rebuttal find that knowledge was imputed to quantity amount is not uniform because Comments,’’ December 8, 2011. importers, exporters or producers it includes both modules and cells in its 8 The Department requested that both mandatory calculation of quantity. Therefore, based respondents provide data on monthly quantity and during September 2011. value of shipments to the United States, to be In analyzing whether there have been on the experience of the respondents, updated within two weeks after the end of each massive imports, the Department we find that shipments by all other month up until a preliminary determination is typically determines whether to include producers or exporters also increased by issued. We requested that the respondents report more than 15 percent. quantity in terms of solar cells, solar modules, and a month in the base or comparison watts. See Memorandum to the File, ‘‘Crystalline Silicon Photovoltaic Cells, Whether or Not FR 59212 (September 27, 2010); Certain Kitchen 11 At the Department’s request, the respondents Assembled Into Modules, From the People’s Shelving and Racks From the People’s Republic of provided three measures of quantity (modules, Republic of China: Request for Critical China: Final Affirmative Countervailing Duty cells, and wattage). The increase is more than 15 Circumstances Information,’’ December 15, 2011. Determination, 74 FR 37012 (July 27, 2009); Coated percent regardless of which quantity figure is used. 9 See, e.g., Aluminum Extrusions From the Free Sheet Paper From the People’s Republic of 12 See Memorandum to The File, from Jun Jack People’s Republic of China: Final Affirmative China: Final Affirmative Countervailing Duty Zhao, ‘‘Crystalline Silicon Photovoltaic Cells, Countervailing Duty Determination, 76 FR 18521 Determination, 72 FR 60645 (October 25, 2007). Whether or Not Assembled Into Modules, from the (April 4, 2011); Certain Coated Paper Suitable for 10 See, e.g., Petition at Volume IV, exhibit 13 (an People’s Republic of China—Monthly Shipment High-Quality Print Graphics Using Sheet-Fed article by Bloomberg, dated September 8, 2011) and Q&V Analysis for Critical Circumstances’’ Presses From the People’s Republic of China: Final exhibit 16 (an article by Bloomberg, dated (Preliminary Critical Circumstances Memorandum), Affirmative Countervailing Duty Determination, 75 September 28, 2011). dated concurrently with this notice.

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Conclusion subsidies have been provided to [email protected] or telephone In summary, in accordance with respondents at above de minimis rates). (301) 975–3134. section 703(e)(1) of the Act, we find that At such time, we will also instruct SUPPLEMENTARY INFORMATION: there is a reasonable basis to believe or CBP to require a cash deposit or the Program Description: The National suspect that certain subsidy allegations posting of a bond equal to the estimated Institute of Standards and Technology under investigation are inconsistent preliminary subsidy rates reflected in (NIST) Biochemical Science Division with the SCM Agreement, and we find the preliminary subsidies determination announces its intent to unambiguously that there have been massive imports of published in the Federal Register. This identify by short tandem repeat (STR) solar cells over a relatively short period suspension of liquidation will remain in profiling up to 1500 human cell line from Suntech, Trina, and all other effect until further notice. samples as part of the Identification of producers or exporters. Given the This notice is issued and published Human Cell Lines Project. All data and analysis summarized above, and pursuant to section 777(i) of the Act. corresponding information will be described in more detail in the Dated: January 27, 2012. posted in a publically held database. Preliminary Critical Circumstances Paul Piquado, The use of misidentified cell lines in Memorandum, we preliminarily Assistant Secretary for Import cancer and other biomedical research determine that critical circumstances Administration. continues to occur, resulting in the exist with respect to imports of solar [FR Doc. 2012–2479 Filed 2–2–12; 8:45 am] possibility that a significant proportion cells from the PRC for Suntech, Trina, BILLING CODE 3510–DS–P of the literature describing studies and all other producers or exporters.13 employing cell lines may be misleading or even false. The end result of this Final Critical Circumstances DEPARTMENT OF COMMERCE unfortunate situation is that millions of Determination dollars may be spent on research using We will make a final determination National Institute of Standards and misidentified cell lines every year concerning critical circumstances for Technology worldwide. This, in turn, may delay solar cells from the PRC when we make discoveries and the effective translation our final determination in this CVD [Docket No. 120104006–2006–01] of research findings from the laboratory investigation. All interested parties will Identification of Human Cell Lines to the clinic or the market. Scientists have the opportunity to address this Project may believe or claim that they are determination further in case briefs to working with cells derived from one be submitted after completion of the AGENCY: National Institute of Standards individual or animal species, only to preliminary subsidies determination. and Technology, Commerce. eventually learn that the cells were ACTION: Notice. derived from a different individual or ITC Notification species. With the advent of In accordance with section 703(f) of SUMMARY: The National Institute of standardized, simple, and rapid the Act, we have notified the ITC of our Standards and Technology (NIST) methods for human cell line determination. Biochemical Science Division authentication the identity of a cell line announces its intent to identify by short need no longer be in doubt. NIST is Suspension of Liquidation tandem repeat (STR) profiling up to undertaking this project to provide that In accordance with section 703(e)(2) 1500 human cell line samples as part of cell line authentication. of the Act, because we have the Identification of Human Cell Lines Human cell lines submitted for preliminarily found that critical Project. All data and corresponding identification as part of this project will circumstances exist with regard to information will be posted in a undergo STR profiling, a DNA profiling imports exported by Suntech, Trina and publically held database at the National method that examines/screens for STRs all other producers or exporters, if we Center For Biotechnology Information (DNA elements 2–6 bps long repeated in make an affirmative preliminary (NCBI). tandem) in the human chromosomes, determination that countervailable DATES: On the first of each month that has been shown to be not only subsidies have been provided to beginning after February 3, 2012 NIST rapid and inexpensive, but also able to respondents at above de minimis rates,14 will post the number of cell lines generate reproducible data in a format we will instruct U.S. Customs and accepted on the NIST Applied Genetics suitable for use in a standard reference Border Protection (CBP) to suspend Group Web site at http://www.nist.gov/ database. STR analysis involves liquidation of all entries of solar cells mml/biochemical/genetics/index.cfm. simultaneous amplification of eight STR from the PRC, as described in the Once the total number of accepted markers (e.g., D5S818, D13S317, ‘‘Scope of Investigation’’ section of the submissions has reached 1400 cell lines, D7S820, D16S539. vWA, THO1, TPOX, Initiation Notice,15 that are entered, or the next month will be the final month CSF1PO) and the amelogenin gene for withdrawn from warehouse, for NIST will accept submissions, with the gender determination. For each STR consumption on or after the date that is total time for acceptance not to exceed marker used, the power of 90 days prior to the effective date of one year beyond February 3, 2012. discrimination improves by about an ‘‘provisional measures’’ (e.g., the date of order of magnitude. Thus, with 8 STRs, publication in the Federal Register of ADDRESSES: Hard copies of submissions random match probabilities on the order the notice of an affirmative preliminary must be submitted to the attention of of 1 in 100 million are expected determination that countervailable Margaret Kline at the National Institute between cell line DNA samples of Standards and Technology; 100 originating from unrelated individuals. Bureau Drive, Stop 8314; Gaithersburg, 13 See Preliminary Critical Circumstances Each unique human cell line has a Memorandum. MD 20899–8314. Electronic submissions distinct DNA profile and when the STR 14 The preliminary determination concerning the must be submitted to DNA fragment sizes are converted to provision of countervailable subsidies is currently [email protected]. scheduled for February 13, 2012. numeric values, the DNA profiles are 15 See Initiation Notice, 76 FR at 70969; see also FOR FURTHER INFORMATION CONTACT: readily compared among different Appendix 1. Margaret Kline via email at laboratories. It should be noted,

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however, that STR profiling cannot disease-state, hybrid or mixed culture, Submitter detect interspecies cross-contamination. feeder cells, date of origin, etc), the STR Name: For this reason, cell lines grown on non- markers and procedures used in Title: human feeder cells will not be accepted identification, the submitter and Department: for this project. appropriate links, other descriptive Institution: The attributes of STR-profiling which material, and the STR profile Institution Address: have driven the selection of this (electropherogram) of the cell line. Phone number: technology over other possible Scientists at NIST will evaluate data Fax number: candidates for this project include: (i) from STR profiling as described in Email: The ability to discriminate human cell Designation: ASN–0002 Authentication Originator lines to the individual level upon of Human Cell Lines: Standardization of evaluating a relatively limited number STR Profiling by NIST will make no Name: of allelic markers; (ii) reproducibility of conclusions regarding uniqueness of Title: the endpoint across different cell line, whether the cell line matches Department: laboratories and therefore the feasibility another cell line, whether the cell line Institution: of assembling and maintaining a is misidentified, cross-contaminated, or Institution Address: searchable and public (freely accessible) genetically unstable. Phone number: database for authenticating established Identification by STR profiling of Fax number: cell lines; (iii) the commercial human cell lines will be provided by the Email: availability of STR-profiling kits, Biochemical Science Division (BSD)/ Generic Information: allowing individual laboratories to bring Material Measurement Laboratory Cell Line Name = this technology in-house; (iv) relatively (MML)/NIST. This program is low cost; (v) rapidity; and (vi) reduced contingent upon the availability of BSD/ Organism = need for specialized technical expertise MML/NIST program funds, BSD/MML/ Tissue of Origin = and/or reagents, compared with many of NIST program objectives, and the the other authentication technologies. discretion of BSD/MML/NIST advisors. Morphology = Presently, cell line STR profiling The timeline for completing the STR Pathologic or Disease-State = appears to represent the greatest value profiling will be contingent on resources Hybrid or Mixed Culture = to the scientific community for available. authenticating human cell lines NIST anticipates entering into a Specialized Information unambiguously, quickly, and for the Materials Transfer Agreement with each least expense. Feeder Cells (species): There is a tremendous need for submitter. To obtain a copy of the NIST Passage Number: scientific researchers using cell lines to Materials Transfer Agreement to be used Population Doubling Level (PDL): know with confidence that the cells for this project, please contact Margaret Complete Growth Media: they are using are of the desired origin. Kline, whose contact information is Date of Origin/Date Established: This interactive database will be used given in the ADDRESSES section above. Reference: by the research and development Applicants who submit complete If DNA extracts are submitted, the community to validate cell lines of information about their cell lines and following information is required: interest. The database will offer DNA who enter into a Material Transfer Source of DNA: profiles of commonly used standard cell Agreement with NIST will be eligible to Cell line or derivatives lines, primary, differentiating, and participate in the Identification of Fresh biopsy/tissue commonly used immortalized and Human Cell Lines Project on a first- Frozen biopsy/tissue transformed cell lines, as donated by come, first served basis. Once the Material Transfer Agreement is OCT-treated tissue interested parties. FFPE-treated tissue Furthermore, the database will allow executed, institutions will have 30 disparate laboratories to compare their business days to submit the agreed-upon DNA Isolation Method: cell lines. Note that submitters must be lines, thereby facilitating the validation Organic (phenol/chloroform) willing to have submitter information of experimental data. Thus, the database Salting-out made public in the aforementioned will address the need for investigators to Other (Cellmark kit) know much more about the samples database. used in their research, and will fulfill an Submission Process: Submitters Method of DNA Quantitation: overarching need of researchers to should contact Margaret Kline with a PicoGreen characterize their substrates with an list of proposed cell lines for Spectrophotometer (Nanodrop, etc.) accepted standard. identification. Each submitter may PCR The current databases for cell lines submit up to 15 cell lines. Note that no Syber Green generated using various numbers of STR cell lines grown on non-human feeder Other (qRT–PCR) loci will be useful as long as the new cells will be accepted due to the extended set of STR loci include the possibility of contamination. NIST will Amount of DNA Used for Analysis: current loci. Thus, the current database perform STR profiling of up to 1500 cell Other Characterization and will not be absolute and can be updated lines submitted with complete Authentication Methods: (example: when existing cell lines are retyped as information on a first-come, first-serve cytogenetic analysis i.e. G-banding or a routine measure using the extended basis. As part of the submission, the SKY; Microarray analysis; SNP; set of STR loci. following information, using standard isoenzymology). Information on cell lines in the nomenclature, should be included for Other Characterization and database will include multiple attributes each cell line or DNA extract, as Authentication Methods: provide of the cell lines (name and possible applicable. Please do not include any reference and data. synonyms of cell line, organism, tissue personally identifiable information Are the cell lines genetically of origin, morphology, pathologic or regarding the source of the cell lines. engineered? If yes, explain how.

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Costs for shipping accepted cell lines Act of 1973, as amended (ESA). A 5-year SUPPLEMENTARY INFORMATION: Section to NIST are the responsibility of the review is based on the best scientific 4(c)(2)(A) of the ESA requires that we donating party, and will not be paid for and commercial data available at the conduct a review of listed species at by NIST. time of the review; therefore, we are least once every five years. The Review and Selection Process: All requesting submission of any such regulations in 50 CFR 424.21 require submissions will be reviewed to information on sei whales that has that we publish a notice in the Federal determine whether they are complete. become available since that has become Register announcing those species All complete submissions will be available since their last status review in currently under active review. This accepted based on date and time of 1999. notice announces our active review of receipt of submission. Up to 15 cell DATES: To allow us adequate time to the sei whale currently listed as lines per submitter or establishment will conduct this review, we must receive endangered. be accepted, with a final limit of 1500 your information no later than April 3, cell lines. No cell lines grown on non- 2012. However, we will continue to Public Solicitation of New Information human feeder cells will be accepted due accept new information about any listed To ensure that the 5-year review is to the possibility of cross-species species at any time. contamination. complete and based on the best Research Projects Involving Human ADDRESSES: You may submit comments available scientific and commercial Subjects, Human Tissue, Data or on this document, identified by NOAA– information, we are soliciting new Recordings Involving Human Subjects: NMFS–2012–0014, by any of the information from the public, NIST has determined that this project following methods: governmental agencies, Tribes, the • does not include research involving Electronic Submissions: Submit all scientific community, industry, human subjects that falls under the electronic public comments via the environmental entities, and any other Common Rule for the Protection of Federal e-Rulemaking Portal interested parties concerning the status Human Subjects. www.regulations.gov. To submit of sei whales. The 5-year review Paperwork Reduction Act: This notice comments via the e-Rulemaking Portal, considers the best scientific and contains collection of information first click the ‘‘submit a comment’’ icon, commercial data and all new then enter NOAA–NMFS–2012–0014 in requirements subject to the Paperwork information that has become available the keyword search. Locate the Reduction Act (PRA). The collection of since the listing determination or most document you wish to comment on information has been approved by OMB recent status review. Categories of under control number 0693–0064, and from the resulting list and click on the ‘‘Submit a Comment’’ icon on the right requested information include: (1) completion of this information for a Species biology including, but not single cell line is expected to take 2 of that line. • Mail or hand-delivery: Angela limited to, population trends, hours and 30 minutes. Notwithstanding distribution, abundance, demographics, any other provision of the law, no Somma, National Marine Fisheries and genetics; (2) habitat conditions person is required to respond to, nor Service, Office of Protected Resources, including, but not limited to, amount, shall any person be subject to a penalty Endangered Species Division, 1325 East distribution, and suitability; (3) for failure to comply with, a collection West Highway, Silver Spring, MD of information, subject to the 20910. conservation measures that have been requirements of the PRA, unless that Instructions: Comments must be implemented that benefit the species; collection of information displays a submitted by one of the above methods (4) status and trends of threats; and (5) currently valid OMB Control Number. to ensure that the comments are other new information, data, or corrections including, but not limited Dated: January 27, 2012. received, documented, and considered by NMFS. Comments sent by any other to, taxonomic or nomenclatural changes, Willie E. May, method, to any other address or identification of erroneous information Associate Director for Laboratory Programs. individual, or received after the end of contained in the List, and improved [FR Doc. 2012–2459 Filed 2–2–12; 8:45 am] the comment period, may not be analytical methods. BILLING CODE 3510–13–P considered. All comments received are Any new information will be a part of the public record and will considered during the 5-year review and generally be posted for public viewing DEPARTMENT OF COMMERCE will also be useful in evaluating the on www.regulations.gov without change. ongoing recovery program for sei All personal identifying information National Oceanic and Atmospheric whales. For example, information on (e.g., name, address, etc.) submitted Administration conservation measures will assist in voluntarily by the sender will be tracking implementation of recovery RIN 0648–XA977 publicly accessible. Do not submit confidential business information, or actions. Endangered and Threatened Species; otherwise sensitive or protected Authority: 16 U.S.C. 1531 et seq. Initiation of 5-Year Review for Sei information. NMFS will accept Dated: January 30, 2012. Whales anonymous comments (enter ‘‘N/A’’ in the required fields if you wish to remain Angela Somma, AGENCY: National Marine Fisheries Chief, Endangered Species Division, Office Service (NMFS), National Oceanic and anonymous). Attachments to electronic comments will be accepted in Microsoft of Protected Resources, National Marine Atmospheric Administration (NOAA), Fisheries Service. Commerce. Word or Excel, WordPerfect, or Adobe PDF file formats only. [FR Doc. 2012–2510 Filed 2–2–12; 8:45 am] ACTION: Notice of initiation of 5-year BILLING CODE 3510–22–P review; request for information. FOR FURTHER INFORMATION CONTACT: Shannon Bettridge, Office of Protected SUMMARY: NMFS announces a 5-year Resources, (301) 427–8437; or Larissa review of sei whales (Balaenoptera Plants, Office of Protected Resources, borealis) under the Endangered Species (301) 427–8471.

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DEPARTMENT OF COMMERCE DEPARTMENT OF COMMERCE notice. This Federal Register notice is being published because the objective of National Oceanic and Atmospheric National Oceanic and Atmospheric the proposed project and the list of Administration Administration participating vessels have changed. RIN 0648–XA958 Truex Enterprises initially submitted Availability of Seat for the Florida Keys an EFP application on September 20, National Marine Sanctuary Advisory Magnuson-Stevens Act Provisions; 2011. Truex requested the EFP to Council General Provisions for Domestic authorize one fishing vessel to access Fisheries; Application for Exempted the Georges Bank Paralytic Shellfish AGENCY: Office of National Marine Fishing Permit Poisoning (PSP) Closed Area in order to Sanctuaries (ONMS), National Ocean harvest clams and test them for the Service (NOS), National Oceanic and AGENCY: National Marine Fisheries presence of PSP using a developmental Atmospheric Administration (NOAA), Service (NMFS), National Oceanic and sampling protocol. While this Department of Commerce (DOC). Atmospheric Administration (NOAA), application was being reviewed and was Department of Commerce. available for public comment, the ACTION: Notice and request for ACTION: Notice; request for comments. sampling protocol being tested was applications. adopted into the National Shellfish SUMMARY: NMFS is soliciting public Sanitation Program by the International SUMMARY: The ONMS is seeking comment on an exempted fishing permit Shellfish Sanitation Conference. applications for the following positions application that would exempt up to Because testing of the sampling protocol on the Florida Keys National Marine three commercial fishing vessels from was the primary objective of the pilot Sanctuary Advisory Council: Tourism— the Atlantic surfclam and ocean quahog project, NMFS requested that Truex Lower Keys (member), and Tourism— Georges Bank Closure Area. This would Enterprises resubmit an application for Lower Keys (alternate). Applicants are continue research to assess the an EFP, as such testing no longer chosen based upon their particular performance of an approved sampling appeared necessary or relevant. expertise and experience in relation to protocol and to allow for continued Truex Enterprises submitted a revised the seat for which they are applying; sample collection and testing to obtain application on January 10, 2012. The community and professional affiliations; additional data in locations where toxin revised purpose and goal of the project philosophy regarding the protection and levels may be higher than were present is to continue research to assess the management of marine resources; and during the pilot phase of the study. performance of the approved protocol and to allow for sample collection and possibly the length of residence in the NMFS has made a preliminary determination that the exempted fishing testing for another year to gain area affected by the sanctuary. permit application contains all of the additional data from locations where Applicants who are chosen as members required information and warrants toxin levels may be higher than were should expect to serve 3-year terms, further consideration. present during the pilot phase of the pursuant to the council’s Charter. DATES: Comments must be received on study. Although the onboard screening DATES: Applications are due by March 2, or before February 21, 2012. protocol was approved in October 2011, the protocol has only been fully 2012. ADDRESSES: Comments on this notice may be submitted by email. The evaluated at sea under the pilot study ADDRESSES: Application kits may be conditions where toxin levels were mailbox address for providing email obtained from Lilli Ferguson, Florida relatively low, below the regulatory comments is [email protected]. Keys National Marine Sanctuary, 33 action level. This EFP would allow Include in the subject line of the email East Quay Rd., Key West, FL 33040. industry to continue testing through comment the following document Completed applications should be sent another year, increasing the possibility identifier: ‘‘Comments on 2012 GB PSP to the same address. to evaluate the protocol under varying Closed Area Exemption.’’ toxin concentrations. FOR FURTHER INFORMATION CONTACT: Lilli Written comments should be sent to The revised application also requests Ferguson, Florida Keys National Marine Daniel Morris, Acting Regional up to two additional vessels, for a total Sanctuary, 33 East Quay Rd., Key West, Administrator, NMFS, Northeast of up to three vessels, to be listed under FL 33040; (305) 292–0311 x245; Regional Office, 55 Great Republic the EFP. With the additional vessels, it [email protected]. Drive, Gloucester, MA 01930. Mark the is expected that harvest levels would outside of the envelope ‘‘Comments on increase from 250,000 bushels SUPPLEMENTARY INFORMATION: Per the 2012 GB PSP Closed Area Exemption.’’ (2,007,813 L) total in the original council’s Charter, if necessary, terms of Comments may also be sent via proposal, to approximately 250,000 appointment may be changed to provide facsimile (fax) to (978) 281–9135. bushels to 300,000 bushels (2,007,813 for staggered expiration dates or Copies of supporting documents L–2,409,375 L) per vessel. It is expected member resignation mid term. referenced in this notice are available that harvesting under an EFP would Authority: 16 U.S.C. 1431, et seq. from NMFS, 55 Great Republic Drive, occur on approximately 70 fishing trips Gloucester, MA 01930, and are available per vessel. Species to be harvested are (Federal Domestic Assistance Catalog via the Internet at www.nero.noaa.gov/ Number 11.429 Marine Sanctuary Program) surfclams and ocean quahogs utilizing a sfd/clams. 170-inch (432-cm) hydraulic clam Dated: January 13, 2012. FOR FURTHER INFORMATION CONTACT: dredge for the vessel Daniel J. Basta Jason Berthiaume, Fishery Management F/V SEAWATCHER I, and two 150-inch Director, Office of National Marine Specialist, phone (978) 281–9177. (381-cm) hydraulic clam dredges on the Sanctuaries, National Ocean Service, SUPPLEMENTARY INFORMATION: This F/V PRIDE and F/V PURSUIT. Each National Oceanic and Atmospheric notice is a revision to a previously vessel would make approximately 30 Administration. published Federal Register notice (76 tows per day of 10 minutes each, at a [FR Doc. 2012–2417 Filed 2–2–12; 8:45 am] FR 65698). Complete project history is speed of about 2.5 knots. There are no BILLING CODE 3510–NK–M available in the previously published discards or known interactions with

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protected species and there would be no If approved, the applicant may sampling to efficiently map the activity in any areas closed for request minor modifications and distributions of rockfishes on large Northeast multispecies. All harvest extensions to the EFP throughout the scales and to direct the optical would be accounted for under Atlantic year. EFP modifications and extensions sampling. The COAST also uses surfclam and ocean quahog quota may be granted without further notice if accurate optical sampling to provide allocations under the Federal individual they are deemed essential to facilitate estimates of species composition and transferable quota program. completion of the proposed research their length distributions. Thus, the The additional vessels would help to and have minimal impacts that do not COAST combines information from study the expansion of the protocol change the scope or impact of the acoustic and optical sampling to obtain from one vessel in a pilot study to more initially approved EFP request. Any relatively precise and accurate estimates fishing vessels for a wider-spread fishing activity conducted outside the of the distributions and abundances of implementation. Also, the area scope of the exempted fishing activity rockfishes, by species. The COAST was designated on GB where the research is would be prohibited. developed by the NOAA/NMFS proposed would be divided into three Authority: 16 U.S.C. 1801 et seq. Southwest Fisheries Science Center, even sections in which each vessel Advanced Sampling Technology Dated: January 31, 2012. would collect samples on a regular Program, and the Sportfishing Steven Thur, basis. If it appears that an algal bloom Association of California. It may also is forming in a given area, spatial and Acting Director, Office of Sustainable have broad appeal to fisheries managers Fisheries, National Marine Fisheries Service. temporal sampling would be increased and researchers as a tool for ecosystem- as needed. This also allows for samples [FR Doc. 2012–2515 Filed 2–2–12; 8:45 am] based management as well as evaluating to be collected over a wider area, BILLING CODE 3510–22–P the performance of marine protected ensuring samples collected are areas. representative of evenly distributed portions of the entire closure area. DEPARTMENT OF COMMERCE Special Accommodations State and Federal agencies will be This meeting is physically accessible notified of each trip, place and time of National Oceanic and Atmospheric Administration to people with disabilities. Requests for landing, the results of onboard sign language interpretation or other screening, and the dockside laboratory RIN 0648–XA978 auxiliary aids should be directed to results. Harvested clams would be Mr. Dale Sweetnam (858) 546–7170 at landed in Massachusetts and Delaware. Southwest Fisheries Science Center; least five days prior to the meeting date. New Jersey and Rhode Island may be Public Meeting added as additional landing states Dated: January 31, 2012. AGENCY: National Marine Fisheries pending agreements being developed Steven Thur, Service (NMFS), National Oceanic and Acting Director, Office of Sustainable according to the terms of the protocol. Atmospheric Administration (NOAA), Harvested clams would be processed at Fisheries, National Marine Fisheries Service. Commerce. Sea Watch International in New [FR Doc. 2012–2491 Filed 2–2–12; 8:45 am] ACTION: Notice of public meeting. Bedford, MA, with independent BILLING CODE 3510–22–P samples from each trip landed being SUMMARY: A methods review of the taken for shipment to an independent Collaborative Optically-assisted DEPARTMENT OF COMMERCE FDA certified laboratory in Brunswick, Acoustic Survey Technique (COAST) by ME, and the shellfish held at the the Center for Independent Experts (CIE) processing site under State supervision National Oceanic and Atmospheric and the Pacific Fishery Management Administration until the dockside tests are complete. Council (PFMC) and will be held All of the results from activities under February 15–17, 2012, that is open to RIN 0648–XA603 the EFPs would be compiled, archived, the public. and made public by the FDA. Marine Mammals; File No. 15802 DATES: The methods review of the Regulations under the Magnuson- COAST process will be held beginning Stevens Fishery Conservation and AGENCY: National Marine Fisheries at 8:30 a.m., Wednesday, February 15, Management Act require publication of Service (NMFS), National Oceanic and 2012, and end at 5:30 p.m. or as this notification to provide interested Atmospheric Administration (NOAA), parties the opportunity to comment on necessary to complete business for the Commerce. applications for proposed EFPs. The day. The panel will reconvene on ACTION: Notice; requested change to Assistant Regional Administrator has Thursday, February 16, 2012, and will permit application. made an initial determination that, continue through Friday, February 17, SUMMARY: based on a preliminary review of the 2012, beginning at 8 a.m. and ending at Notice is hereby given that proposed subject research and the 5:30 p.m. each day, or as necessary to the Florida Fish and Wildlife criteria provided in section 5.05a–c and complete business. Conservation Commission, 100 Eighth section 6.03c.3(a) of NOAA’s ADDRESSES: The COAST methods Avenue SE., St. Petersburg, FL 33701 Administrative Order 216–6, a review will be held at the Southwest [Gregg Poulakis, Responsible Party], has Categorical Exclusion appears to be Fisheries Science Center; Southwest requested a change to the application for justified for this EFP. In accordance Fisheries Science Center, 3333 North a permit (File No. 15802). with NOAA’s Administrative Order Torrey Pines Court, La Jolla, CA 92037– DATES: Written, telefaxed, or email 216–6, a Categorical Exclusion, or other 1023; (858) 546–7000. comments must be received on or before appropriate National Environmental FOR FURTHER INFORMATION CONTACT: March 5, 2012. Policy Act document, would be Mr. Dale Sweetnam, NMFS Southwest ADDRESSES: The application and related completed prior to the issuance of the Fisheries Science Center; telephone: documents are available for review by EFP. Further review and consultation (858) 546–7170. selecting ‘‘Records Open for Public may be necessary before a final SUPPLEMENTARY INFORMATION: The Comment’’ from the Features box on the determination is made to issue the EFP. COAST uses high-precision acoustic Applications and Permits for Protected

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Species home page, https:// December 14, 2011 (76 FR 77781), domestic spectrum policies and apps.nmfs.noaa.gov, and then selecting notice was published clarifying the management in order to: license radio File No. 15802 from the list of available number of sawfish takes requested and frequencies in a way that maximizes applications. the addition of blood sampling to the their public benefits; keep wireless These documents are also available proposed activities. The applicant is networks as open to innovation as upon written request or by appointment requesting to amend the application to possible; and make wireless services in the following offices: request the modification of the acoustic/ available to all Americans. (See charter, Permits, Conservation and Education satellite attachment methods to be the at http://www.ntia.doc.gov//page/2011/ Division, Office of Protected Resources, same as those currently authorized csmac-charter). This Committee is NMFS, 1315 East-West Highway, Room under another sawfish permit. The subject to the Federal Advisory 13705, Silver Spring, MD 20910; phone permit is requested for a duration of Committee Act (FACA), 5 U.S.C. App. 2, (301) 427–8401; fax (301) 713–0376; and 5 years. and is consistent with the National Southeast Region, NMFS, 263 13th Dated: January 31, 2012. Telecommunications and Information Avenue South, Saint Petersburg, Florida Administration Act, 47 U.S.C. 904(b). Carrie W. Hubard, 33701; phone (727) 824–5312; fax (727) The Committee functions solely as an 824–5309. Acting Chief, Permits and Conservation, advisory body in compliance with the Office of Protected Resources, National FACA. For more information about the Written comments on this application Marine Fisheries Service. should be submitted to the Chief, Committee, visit: http://www.ntia.doc. [FR Doc. 2012–2486 Filed 2–2–12; 8:45 am] Permits and Conservation Division: gov/category/CSMAC. • By email to BILLING CODE 3510–22–P Matters To Be Considered: The [email protected] (include Committee will deliberate on the findings and recommendations from its the File No. 15802 in the subject line of DEPARTMENT OF COMMERCE the email), four subcommittees (Search for 500 • By facsimile to (301) 713–0376, or National Telecommunications and MHz, Spectrum Sharing, Spectrum • At the address listed above. Information Administration Management Improvements, and Those individuals requesting a public Unlicensed), and identify future hearing should submit a written request Commerce Spectrum Management requirements for assessments. NTIA will to the Chief, Permits, Conservation and Advisory Committee Meeting post a detailed agenda on its Web site, Education Division at the address listed http://www.ntia.doc.gov, prior to the above. The request should set forth the AGENCY: National Telecommunications meeting. There also will be an specific reasons why a hearing on this and Information Administration, U.S. opportunity for public comment at the application would be appropriate. Department of Commerce. meeting. Time and Date: The meeting will be FOR FURTHER INFORMATION CONTACT: ACTION: Notice of open meeting. held on March 1, 2012, from 9 a.m. to Jennifer Skidmore or Colette Cairns, SUMMARY: This notice announces a 12 p.m., Pacific Standard Time. The (301)427–8401. public meeting of the Commerce times and the agenda topics are subject SUPPLEMENTARY INFORMATION: Spectrum Management Advisory to change. The meeting may be webcast The subject permit is requested under Committee (Committee). The Committee or made available via audio link. Please the authority of the Endangered Species provides advice to the Assistant refer to NTIA’s Web site, http://www. Act of 1973, as amended (ESA; 16 Secretary of Commerce for ntia.doc.gov, for the most up-to-date U.S.C. 1531 et seq.) and the regulations Communications and Information on meeting agenda and access information. governing the taking, importing, and spectrum management policy matters. Place: The meeting will be held at the exporting of endangered and threatened DATES: The meeting will be held on Stanford Institute for Economic Policy species (50 CFR 222–226). March 1, 2012 from 9 a.m. to 12 p.m., Research (SIEPR) Room 130, 366 Galvez On July 28, 2011 (76 FR 45230), Pacific Standard Time. Street, Stanford, CA 94305. The meeting notice was published that a permit had will be open to the public and press on ADDRESSES: The meeting will be held at been requested by the applicant for a first-come, first-served basis. Space is the Stanford Institute for Economic scientific research and monitoring of limited. The public meeting is Policy Research (SIEPR), Room 130, 366 smalltooth sawfish (Pristis pectinata) physically accessible to people with Galvez Street, Stanford, CA 04305. populations of Florida, primarily in the disabilities. Individuals requiring Public comments may be mailed to greater Charlotte Harbor estuarine accommodations, such as sign language Commerce Spectrum Management system by gillnet, seine, or longline. interpretation or other ancillary aids, are Advisory Committee, National These animals would be handled, asked to notify Mr. Washington, at (202) Telecommunications and Information measured, passive integrated 482–6415 or [email protected]. Administration, 1401 Constitution transponder, roto, and external satellite gov, at least ten (10) business days Avenue NW., Room 4099, Washington, tagged, tissue and biopsy sampled, before the meeting. examined by ultrasound, and released. DC 20230 or emailed to Status: Interested parties are invited Receipt of sawfish samples acquired [email protected]. to attend and to submit written through strandings, law enforcement FOR FURTHER INFORMATION CONTACT: comments to the Committee at any time confiscations, or other permitted Bruce M. Washington, Designated before or after the meeting. Parties researchers is also requested. The Federal Officer, at (202) 482–6415 or wishing to submit written comments for applicant also seeks authorization to [email protected]; and/or visit consideration by the Committee in capture green (Chelonia mydas), NTIA’s Web site at http://www.ntia.doc. advance of this meeting must send them hawksbill (Eretmochelys imbricata), gov/category/CSMAC. to NTIA’s Washington, DC office at the Kemp’s ridley (Lepidochelys kempii), SUPPLEMENTARY INFORMATION: above-listed address and comments leatherback (Dermochelys coriacea), and Background: The Committee provides must be received by close of business on loggerhead (Caretta caretta) sea turtles. advice to the Assistant Secretary of February 23, 2012, to provide sufficient Sea turtles would be measured, Commerce for Communications and time for review. Comments received photographed, and released. On Information on needed reforms to after February 23, 2012, will be

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distributed to the Committee, but may COMMITTEE FOR PURCHASE FROM O’Day Act (41 U.S.C. 8501–8506) in not be reviewed prior to the meeting. It PEOPLE WHO ARE BLIND OR connection with the products and would be helpful if paper submissions SEVERELY DISABLED service proposed for addition to the also include a compact disc (CD) in Procurement List. HTML, ASCII, Word, or WordPerfect Procurement List Proposed Additions Comments on this certification are format (please specify version). CDs and Deletions invited. Commenters should identify the should be labeled with the name and statement(s) underlying the certification AGENCY: Committee for Purchase From organizational affiliation of the filer, and People Who Are Blind or Severely on which they are providing additional the name of the word processing Disabled. information. program used to create the document. ACTION: End of Certification Alternatively, comments may be Proposed Additions to and submitted electronically to Deletions from the Procurement List. The following products and service [email protected]. SUMMARY: The Committee is proposing are proposed for addition to Comments provided via electronic mail to add products and a service to the Procurement List for production by the also may be submitted in one or more Procurement List that will be furnished nonprofit agencies listed: of the formats specified above. by nonprofit agencies employing Products Records: NTIA maintains records of persons who are blind or have other all Committee proceedings. Committee severe disabilities and deletes products Lubricant, 5-in-1 Penetrating Multipurpose oil, Biobased, Aerosol records are available for public previously furnished by such agencies. inspection at NTIA’s Washington, DC Comments Must be Received on or NSN: 8030–00–NIB–0004—11 oz. net. office at the address above. Documents Before: 3/5/2012. NSN: 8030–00–NIB–0005—18 oz. net. NPA: The Lighthouse for the Blind, St. Louis, including the Committee’s charter, ADDRESSES: Committee for Purchase member list, agendas, minutes, and any MO. From People Who Are Blind or Severely Contracting Activity: General Services reports are available on NTIA’s Disabled, Jefferson Plaza 2, Suite 10800, Administration, Tools Acquisition Committee Web page at http://www. 1421 Jefferson Davis Highway Division I, Kansas City, MO. ntia.doc.gov/catergory/CSMAC. Arlington, Virginia, 22202–3259. Coverage: A-List for the Total Government Dated: January 31, 2012. FOR FURTHER INFORMATION OR TO SUBMIT Requirement as aggregated by the General Services Administration. Kathy D. Smith, COMMENTS CONTACT: Barry S. Lineback, Chief Counsel, National Telecommunications Telephone: (703) 603–7740, Fax: (703) Service and Information Administration. 603–0655, or email Service Type/Location: Dining Facility [FR Doc. 2012–2468 Filed 2–2–12; 8:45 am] [email protected]. Attendant and Cook Support, 120th BILLING CODE 3510–60–P SUPPLEMENTARY INFORMATION: This Fighter Wing, Montana Air National notice is published pursuant to 41 Guard, 2800 Airport Ave B, Bldg. 62, Big Sky Diner, Great Falls, MT. U.S.C. 8503(a)(2) and 41 CFR 51–2.3. Its NPA: Skils’kin, Spokane, WA COMMISSION OF FINE ARTS purpose is to provide interested persons Contracting Activity: Dept of the Army, an opportunity to submit comments on W7NK USPFO Activity MT ARNG, Fort Notice of Meeting the proposed actions. Harrison, MT. The next meeting of the U.S. Additions The requirement covered by this Commission of Fine Arts is scheduled If the Committee approves the proposed addition to the Procurement for 16 February 2012, at 10 a.m. in the proposed additions, the entities of the List includes Dining Facility Attendant Commission offices at the National Federal Government identified in this (DFA) services at the Big Sky Diner that Building Museum, Suite 312, Judiciary notice will be required to procure the provides subsistence support to the Square, 401 F Street NW., Washington, products and service listed below from 120th Fighter Wing, Montana Air DC 20001–2728. Items of discussion nonprofit agencies employing persons National Guard, Great Falls, Montana. may include buildings, parks and who are blind or have other severe The Big Sky Diner is a weekend-only memorials. disabilities. dining facility that is operated by Draft agendas and additional military personnel who are assigned Regulatory Flexibility Act Certification information regarding the Commission management, control, and supervision are available on our Web site: http:// I certify that the following action will of the facility. Supervision of the facility www.cfa.gov. Inquiries regarding the not have a significant impact on a is provided by a Senior Cook/Shift agenda and requests to submit written substantial number of small entities. Leader, Dining Hall Supervisor, and or oral statements should be addressed The major factors considered for this Quality Assurance evaluators who range to Thomas Luebke, Secretary, U.S. certification were: in military rank from Senior Airman to Commission of Fine Arts, at the above 1. If approved, the action will not Master Sergeant. The acquisition address; by emailing [email protected]; or by result in any additional reporting, strategy for the dining facility includes calling (202) 504–2200. Individuals recordkeeping or other compliance obtaining DFA and Cook Support from requiring sign language interpretation requirements for small entities other the AbilityOne Program. for the hearing impaired should contact than the small organizations that will The duties of the Dining Facility the Secretary at least 10 days before the furnish the products and service to the Attendant are cleaning and sanitation of meeting date. Government. facilities and equipment, washing of 2. If approved, the action will result tableware, pots, pans, and all cooking Dated: January 26, 2012, in Washington, in authorizing small entities to furnish utensils, subsistence and material DC. the products and service to the handling, quality control, limited food Thomas Luebke, Government. preparation for salad bar and ground Secretary. 3. There are no known regulatory support/flight meals, serving and [FR Doc. 2012–2300 Filed 2–2–12; 8:45 am] alternatives which would accomplish replenishing food, condiments and table BILLING CODE 6330–01–M the objectives of the Javits-Wagner- items. Two weekends per year (4 days),

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the nonprofit agency will provide Cook NSN: 7530–01–537–7855—DAYMAX CONSUMER PRODUCT SAFETY Support for preparation of meats, System, GLE, 2010, Navy. COMMISSION vegetables, starches, gravies, soups, NSN: 7530–01–537–7851L—DAYMAX breads, etc., cleaning tables and chairs System, GLE, 2010, Black w/Logo. Sunshine Act Meeting Notice in dining areas, ensuring operator NSN: 7530–01–537–7851—DAYMAX maintenance and minor repair of food System, GLE, 2010, Black. TIME AND DATE: Wednesday, February 8, service equipment. Cashier duties will NSN: 7530–01–537–7836L—DAYMAX 2012, 10 a.m.–11 a.m. be performed for all meals. System, LE, 2010, Burgundy w/Logo. PLACE: Room 420, Bethesda Towers, NSN: 7530–01–537–7836—DAYMAX 4330 East West Highway, Bethesda, Deletions System, LE, 2010, Burgundy. Maryland. NSN: 7530–01–537–7835L—DAYMAX Regulatory Flexibility Act Certification STATUS: Commission Meeting—Open to System, LE, 2010, Navy w/Logo. I certify that the following action will the Public. NSN: 7530–01–537–7835—DAYMAX not have a significant impact on a System, LE, 2010, Navy. MATTER TO BE CONSIDERED: Briefing substantial number of small entities. NSN: 7530–01–537–7834L—DAYMAX Matter: Bed Rails—Rulemaking. The major factors considered for this System, LE, 2010, Black w/Logo. A live webcast of the Meeting can be certification were: NSN: 7530–01–537–7834—DAYMAX viewed at http://www.cpsc.gov/webcast 1. If approved, the action will not System, LE, 2010, Black. For a recorded message containing the result in additional reporting, NSN: 7530–01–537–7833L—DAYMAX latest agenda information, call (301) recordkeeping or other compliance System, IE, 2010, Navy w/Logo. 504–7948. requirements for small entities. NSN: 7530–01–537–7833—DAYMAX CONTACT PERSON FOR MORE INFORMATION: 2. If approved, the action may result System, IE, 2010, Navy. Todd A. Stevenson, Office of the in authorizing small entities to furnish NSN: 7530–01–537–7832L—DAYMAX Secretary, U.S. Consumer Product the products to the Government. System, JR Version, 2010, Navy w/Logo. Safety Commission, 4330 East West 3. There are no known regulatory NSN: 7530–01–537–7832—DAYMAX Highway, Bethesda, MD 20814, (301) alternatives which would accomplish System, JR Version, 2010, Navy. 504–7923. the objectives of the Javits-Wagner- NSN: 7530–01–537–7831L—DAYMAX Dated: January 31, 2012. O’Day Act (41 U.S.C. 8501–8506) in System, IE, 2010, Burgundy w/Logo. connection with the products proposed NSN: 7530–01–537–7831—DAYMAX Todd A. Stevenson, for deletion from the Procurement List. System, IE, 2010, Burgundy. Secretary. End of Certification NSN: 7530–01–537–7830L—DAYMAX [FR Doc. 2012–2513 Filed 2–1–12; 8:45 am] System, IE, 2010, Black w/Logo. BILLING CODE 6355–01–P The following products are proposed NSN: 7530–01–537–7830—DAYMAX for deletion from the Procurement List: System, IE, 2010, Black. Products NSN: 7530–01–537–7829L—DAYMAX System, JR Version, 2010, Black w/Logo. CORPORATION FOR NATIONAL AND JR Deluxe Time Management System NSN: 7530–01–537–7829—DAYMAX COMMUNITY SERVICE NSN: 7510–01–564–6053—JR Tabbed Month System, JR Version, 2010, Black. Divider NSN: 7530–01–537–7828L—DAYMAX Proposed Information Collection; Comment Request Calendars System, JR Version, 2010, Burgundy w/ Logo. NSN: 7530–01–564–6052L—JR Deluxe Time AGENCY: Corporation for National and Management System-JR Deluxe Version. NSN: 7530–01–537–7828—DAYMAX Community Service. System, JR Version, 2010, Burgundy. NSN: 7530–01–564–6052—JR Deluxe Time ACTION: Notice. Management System-JR Deluxe Version. NSN: 7510–01–545–3781—Calendar Pad, Type 2, 2010. NSN: 7530–01–564–6051L—JR Deluxe Time SUMMARY: The Corporation for National Management System-JR Deluxe Version. NSN: 7510–01–537–7880—DAYMAX, GLE and Community Service (the NSN: 7530–01–564–6051—JR Deluxe Time Day at a View, 2010, 7-hole. Corporation), as part of its continuing Management System-JR Deluxe Version. NSN: 7510–01–537–7878—DAYMAX, effort to reduce paperwork and NSN: 7530–01–545–3741—Appt. Book Refill, Tabbed Monthly, 2010, 7-hole. respondent burden, conducts a pre- 2010. NSN: 7510–01–537–7877—DAYMAX, NSN: 7530–01–537–7869L—DAYMAX Tabbed Monthly, 2010, 3-hole. clearance consultation program to System, Woodland Camouflage Planner, NSN: 7510–01–537–7866—DAYMAX, IE/LE provide the general public and federal 2010 w/Logo. Month at a View, 2010, 3-hole. agencies with an opportunity to NSN: 7530–01–537–7869—DAYMAX comment on proposed and/or System, Woodland, Camouflage Planner, NSN: 7510–01–537–7872—DAYMAX, IE/LE Day at a View, 2010, 3-hole. continuing collections of information in 2010. accordance with the Paperwork NSN: 7530–01–537–7865L—DAYMAX NSN: 7510–01–537–7876—DAYMAX, GLE System, DOD Planner, 2010 w/Logo. Week at a View, 2010, 7-hole. Reduction Act of 1995 (PRA95) (44 NSN: 7530–01–537–7865—DAYMAX NSN: 7510–01–537–7874—DAYMAX, GLE U.S.C. 3506(c)(2)(A)). This program System, DOD Planner, 2010. Month at a View, 2010, 7-hole. helps to ensure that requested data can NSN: 7530–01–537–7862L—DAYMAX NSN: 7510–01–537–7871—DAYMAX, IE/LE be provided in the desired format, System, Desert, Camouflage Planner, Week at a View, 2010, 3-hole. reporting burden (time and financial 2010 w/Logo. NPA: The Easter Seal Society of Western resources) is minimized, collection NSN: 7530–01–537–7862—DAYMAX Pennsylvania, Pittsburgh, PA. instruments are clearly understood, and System, Desert, Camouflage Planner, Contracting Activity: General Services the impact of collection requirement on 2010. Administration, New York, NY. respondents can be properly assessed. NSN: 7530–01–537–7860L—DAYMAX Currently, the Corporation is System, GLE, 2010, Burgundy w/Logo. Barry S. Lineback, NSN: 7530–01–537–7860—DAYMAX soliciting comments concerning its Director, Business Operations. System, GLE, 2010, Burgundy. proposed renewal of the AmeriCorps NSN: 7530–01–537–7855L—DAYMAX [FR Doc. 2012–2415 Filed 2–2–12; 8:45 am] Member Application Form. Applicants System, GLE, 2010, Navy w/Logo. BILLING CODE 6353–01–P will respond to the questions included

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in this ICR in order to apply to serve as members. The information requested in continuing collections of information in AmeriCorps members. the application form makes it possible accordance with the Paperwork Copies of the information collection for programs to select members to serve. Reduction Act of 1995 (PRA95) request can be obtained by contacting Programs also use this form as an (44 U.S.C. 3506(c)(2)(A)). This program the office listed in the addresses section example that they customize to develop helps to ensure that requested data can of this notice. their own recruitment materials. be provided in the desired format, reporting burden (time and financial DATES: Written comments must be Current Action submitted to the individual and office resources) is minimized, collection listed in the ADDRESSES section by April Changes have been made to align the instruments are clearly understood, and 3, 2012. form with current program and the impact of collection requirement on technological needs and resources. The ADDRESSES: You may submit comments, respondents can be properly assessed. identified by the title of the information information collection will otherwise be Currently, the Corporation is collection activity, by any of the used in the same manner as the existing soliciting comments concerning its following methods: application. The Corporation also seeks Child Care application forms. These (1) By mail sent to: Corporation for to continue using the current forms are submitted by members of National and Community Service, application until the revised application AmeriCorps and by the child care AmeriCorps State & National; ATTN: is approved by OMB. The current providers identified by the member for Thomas Howard Jr., Program Officer, application is due to expire on April 30, the purpose of applying for, and 9508A, 1201 New York Avenue NW., 2012. receiving payment for, the care of Washington, DC 20525. Agency: Corporation for National and children during the day while the (2) By hand delivery or by courier to Community Service. member is in service. Completion of this the Corporation’s mailroom at Room Title: AmeriCorps Member information is required to be approved 8100 at the mail address given in Application Form and required to receive payment for OMB Number: 3045–0054. paragraph (1) above, between 9 a.m. and invoices. Agency Number: None. 4 p.m. Eastern Time, Monday through Copies of the information collection Affected Public: Applicants to serve Friday, except Federal holidays. request can be obtained by contacting in AmeriCorps. (3) By fax to: (202) 606–3476, ATTN: the office listed in the addresses section Total Respondents: 225,000. of this notice. Thomas Howard, Jr., Program Officer. Frequency: Ongoing. DATES: Written comments must be (4) Electronically through Average Time Per Response: Averages submitted to the individual and office www.regulations.gov. Individuals who 1.25 hours. listed in the ADDRESSES section by April use a telecommunications device for the Estimated Total Burden Hours: 3, 2012. deaf (TTY–TDD) may call 1–(800) 833– 281,250. 3722 between 8 a.m. and 8 p.m. Eastern Total Burden Cost (capital/startup): ADDRESSES: You may submit comments, Time, Monday through Friday. None. identified by the title of the information FOR FURTHER INFORMATION CONTACT: Total Burden Cost (operating/ collection activity, by any of the Thomas Howard, Jr., (202) 606–6697, or maintenance): None. following methods: by email at [email protected]. Comments submitted in response to (1) By mail sent to: Corporation for SUPPLEMENTARY INFORMATION: this notice will be summarized and/or National and Community Service, Jim The Corporation is particularly included in the request for Office of Feaster, Room 9111, 1201 New York interested in comments that: Management and Budget approval of the Avenue NW., Washington, DC 20525. • Evaluate whether the proposed information collection request; they will (2) By hand delivery or by courier to collection of information is necessary also become a matter of public record. the Corporation’s mailroom at Room for the proper performance of the 8100 at the mail address given in Dated: January 27, 2012. paragraph (1) above, between 9 a.m. and functions of the Corporation, including Idara Nickelson, whether the information will have 4 p.m. Eastern Time, Monday through Chief of Program Operations. practical utility; Friday, except Federal holidays. • Evaluate the accuracy of the [FR Doc. 2012–2367 Filed 2–2–12; 8:45 am] (3) By fax to: (202) 606–3475 Jim agency’s estimate of the burden of the BILLING CODE 6050–$$–P Feaster, Management Analyst. proposed collection of information, (4) Electronically through jfeaster@ including the validity of the cns.gov or www.regulations.gov. CORPORATION FOR NATIONAL AND methodology and assumptions used; Individuals who use a • Enhance the quality, utility, and COMMUNITY SERVICE telecommunications device for the deaf clarity of the information to be (TTY–TDD) may call 1–(800) 833–3722 Proposed Information Collection; between 8 a.m. and 8 p.m. Eastern Time, collected; and Comment Request • Minimize the burden of the Monday through Friday. collection of information on those who AGENCY: Corporation for National and FOR FURTHER INFORMATION CONTACT: Jim are expected to respond, including the Community Service. Feaster, 202–606–6862 [email protected]. use of appropriate automated, ACTION: Notice. SUPPLEMENTARY INFORMATION: The electronic, mechanical, or other Corporation is particularly interested in technological collection techniques or SUMMARY: The Corporation for National comments that: other forms of information technology and Community Service (the • Evaluate whether the proposed (e.g., permitting electronic submissions Corporation), as part of its continuing collection of information is necessary of responses). effort to reduce paperwork and for the proper performance of the respondent burden, conducts a pre- functions of the Corporation, including Background clearance consultation program to whether the information will have This Member Application Form will provide the general public and federal practical utility; be used by applicants who are agencies with an opportunity to • Evaluate the accuracy of the interested in serving as AmeriCorps comment on proposed and/or agency’s estimate of the burden of the

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proposed collection of information, Dated: January 30, 2011. Dated: January 30, 2012. including the validity of the Idara Nickelson, J. M. Beal, methodology and assumptions used; Chief of Program Operations. Lieutenant Commander, Office of the Judge • Enhance the quality, utility, and [FR Doc. 2012–2368 Filed 2–2–12; 8:45 am] Advocate General, U.S. Navy, Federal Register Liaison Officer. clarity of the information to be BILLING CODE 6050–$$–P collected; and [FR Doc. 2012–2416 Filed 2–2–12; 8:45 am] • Minimize the burden of the BILLING CODE 3810–FF–P collection of information on those who are expected to respond, including the DEPARTMENT OF DEFENSE use of appropriate automated, DEPARTMENT OF EDUCATION electronic, mechanical, or other Department of the Navy technological collection techniques or Notice of Proposed Information other forms of information technology Meeting of the Chief of Naval Collection Requests (e.g., permitting electronic submissions Operations Executive Panel AGENCY: Department of Education. of responses). AGENCY: Department of the Navy, DoD. ACTION: Comment Request. Background ACTION: Notice of Open Meeting. SUMMARY: The Department of Education The information is provided by the (the Department), in accordance with AmeriCorps member and by the child SUMMARY: The Chief of Naval Operations (CNO) Executive Panel will deliberate the Paperwork Reduction Act of 1995 care provider. The information is (PRA) (44 U.S.C. 3506(c)(2)(A)), collected by GAP Solutions, Inc. 12054 on the findings and proposed recommendations of the Personnel provides the general public and Federal North Shore Drive, Reston, VA 20190 agencies with an opportunity to and is not currently collected Policy Subcommittee study. The meeting will consist of discussions comment on proposed and continuing electronically. This is a new information collections of information. This helps request. regarding military and civilian personnel legislation, military and the Department assess the impact of its Current Action civilian personnel skills mix and information collection requirements and minimize the reporting burden on the The information collected will be diversity efforts, and corporate diversity/engagement strategies. public and helps the public understand used to analyze applications to the Department’s information collection participate in the AmeriCorps child care DATES: The meeting will be held on requirements and provide the requested subsidy program submitted by February 29, 2012 from 10 a.m. to data in the desired format. The Acting AmeriCorps members and child care 12 p.m. Director, Information Collection providers. The information is used to Clearance Division, Privacy, Information determine eligibility for this benefit. ADDRESSES: The meeting will be held in the 2nd Floor Idea Center at CNA, 4825 and Records Management Services, The eligibility requirements used are Office of Management, invites those used by the state in which the care Mark Center Drive, Alexandria, VA 22311–1846. comments on the proposed information is provided in accordance with the collection requests as required by the FOR FURTHER INFORMATION CONTACT: Child Care Development and Block Paperwork Reduction Act of 1995 (Pub. Grant program administered by the LCDR Don Rauch, CNO Executive Panel, L. 104–13). Department of Health and Human 4825 Mark Center Drive, Alexandria, VA Services. 22311–1846, 703–681–4941. DATES: Interested persons are invited to Type of Review: New. submit comments on or before April 3, SUPPLEMENTARY INFORMATION: 2012. Agency: Corporation for National and Individuals or interested groups may ADDRESSES: Written comments Community Service. submit written statements for Title: Child Care Application. regarding burden and/or the collection consideration by the CNO Executive activity requirements should be OMB Number: TBD. Panel at any time or in response to the electronically mailed to ICDocketMgr@ Agency Number: None. agenda of a scheduled meeting. All ed.gov or mailed to U.S. Department of Affected Public: AmeriCorps members requests must be submitted to the Education, 400 Maryland Avenue SW., and child care providers for AmeriCorps Designated Federal Officer at the LBJ, Washington, DC 20202–4537. members. address detailed below. Please note that written comments Total Respondents: 750 members, If the written statement is in response received in response to this notice will 1,500 child care providers. to the agenda mentioned in this meeting be considered public records. Frequency: Once a year. notice then the statement, if it is to be SUPPLEMENTARY INFORMATION: Section Average Time per Response: Averages considered by the Panel for this 3506 of the Paperwork Reduction Act of 30 minutes. meeting, must be received at least five 1995 (44 U.S.C. Chapter 35) requires Estimated Total Burden Hours: 1,125 days prior to the meeting in question. that Federal agencies provide interested hours. The Designated Federal Officer will parties an early opportunity to comment Total Burden Cost (capital/startup): review all timely submissions with the on information collection requests. The None. CNO Executive Panel Chairperson, and Director, Information Collection Total Burden Cost (operating/ ensure they are provided to members of Clearance Division, Privacy, Information maintenance): None. the CNO Executive Panel before the and Records Management Services, Comments submitted in response to meeting that is the subject of this notice. Office of Management, publishes this this notice will be summarized and/or To contact the Designated Federal notice containing proposed information included in the request for Office of Officer, write to Executive Director, collection requests at the beginning of Management and Budget approval of the CNO Executive Panel (N00K), 4825 the Departmental review of the information collection request; they will Mark Center Drive, 2nd Floor, information collection. The Department also become a matter of public record. Alexandria, VA 22311–1846. of Education is especially interested in

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public comment addressing the employment after the end of SE collections of information. This helps following issues: (1) Is this collection services, which usually do not exceed the Department assess the impact of its necessary to the proper functions of the 18 months. information collection requirements and Department; (2) will this information be RSA proposes to conduct a national minimize the reporting burden on the processed and used in a timely manner; survey of all 80 state VR agencies. RSA public and helps the public understand (3) is the estimate of burden accurate; seeks to evaluate how State VR agencies the Department’s information collection (4) how might the Department enhance implement supported employment requirements and provide the requested the quality, utility, and clarity of the services for individuals with data in the desired format. The Director, information to be collected; and (5) how disabilities, how state VR agencies use Information Collection Clearance might the Department minimize the Title VI Part B funds in conjunction Division, Privacy, Information and burden of this collection on the with Title I funds to fund supported Records Management Services, Office of respondents, including through the use employment programs, and whether Management, invites comments on the of information technology. State VR agencies are effective in proposed information collection Dated: January 31, 2012. obtaining supported employment requests as required by the Paperwork Tomakie Washington, outcomes for individuals with Reduction Act of 1995 (Pub. L.104–13). Acting Director, Information Collection disabilities. The evaluation also seeks to DATES: Interested persons are invited to Clearance Division, Privacy, Information and identify the factors that contribute to submit comments on or before April 3, Records Management Services, Office of successful supported employment 2012. Management. outcomes. ADDRESSES: Written comments RSA will address the following Office of Special Education and regarding burden and/or the collection objectives: Rehabilitative Services activity requirements should be • Identify agency practices with electronically mailed to Type of Review: New. respect to providing SE services; [email protected] or mailed to U.S. Title of Collection: Evaluation of State • Determine how agencies use Title Department of Education, 400 Maryland Vocational Rehabilitation Agency VI–B, Title I and other funds to provide Avenue SW., LBJ, Washington, DC Administration of Supported SE; and 20202–4537. Please note that written Employment Programs. • Determine how agency practices comments received in response to this OMB Control Number: Pending. affect the achievement of SE outcomes. notice will be considered public Agency Form Number(s): N/A. Copies of the proposed information records. Total Estimated Number of Annual collection request may be accessed from SUPPLEMENTARY INFORMATION: Section Responses: 80. http://edicsweb.ed.gov, by selecting the Total Estimated Number of Annual 3506 of the Paperwork Reduction Act of ‘‘Browse Pending Collections’’ link and Burden Hours: 249. 1995 (44 U.S.C. Chapter 35) requires by clicking on link number 4796. When Abstract: The Vocational that Federal agencies provide interested you access the information collection, Rehabilitation (VR) Program provides a parties an early opportunity to comment click on ‘‘Download Attachments’’ to wide range of services to help on information collection requests. The view. Written requests for information individuals with disabilities to prepare Director, Information Collection should be addressed to U.S. Department for and engage in gainful employment. Clearance Division, Privacy, Information of Education, 400 Maryland Avenue Eligible individuals are those who have and Records Management Services, SW., LBJ, Washington, DC 20202–4537. a physical or mental impairment that Office of Management, publishes this Requests may also be electronically results in a substantial impediment to notice containing proposed information mailed to [email protected] or faxed employment, who can benefit from VR collection requests at the beginning of to (202) 401–0920. Please specify the services for employment, and who the Departmental review of the complete title of the information require VR services. If a State is unable information collection. The Department collection and OMB Control Number to serve all eligible individuals, priority of Education is especially interested in when making your request. must be given to serving individuals public comment addressing the Individuals who use a with the most significant disabilities. following issues: (1) Is this collection telecommunications device for the deaf The program is funded through formula- necessary to the proper functions of the (TDD) may call the Federal Information based grants awarded by the Department; (2) will this information be Relay Service (FIRS) at 1–(800) 877– Rehabilitation Services Administration processed and used in a timely manner; 8339. (RSA) to State VR agencies to receive (3) is the estimate of burden accurate; funding from the basic Title I formula [FR Doc. 2012–2455 Filed 2–2–12; 8:45 am] (4) how might the Department enhance grant program. BILLING CODE 4000–01–P the quality, utility, and clarity of the The Supported Employment (SE) information to be collected; and (5) how Grant Program provides funding to might the Department minimize the assist States in developing and DEPARTMENT OF EDUCATION burden of this collection on the implementing collaborative programs Notice of Proposed Information respondents, including through the use with appropriate entities to provide SE Collection Requests of information technology. services to individuals with the most Dated: January 30, 2012. significant disabilities who require SE AGENCY: Department of Education. Darrin A. King, services to achieve employment ACTION: Comment request. outcomes under Title VI Part B of the Director, Information Collection Clearance Division, Privacy, Information and Records Rehabilitation Act for the SE State SUMMARY: The Department of Education Management Services, Office of Management. Grants Program. SE funds are used to (the Department), in accordance with supplement funds provided under the the Paperwork Reduction Act of 1995 Federal Student Aid State VR grants program for the cost of (PRA) (44 U.S.C. 3506(c)(2)(A)), Type of Review: Extension. providing SE services. Funds cannot be provides the general public and Federal Title of Collection: Teacher used to provide extended services agencies with an opportunity to Cancellation Low Income Directory. necessary to maintain individuals in comment on proposed and continuing OMB Control Number: 1845–0077.

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Total Estimated Number of SUMMARY: The Department of Education Dated: January 30, 2012. Responses: 57. (the Department), in accordance with Darrin A. King, Total Estimated Number of Burden the Paperwork Reduction Act of 1995 Director, Information Collection Clearance Hours: 6,840. (PRA) (44 U.S.C. 3506(c)(2)(A)), Division, Privacy, Information and Records Abstract: The Teacher Cancellation provides the general public and Federal Management Services, Office of Management. agencies with an opportunity to Low Income (TCLI) Directory is the Federal Student Aid online data repository of elementary and comment on proposed and continuing secondary schools and educational collections of information. This helps Type of Review: Revision. service agencies that serve low-income the Department assess the impact of its Title of Collection: Comprehensive families. State and Territory agencies information collection requirements and Transition Programs for Students with report these schools to the TCLI minimize the reporting burden on the Intellectual Disabilities Expenditure Directory. The purpose of the TCLI public and helps the public understand Report. Directory is to provide a single location the Department’s information collection for the public to find the list of schools requirements and provide the requested OMB Control Number: Pending. and educational service agencies that data in the desired format. The Director, Total Estimated Number of are reported. By teaching at one of these Information Collection Clearance Responses: 20. schools, recipients of Federal Perkins Division, Privacy, Information and Loans and Direct Loans may qualify for Total Estimated Number of Burden Records Management Services, Office of Hours: 40. loan cancellation as provided under Management, invites comments on the Abstract: The Higher Education Title I of the Elementary and Secondary proposed information collection Education Act of 1965. Additionally Opportunity Act, Public Law 110–315, requests as required by the Paperwork teaching at one of these schools is a added provisions for the Higher Reduction Act of 1995 (Pub. L.104–13). requirement for the Teacher Education Education Act, as amended in section Assistance for College and Higher DATES: Interested persons are invited to 750 and 766 that enable eligible Education (TEACH) Grant program. submit comments on or before April 3, students with intellectual disabilities to Institutions of higher education, as well 2012. receive Federal Pell Grant, as the Department, use the TCLI Supplemental Educational Opportunity Directory to assist students in ADDRESSES: Written comments regarding burden and/or the collection Grant, and Federal Work Study funds if determining if the schools at which they they are enrolled in an approved may teach, upon completing their activity requirements should be electronically mailed to program. The Comprehensive Transition degrees, meet the qualifications for Programs for Students with Intellectual receiving the loan cancellations or [email protected] or mailed to U.S. Department of Education, 400 Maryland Disabilities Expenditure Report is the receiving the TEACH Grant as grant tool for reporting the use of these funds. Avenue SW., LBJ, Washington, DC specific funds. Copies of the proposed information 20202–4537. Please note that written collection request may be accessed from comments received in response to this Copies of the proposed information http://edicsweb.ed.gov, by selecting the notice will be considered public collection request may be accessed from ‘‘Browse Pending Collections’’ link and records. http://edicsweb.ed.gov, by selecting the by clicking on link number 4769. When ‘‘Browse Pending Collections’’ link and you access the information collection, SUPPLEMENTARY INFORMATION: Section by clicking on link number 4770. When click on ‘‘Download Attachments’’ to 3506 of the Paperwork Reduction Act of you access the information collection, view. Written requests for information 1995 (44 U.S.C. Chapter 35) requires click on ‘‘Download Attachments’’ to should be addressed to U.S. Department that Federal agencies provide interested view. Written requests for information of Education, 400 Maryland Avenue parties an early opportunity to comment should be addressed to U.S. Department SW., LBJ, Washington, DC 20202–4537. on information collection requests. The of Education, 400 Maryland Avenue Requests may also be electronically Director, Information Collection SW., LBJ, Washington, DC 20202–4537. mailed to [email protected] or faxed Clearance Division, Privacy, Information Requests may also be electronically to (202) 401–0920. Please specify the and Records Management Services, mailed to [email protected] or faxed complete title of the information Office of Management, publishes this to (202) 401–0920. Please specify the collection and OMB Control Number notice containing proposed information complete title of the information when making your request. collection requests at the beginning of collection and OMB Control Number Individuals who use a the Departmental review of the when making your request. telecommunications device for the deaf information collection. The Department Individuals who use a (TDD) may call the Federal Information of Education is especially interested in telecommunications device for the deaf Relay Service (FIRS) at 1–(800) 877– public comment addressing the (TDD) may call the Federal Information 8339. following issues: (1) Is this collection Relay Service (FIRS) at 1–(800) 877– necessary to the proper functions of the [FR Doc. 2012–2458 Filed 2–2–12; 8:45 am] 8339. BILLING CODE 4000–01–P Department; (2) will this information be processed and used in a timely manner; [FR Doc. 2012–2456 Filed 2–2–12; 8:45 am] (3) is the estimate of burden accurate; BILLING CODE 4000–01–P DEPARTMENT OF EDUCATION (4) how might the Department enhance the quality, utility, and clarity of the Notice of Proposed Information information to be collected; and (5) how Collection Requests might the Department minimize the AGENCY: Department of Education. burden of this collection on the respondents, including through the use ACTION: Comment request. of information technology.

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DEPARTMENT OF ENERGY paper-filed. To paper-file, mail an so indicate by writing to the Secretary original and seven copies to: Kimberly of the Commission. Federal Energy Regulatory D. Bose, Secretary, Federal Energy n. Comments, Protests, or Motions to Commission Regulatory Commission, 888 First Street Intervene: Anyone may submit [Project No. 12667–031] NE., Washington, DC 20426. Please comments, a protest, or a motion to include the project number (P–12667– intervene in accordance with the City of Hamilton, Ohio; American 031) on any comments, motions, or requirements of Rules of Practice and Municipal Power, Inc.; Notice of recommendations filed. Procedure, 18 CFR 385.210, .211, .214. The Commission’s Rules of Practice Application Accepted for Filing, In determining the appropriate action to Soliciting Motions To Intervene and and Procedure require all intervenors filing documents with the Commission take, the Commission will consider all Protests, Ready for Environmental protests or other comments filed, but Analysis, and Soliciting Comments, to serve a copy of that document on each person whose name appears on the only those who file a motion to Recommendations, and Terms and intervene in accordance with the Conditions official service list for the project. Further, if an intervenor files comments Commission’s Rules may become a Take notice that the following or documents with the Commission party to the proceeding. Any comments, hydroelectric application has been filed relating to the merits of an issue that protests, or motions to intervene must with the Commission and is available may affect the responsibilities of a be received on or before the specified for public inspection: particular resource agency, they must comment date for the particular a. Application Type: Amendment of also serve a copy of the document on application. license to change transmission line that resource agency. o. Filing and Service of Responsive route. k. Description of Request: The City of Documents: All filings must (1) bear in b. Project No.: 12667–031. Hamilton, Ohio and American all capital letters the title ‘‘PROTEST’’, c. Date Filed: November 30, 2011. Municipal Power, Inc. (licensees) ‘‘MOTION TO INTERVENE’’, d. Applicant: City of Hamilton, Ohio propose to change the transmission line ‘‘COMMENTS,’’ ‘‘REPLY COMMENTS,’’ and American Municipal Power, Inc. route authorized in the June 25, 2008 ‘‘RECOMMENDATIONS,’’ or ‘‘TERMS e. Name of Project: Meldahl Order Issuing Original License (Major AND CONDITIONS;’’ (2) set forth in the Hydroelectric Project. Project). Instead of constructing an heading the name of the applicant and f. Location: When constructed, the approximately 5-mile-long, 138-kilovolt the project number of the application to project will be located at the U.S. Army (kV) transmission line connecting the which the filing responds; (3) furnish Corps of Engineers’ Captain Anthony powerhouse to a new switching station the name, address, and telephone Meldahl locks and dam on the Ohio adjacent to East Kentucky Electric number of the person protesting or River, near the City of Augusta, Bracken Cooperative, Inc.’s Boone-Spurlock intervening; and (4) otherwise comply County, Kentucky. transmission line as authorized in the with the requirements of 18 CFR g. Filed Pursuant to: Federal Power license, the licensees propose to Act, 16 U.S.C. 791(a)–825(r). 385.2001 through 385.2005. All construct an approximately 3-mile-long, comments, recommendations or terms h. Applicant Contact: Debra Roby, 138-kV transmission line connecting the and conditions must set forth their Jennings, Strouss & Salmon, PLC, 1350 powerhouse to a new switching station evidentiary basis and otherwise comply I Street NW., Suite 810, Washington, DC at the Zimmer-Spurlock transmission with the requirements of 18 CFR 4.34(b). 20005–3305; telephone (202) 464–0539. line in Clermont County, Ohio. The All comments, recommendations or i. FERC Contact: Linda Stewart, proposed transmission line route would terms and conditions should relate to telephone: (202) 502–6680, and email extend from the powerhouse in Bracken address: [email protected]. County, Kentucky, span the Ohio River project works which are the subject of j. Deadline for filing motions to into Clermont County, Ohio, and then the license amendment. Agencies may intervene and protests, comments, interconnect with the transmission grid obtain copies of the application directly recommendations, and terms and inside the PJM regional transmission from the applicant. A copy of any conditions is 30 days from the issuance organization. protest or motion to intervene must be of this notice; reply comments are due l. Locations of the Application: A served upon each representative of the 55 days from the issuance date of this copy of the application is available for applicant specified in the particular notice. review at the Commission in the Public application. If an intervener files All documents may be filed Reference Room or may be viewed on comments or documents with the electronically via the Internet. See the Commission’s Web site at http:// Commission relating to the merits of an 18 CFR 385.2001(a)(1)(iii) and the www.ferc.gov using the ‘‘eLibrary’’ link. issue that may affect the responsibilities instructions on the Commission’s Web Enter the docket number excluding the of a particular resource agency, they site at http://www.ferc.gov/docs-filing/ last three digits in the docket number must also serve a copy of the document efiling.asp. Commenters can submit field to access the document. For on that resource agency. A copy of all brief comments up to 6,000 characters, assistance, contact FERC Online other filings in reference to this without prior registration, using the Support. A copy is also available for application must be accompanied by eComment system at http:// inspection and reproduction at the proof of service on all persons listed in www.ferc.gov/docs-filing/ address in item (h) above. the service list prepared by the ecomment.asp. You must include your You may also register online at Commission in this proceeding, in name and contact information at the end http://www.ferc.gov/docs-filing/ accordance with 18 CFR 4.34(b) and of your comments. For assistance, esubscription.asp to be notified via 385.2010. please contact FERC Online Support at email of new filings and issuances Dated: January 26, 2012. [email protected] or toll related to this or other pending projects. Kimberly D. Bose, free at 1–866–208–3676, or for TTY, For assistance, contact FERC Online (202) 502–8659. Although the Support. Secretary. Commission strongly encourages m. Individuals desiring to be included [FR Doc. 2012–2384 Filed 2–2–12; 8:45 am] electronic filing, documents may also be on the Commission’s mailing list should BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY The Commission’s Rules of Practice COMMENTS,’’ require all intervenors filing documents ‘‘RECOMMENDATIONS,’’ ‘‘TERMS Federal Energy Regulatory with the Commission to serve a copy of AND CONDITIONS,’’ or Commission that document on each person on the ‘‘PRESCRIPTIONS;’’ (2) set forth in the [Project No. 2696–033] official service list for the project. heading the name of the applicant and Further, if an intervenor files comments the project number of the application to Stuyvesant Falls Hydroelectric Project; or documents with the Commission which the filing responds; (3) furnish Notice of Application Ready for relating to the merits of an issue that the name, address, and telephone Environmental Analysis and Soliciting may affect the responsibilities of a number of the person submitting the particular resource agency, they must Comments, Recommendations, Terms filing; and (4) otherwise comply with also serve a copy of the document on and Conditions, and Prescriptions the requirements of 18 CFR 385.2001 that resource agency. Take notice that the following k. This application has been accepted through 385.2005. All comments, hydroelectric application has been filed and is now ready for environmental recommendations, terms and conditions with the Commission and is available analysis. or prescriptions must set forth their for public inspection. l. The existing Stuyvesant Falls evidentiary basis and otherwise comply a. Type of Application: New Major Hydroelectric Project is currently being with the requirements of 18 CFR 4.34(b). License. restored to operation under the existing Agencies may obtain copies of the b. Project No.: P–2696–033. license. The proposed project would application directly from the applicant. c. Date filed: July 31, 2009. consist of: (1) An existing 13-foot-high, Each filing must be accompanied by d. Applicants: Albany Engineering 240-foot-long, masonry gravity dam proof of service on all persons listed on Corporation and the Town of (Stuyvesant Falls dam) on Kinderhook the service list prepared by the Stuyvesant, New York. Creek; (2) an existing 46-acre Commission in this proceeding, in e. Name of Project: Stuyvesant Falls impoundment with a normal water accordance with 18 CFR 4.34(b), and Hydroelectric Project. surface elevation of 174.3 feet National 385.2010. f. Location: On Kinderhook Creek, Geodetic Vertical Datum 1929; (3) an near the Town of Stuyvesant, in existing stone and concrete intake You may also register online at http:// Columbia County, New York. The structure, Taintor gate, and trash sluice www.ferc.gov/docs-filing/ project does not occupy any Federal located near the south abutment of the esubscription.asp to be notified via lands. gravity dam; (4) a proposed 120-kilowatt email of new filings and issuances g. Filed Pursuant to: Federal Power (kW) minimum flow turbine located related to this or other pending projects. Act, 16 U.S.C. 791 (a)–825(r). adjacent to the intake structure; (5) two For assistance, contact FERC Online h. Applicant Contact: Mr. James A. existing 7.5-foot-diameter, 2,860-foot- Support. Besha, P.E., Albany Engineering long, riveted-steel penstocks; (6) an n. Public notice of the filing of the Corporation, 5 Washington Square, existing concrete, steel, and brick initial development application, which Albany, New York 12205. Tel: (518) powerhouse, approximately 144 feet 456–7712. has already been given, established the long, 84 feet wide, and 60 feet high; (7) due date for filing competing i. FERC Contact: Andy Bernick, (202) two single-runner Francis turbines, each applications or notices of intent. Under 502–8660 or [email protected]. with a nameplate capacity of 4,511 kW, the Commission’s regulations, any j. Deadline for filing comments, connected to two 2,100-kW generators; recommendations, terms and (8) an existing 34.5-kilovolt (kV) competing development application conditions, and prescriptions: 60 days primary circuit breaker, step up must be filed in response to and in from the issuance date of this notice; transformer, and 34.5-kV, 20-foot-long compliance with public notices of the reply comments are due 105 days from primary leads supplying an existing initial development application. No the issuance date of this notice. National Grid substation adjacent to the competing applications or notices of All documents may be filed powerhouse, and a new station service intent may be filed in response to this electronically via the Internet. See line connecting the minimum flow notice. 18 CFR 385.2001(a)(1)(iii) and the turbine to the powerhouse; and (9) o. A license applicant must file no instructions on the Commission’s Web ancillary plant equipment. The existing later than 60 days following the date of site http://www.ferc.gov/docs-filing/ project, following restoration, is issuance of this notice: (1) A copy of the efiling.asp. Commenters can submit expected to generate an estimated water quality certification; (2) a copy of brief comments up to 6,000 characters, 11,133 megawatt-hours (MWh) the request for certification, including without prior registration, using the annually. The proposed project would proof of the date on which the certifying eComment system at http:// generate an estimated 14,945 megawatt- agency received the request; or (3) www.ferc.gov/docs-filing/ hours annually. ecomment.asp. You must include your m. A copy of the application is evidence of wavier of water quality name and contact information at the end available for review at the Commission certification. of your comments. For assistance, in the Public Reference Room or may be Dated: January 27, 2012. please contact FERC Online Support at viewed on the Commission’s Web site at Kimberly D. Bose, [email protected] or toll http://www.ferc.gov using the Secretary. free at 1–866–208–3676, or for TTY, ‘‘eLibrary’’ link. Enter the docket [FR Doc. 2012–2380 Filed 2–2–12; 8:45 am] (202) 502–8659. Although the number excluding the last three digits in Commission strongly encourages the docket number field to access the BILLING CODE 6717–01–P electronic filing, documents may also be document. For assistance, contact FERC paper-filed. To paper-file, mail an Online Support. A copy is also available original and seven copies to: Kimberly for inspection and reproduction at the D. Bose, Secretary, Federal Energy address in item h above. Regulatory Commission, 888 First Street All filings must (1) Bear in all capital NE., Washington, DC 20426. letters the title ‘‘COMMENTS’’, ‘‘REPLY

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DEPARTMENT OF ENERGY Market Power Analysis for the Northeast Applicants: Mariposa Energy, LLC. Region. Description: Mariposa Energy, LLC Federal Energy Regulatory Filed Date: 1/25/12. submits tariff filing per 35.12: Mariposa Commission Accession Number: 20120125–5242. Energy, LLC Market Based Rate Filing to Comments Due: 5 p.m. ET 2/15/12. Combined Notice of Filings #1 be effective 1/26/2012. Docket Numbers: ER12–889–000. Filed Date: 1/26/12. Take notice that the Commission Applicants: Dominion Retail, Inc. received the following electric rate Description: Compliance Filing— Accession Number: 20120126–5001. filings: Designation of Filer to be effective Comments Due: 5 p.m. ET 2/16/12. Docket Numbers: ER08–1056–005. 1/25/2012. Applicants: Entergy Services, Inc. Filed Date: 1/25/12. Docket Numbers: ER12–897–000. Description: Compliance Filing of Accession Number: 20120125–5171. Applicants: California Independent Entergy Services, Inc. Comments Due: 5 p.m. ET 2/15/12. System Operator Corporation Filed Date: 12/6/11. Docket Numbers: ER12–890–000. Accession Number: 20111206–5090. Description: California Independent Applicants: State Line Energy, L.L.C. Comments Due: 5 p.m. ET 2/16/12. System Operator Corporation submits Description: Compliance Filing— Docket Numbers: ER10–1257–002; tariff filing per 35: 2012–01–25 CAISO Designation of Filer to be effective Petition for Waiver of Tariff Provisions ER10–1258–002. 1/24/2012. Applicants: Wabash Valley Power to be effective N/A. Filed Date: 1/25/12. Association, Inc., Wabash Valley Energy Accession Number: 20120125–5183. Filed Date: 1/26/12. Marketing, Inc. Comments Due: 5 p.m. ET 2/15/12. Description: Notice of Change of Accession Number: 20120126–5004. Status of Wabash Valley Power Docket Numbers: ER12–891–000. Comments Due: 5 p.m. ET 2/16/12. Association, Inc. and Wabash Valley Applicants: Southwest Power Pool, Take notice that the Commission Energy Marketing, Inc. Inc. Filed Date: 1/25/12. Description: 1886R1 Westar Energy, received the following electric securities Accession Number: 20120125–5245. Inc. NITSA NOA to be effective filings: Comments Due: 5 p.m. ET 2/15/12. 12/1/2011. Docket Numbers: ES12–12–000. Docket Numbers: ER10–2319–004; Filed Date: 1/25/12. ER10–2320–004; ER10–2317–003; Accession Number: 20120125–5186. Applicants: Prairie Wind ER10–2322–005; ER10–2324–004; Comments Due: 5 p.m. ET 2/15/12. Transmission, LLC ER10–2325–003; ER10–2332–004; Docket Numbers: ER12–892–000. Description: Amendment to ER10–2326–005; ER10–2327–006; Applicants: Southwest Power Pool, Application of Prairie Wind ER10–2328–004; ER10–2343–005; Inc. Transmission, LLC. ER10–2331–005; ER10–2330–005; Description: 2041R1 Kansas City Filed Date: 01/26/2012. ER11–4609–003. Board of Public Utilities PTP to be Applicants: J.P. Morgan Ventures effective 12/1/2011. Accession Number: 20120126–5034. Energy Corporation, Triton Power Filed Date: 1/25/12. Comment Date: 5 p.m. ET 2/6/12. Michigan LLC, BE CA LLC, BE Accession Number: 20120125–5187. Ironwood LLC, BE KJ LLC, BE Rayle Comments Due: 5 p.m. ET 2/15/12. The filings are accessible in the LLC, BE Louisiana LLC, Cedar Brakes I, Commission’s eLibrary system by Docket Numbers: ER12–893–000. clicking on the links or querying the L.L.C., Utility Contract Funding, L.L.C., Applicants: Dominion Energy Salem docket number. Central Power & Lime LLC, Cedar Harbor, LLC. Brakes II, L.L.C., J.P. Morgan Description: Compliance Filing— Any person desiring to intervene or Commodities Canada Corporation, BE Designation of Filer to be effective protest in any of the above proceedings Allegheny LLC, BE Alabama LLC. 1/25/2012. must file in accordance with Rules 211 Description: Notice of Non-Material Filed Date: 1/25/12. and 214 of the Commission’s Change in Status of BE Alabama LLC, et Accession Number: 20120125–5188. Regulations (18 CFR 385.211 and al. Comments Due: 5 p.m. ET 2/15/12. 385.214) on or before 5 pm Eastern time Filed Date: 1/26/12. on the specified comment date. Protests Accession Number: 20120126–5035. Docket Numbers: ER12–894–000. Comments Due: 5 p.m. ET 2/16/12. Applicants: Southwest Power Pool, may be considered, but intervention is Inc. necessary to become a party to the Docket Numbers: ER10–2432–001; Description: 2014R2 City of proceeding. ER10–2435–001; ER10–2440–001; Lindsborg, KS NITSA NOA to be ER10–2442–001; ER10–2443–001; eFiling is encouraged. More detailed effective 12/1/2011. ER10–2444–001; ER10–2446–001; information relating to filing Filed Date: 1/25/12. ER10–2447–001; ER10–2449–001. requirements, interventions, protests, Accession Number: 20120125–5194. Applicants: York Generation service, and qualifying facilities filings Comments Due: 5 p.m. ET 2/15/12. Company LLC, Lowell Cogeneration can be found at: http://www.ferc.gov/ Company Limited Partnership, Docket Numbers: ER12–895–000. docs-filing/efiling/filing-req.pdf. For Applicants: Minco Wind Dartmouth Power Associates Limited other information, call (866) 208–3676 Interconnection Services, LLC. Partnership, Camden Plant Holding, (toll free). For TTY, call (202) 502–8659. L.L.C., Pedricktown Cogeneration Description: Minco Wind Company LP, Elmwood Park Power Interconnection Services, LLC MBR Dated: January 26, 2012. LLC, Newark Bay Cogeneration Application to be effective 3/15/2012. Nathaniel J. Davis, Sr., Partnership, L.P, Power City Partners, Filed Date: 1/25/12. Deputy Secretary. L.P., Bayonne Plant Holding, L.L.C. Accession Number: 20120125–5211. [FR Doc. 2012–2426 Filed 2–2–12; 8:45 am] Comments Due: 5 p.m. ET 2/15/12. Description: Bayonne Plant Holding, BILLING CODE 6717–01–P L.L.C., et al.—Supplement to Updated Docket Numbers: ER12–896–000.

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DEPARTMENT OF ENERGY use of eminent domain and how to main goal of the scoping process is to participate in the Commission’s focus the analysis in the EA on Federal Energy Regulatory proceedings. It is also available for important environmental issues. By this Commission viewing on the FERC Web site notice, the Commission requests public [Docket No. CP12–36–000] (www.ferc.gov). comments on the scope of the issues to address in the EA. We will consider all Summary of the Proposed Project Tres Palacios Gas Storage, L.L.C.; filed comments during the preparation Notice of Intent To Prepare an TPGS plans to construct, own, and of the EA. Environmental Assessment for the operate approximately 19.7 miles of 24- In the EA we will discuss Proposed Copano Plant Interconnect inch diameter pipeline, appurtenances, environmental affects that could occur Project and Request for Comments on and one interconnect and metering as a result of the construction and Environmental Issues station that connects the existing operation of the proposed Project, under Copano Energy Houston Central Plant in these general headings: The staff of the Federal Energy Colorado County, Texas to TPGS’ • Geology and soils; Regulatory Commission (FERC or existing pipeline system in Wharton • Land use and recreation; Commission) will prepare an County, Texas. The Copano Energy • Water resources, fisheries, and environmental assessment (EA) that will Houston Central Plant, which processes wetlands; discuss the environmental affects of the natural gas produced from Eagle Ford • Cultural resources; Copano Plant Interconnect Project Shale in southern Texas, would send • Vegetation and wildlife; (Project) proposed by Tres Palacios Gas refined natural gas to TPGS storage and • Air quality and noise; and Storage, L.L.C. (TPGS) in Colorado and wheeling facilities where it would either • Public safety. Wharton Counties, Texas. The be sent to the ten interstate and We will also evaluate reasonable Commission will use this EA in its intrastate pipeline with which TPGS alternatives to the proposed Project or decision-making process to determine interconnects, or be stored in TPGS portions of the Project, and make whether the Project is in the public facilities for later delivery to any of recommendations on how to lessen or convenience and necessity. these pipelines for transportation to avoid impacts on the various resource This notice announces the opening of markets in the United States and areas. the scoping process the Commission Mexico. The EA will present our independent will use to gather input from the public The general location of the Project analysis of the issues. The EA will be and interested agencies on the Project. 1 facilities is shown in Appendix 1. available in the public record through Your input will help the Commission eLibrary (FERC’s records information staff determine what issues need to be Land Requirements for Construction system, see the Additional Information evaluated in the EA. Please note that the Construction of the Project would section of this Notice). To ensure we scoping period will close on February impact a total of approximately 227.4 have the opportunity to consider and 29, 2012. acres, including lands affected for the address your comments, please carefully You may submit comments in written pipeline construction, additional follow the instructions in the Public form. Further details on how to submit temporary workspaces and the Participation section. Depending on the written comments are in the Public aboveground interconnect and metering comments received during the scoping Participation section of this notice. site. Following construction, about 96.4 process, we may also publish and This notice is being sent to the acres would be maintained for distribute the EA to the public for an Commission’s current environmental permanent operation of the project’s allotted comment period. Comments on mailing list for this Project. State and facilities; the remaining acreage would the EA will be considered before we local government representatives should be restored and allowed to revert to make our recommendations to the notify their constituents of this former uses. About 97 percent of the Commission. proposed Project and encourage them to planned pipeline route parallels an With this notice, we are asking comment on their areas of concern. existing pipeline right-of-way. If you are a landowner receiving this agencies with jurisdiction by law and/ notice, a pipeline company The EA Process or special expertise with respect to the representative may contact you about The National Environmental Policy environmental issues of this project to the acquisition of an easement to Act (NEPA) requires the Commission to formally cooperate with us in the 3 construct, operate, and maintain the take into account the environmental preparation of the EA. Agencies that proposed facilities. The company would impacts that could result from an action would like to request cooperating seek to negotiate a mutually acceptable whenever it considers the issuance of a agency status should follow the agreement. However, if the Commission Certificate of Public Convenience and instructions for filing comments approves the project, that approval Necessity. The NEPA also requires us 2 provided under the Public Participation conveys with it the right of eminent to discover and address concerns the section of this notice. domain. Therefore, if easement public may have about proposals. This Consultations Under Section 106 of the negotiations fail to produce an process is referred to as ‘‘scoping.’’ The National Historic Preservation Act agreement, the pipeline company could In accordance with the Advisory initiate condemnation proceedings 1 The appendices referenced in this notice are not where compensation would be printed in the Federal Register. Copies of Council on Historic Preservation’s determined in accordance with state appendices were sent to all those receiving this implementing regulations for section notice in the mail and are available at www.ferc.gov 106 of the National Historic law. using the link called ‘‘eLibrary’’ or from the TPGS provided landowners with a Commission’s Public Reference Room, 888 First Preservation Act, we are using this fact sheet prepared by the FERC entitled Street NE., Washington, DC 20426, or call (202) notice to initiate consultation with the ‘‘An Interstate Natural Gas Facility on 502–8371. For instructions on connecting to eLibrary, refer to the last page of this notice. 3 The Council on Environmental Quality My Land? What Do I Need To Know?’’ 2 ‘‘We’’, ‘‘us’’, and ‘‘our’’ refer to the regulations addressing cooperating agency This fact sheet addresses a number of environmental staff of the Commission’s Office of responsibilities are at Title 40, Code of Federal typically-asked questions, including the Energy Projects. Regulations, § 1501.6.

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Texas State Historic Preservation Office users must first create an account by site at www.ferc.gov using the (SHPO), and to solicit their views and clicking on ‘‘eRegister.’’ You must select ‘‘eLibrary’’ link. Click on the eLibrary those of other government agencies, the type of filing you are making. If you link, click on ‘‘General Search’’ and interested Indian tribes, and the public are filing a comment on a particular enter the docket number, excluding the on the Project’s potential effects on project, please select ‘‘Comment on a last three digits, in the Docket Number historic properties.4 We will define the Filing’’; or field; i.e., CP12–36). Be sure you have project-specific Area of Potential Effects (3) You may file a paper copy of your selected an appropriate date range. For (APE) in consultation with the SHPO as comments by mailing them to the assistance, please contact FERC Online the Project develops. On natural gas following address: Kimberly D. Bose, Support at [email protected] facility projects, the APE at a minimum Secretary, Federal Energy Regulatory or toll free at (866) 208–3676, or for encompasses all areas subject to ground Commission, 888 First Street NE., Room TTY, contact (202) 502–8659. The disturbance (examples include 1A, Washington, DC 20426. eLibrary link also provides access to the construction right-of-way, contractor/ Environmental Mailing List texts of formal documents issued by the pipe storage yards, compressor stations, Commission, such as orders, notices, and access roads). Our EA for this The environmental mailing list and rulemakings. Project will document our findings on includes federal, state, and local In addition, the Commission now the impacts on historic properties and government representatives and offers a free service called eSubscription summarize the status of consultations agencies; elected officials; which allows you to keep track of all under section 106. environmental and public interest formal issuances and submittals in groups; Indian tribes; other interested Public Participation specific dockets. This can reduce the parties; and local libraries and amount of time you spend researching You can make a difference by newspapers. This list also includes all proceedings by automatically providing providing us with your specific affected landowners (as defined in the you with notification of these filings, comments or concerns about the Project. Commission’s regulations) who are document summaries and direct links to Your comments should focus on the potential right-of-way grantors, whose the documents. Go to www.ferc.gov/ potential environmental effects, property may be used temporarily for esubscribenow.htm. reasonable alternatives, and measures to Project purposes, or who own homes Finally, public meetings or site visits avoid or lessen environmental impacts. within certain distances of aboveground will be posted on the Commission’s The more specific your comments, the facilities, and anyone who submits calendar located at www.ferc.gov/ more useful they will be. To ensure that comments on the Project. We will EventCalendar/EventsList.aspx along your comments are timely and properly update the environmental mailing list as with other related information. recorded, please send in your comments the analysis proceeds to ensure that we so that they will be received in send the information related to this Dated: January 30, 2012. Washington, DC on or before February environmental review to all individuals, Kimberly D. Bose, 29, 2012. organizations, and government entities Secretary. For your convenience, there are three interested in and/or potentially affected [FR Doc. 2012–2450 Filed 2–2–12; 8:45 am] methods which you can use to submit by the proposed Project. BILLING CODE 6717–01–P your comments to the Commission. In If we publish and distribute the EA, all instances please reference the Project copies will be sent to the environmental docket number (CP12–36–000) with mailing list for public review and DEPARTMENT OF ENERGY your submission. The Commission comment. If you would prefer to receive encourages electronic filing of a paper copy of the document instead of Federal Energy Regulatory comments and has expert staff available the CD version or would like to remove Commission to assist you at (202) 502–8258 or your name from the mailing list, please [Project No. 13123–002—California] [email protected]. return the attached Information Request (1) You may file your comments (Appendix 2). Eagle Crest Energy Company; Notice electronically by using the eComment of Availability of the Final Becoming an Intervenor feature, which is located on the Environmental Impact Statement for Commission’s Web site at www.ferc.gov In addition to involvement in the EA the Eagle Mountain Pumped Storage under the link to Documents and scoping process, you may want to Hydroelectric Project Filings. This is a method for interested become an ‘‘intervenor,’’ which is an persons to submit brief, text-only official party to the Commission’s In accordance with the National comments on a project; proceeding. Intervenors play a more Environmental Policy Act of 1969 and (2) You may file your comments formal role in the process and are able the Federal Energy Regulatory electronically by using the eFiling to file briefs, appear at hearings, and be Commission (Commission or FERC) feature, which is located on the heard by the courts if they choose to regulations contained in the Code of Commission’s Web site at appeal the Commission’s final ruling. Federal Regulations (CFR)(18 CFR part (www.ferc.gov) under the link to An intervenor formally participates in 380 [FERC Order No. 486,52 FR 47897]), Documents and Filings. With eFiling the proceeding by filing a request to the Office of Energy Projects has you can provide comments in a variety intervene. Instructions for becoming an reviewed the application for license for of formats by attaching them as a file intervenor are in the User’s Guide under the Eagle Mountain Pumped Storage with your submission. New eFiling the ‘‘e-filing’’ link on the Commission’s Hydroelectric Project (FERC No. 13123), Web site. located on the site of the largely inactive 4 The Advisory Council on Historic Preservation’s Eagle Mountain mine in Riverside regulations are at Title 36, Code of Federal Additional Information County, California, near the town of Regulations, Part 800. Those regulations define Additional information about the Desert Center and prepared a final historic properties as any prehistoric or historic project is available from the district, site, building, structure, or object included environmental impact statement (EIS) in or eligible for inclusion in the National Register Commission’s Office of External Affairs, for the project. The project would of Historic Places. at (866) 208–FERC or on the FERC Web occupy 675.63 acres of Federal lands

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administered by the U.S. Bureau of holder to perform any land-disturbing access the document. For assistance, Land Management. activities or otherwise enter upon lands contact FERC Online Support. The final EIS contains staff’s analysis or waters owned by others without the Dated: January 30, 2012. of the applicant’s proposal and the owners’ express permission. Kimberly D. Bose, alternatives for a licensee for the Eagle The proposed project would consist Secretary. Mountain Pumped Storage of: (1) 10 RivGenTM hydrokinetic tidal Hydroelectric Project. The final EIS devices each measuring 39 feet long, [FR Doc. 2012–2452 Filed 2–2–12; 8:45 am] documents the views of governmental 4.9 feet high, and 4.9 feet wide, and BILLING CODE 6717–01–P agencies, non-governmental consisting of a bottom support frame organizations, affected Indian tribes, the and a single 60-kilowatt turbine- DEPARTMENT OF ENERGY public, the license applicant, and generator unit for a total capacity of 600 Commission staff. kilowatts; (2) a new 866-foot-long, 13- Federal Energy Regulatory A copy of the final EIS is available for kilovolt subsea transmission cable; (3) a Commission review at the Commission in the Public new 208-foot-long or 540-foot-long, 13- Reference Room or may be viewed on kilovolt transmission line connecting to [Project No. 14330–000] the Commission’s Web site at http:// an existing distribution system; and (4) ORPC Maine, LLC; Notice of www.ferc.gov using the ‘‘eLibrary’’ link. appurtenant facilities. The estimated Preliminary Permit Application Enter the docket number excluding the annual generation of the proposed Accepted for Filing and Soliciting last three digits in the docket number project would be 540 to 1,080 megawatt- Comments, Motions To Intervene, and field to access the document. For hours. Competing Applications assistance, contact FERC Online Applicant Contact: Herbert C. Support at Scribner, Director of Environmental On December 2, 2011, ORPC Maine, [email protected] or toll- Affairs, Ocean Renewable Power LLC filed an application for a free at 1–866–208–3676, or for TTY, Company, LLC, 120 Exchange Street, preliminary permit, pursuant to section (202) 502–8659. Suite 508, Portland, ME 04101; phone: 4(f) of the Federal Power Act (FPA), You may also register online at (207) 772–7707. proposing to study the feasibility of the http://www.ferc.gov/docs-filing/ FERC Contact: Brandon Cherry; Treat Island Tidal Energy Project to be esubscription.asp to be notified via phone: (202) 502–8328. located in Passamaquoddy Bay, between email of new filings and issuances Deadline for filing comments, motions the Town of Eastport and Treat Island, related to this or other pending projects. to intervene, competing applications Washington County, Maine. The sole For assistance, contact FERC Online (without notices of intent), or notices of purpose of a preliminary permit, if Support. intent to file competing applications: issued, is to grant the permit holder For further information, please 60 days from the issuance of this notice. priority to file a license application contact Kenneth Hogan at (202) 502– Competing applications and notices of during the permit term. A preliminary 8434 or at [email protected]. intent must meet the requirements of permit does not authorize the permit Dated: January 30, 2012. 18 CFR 4.36. Comments, motions to holder to perform any land-disturbing Kimberly D. Bose, intervene, notices of intent, and activities or otherwise enter upon lands Secretary. competing applications may be filed or waters owned by others without the electronically via the Internet. See owners’ express permission. [FR Doc. 2012–2453 Filed 2–2–12; 8:45 am] 18 CFR 385.2001(a)(1)(iii) and the The proposed project would consist BILLING CODE 6717–01–P instructions on the Commission’s Web of: (1) 15 TidGenTM hydrokinetic tidal site http://www.ferc.gov/docs-filing/ devices each measuring 98 feet long, DEPARTMENT OF ENERGY efiling.asp. Commenters can submit 17 feet high, and 17 feet wide, and brief comments up to 6,000 characters, consisting of a bottom support frame Federal Energy Regulatory without prior registration, using the and a single 150-kilowatt turbine- Commission eComment system at http:// generator unit for a total capacity of 2.25 www.ferc.gov/docs-filing/ megawatts; (2) a new 1,742-foot-long, [Project No. 14331–000] ecomment.asp. You must include your 13-kilovolt subsea transmission cable; ORPC Maine, LLC; Notice of name and contact information at the end (3) a new 341-foot-long, 13-kilovolt Preliminary Permit Application of your comments. For assistance, transmission line connecting to an Accepted for Filing and Soliciting please contact FERC Online Support at existing distribution system; and (4) Comments, Motions To Intervene, and [email protected] or toll appurtenant facilities. The estimated Competing Applications free at 1–(866) 208–3676, or for TTY, annual generation of the proposed (202) 502–8659. Although the project would be 4,050 to 5,625 On December 2, 2011, ORPC Maine, Commission strongly encourages megawatt-hours. LLC filed an application for a electronic filing, documents may also be Applicant Contact: Herbert C. preliminary permit, pursuant to section paper-filed. To paper-file, mail an Scribner, Director of Environmental 4(f) of the Federal Power Act (FPA), original and seven copies to: Kimberly Affairs, Ocean Renewable Power proposing to study the feasibility of the D. Bose, Secretary, Federal Energy Company, LLC, 120 Exchange Street, Lubec Narrows Tidal Energy Project to Regulatory Commission, 888 First Street Suite 508, Portland, ME 04101; phone: be located in Lubec Narrows and NE., Washington, DC 20426. (207) 772–7707. Johnson Bay, near the Town of Lubec, More information about this project, FERC Contact: Brandon Cherry; Washington County, Maine. The sole including a copy of the application, can phone: (202) 502–8328. purpose of a preliminary permit, if be viewed or printed on the ‘‘eLibrary’’ Deadline for filing comments, motions issued, is to grant the permit holder link of Commission’s Web site at to intervene, competing applications priority to file a license application http://www.ferc.gov/docs-filing/ (without notices of intent), or notices of during the permit term. A preliminary elibrary.asp. Enter the docket number intent to file competing applications: 60 permit does not authorize the permit (P–14331) in the docket number field to days from the issuance of this notice.

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Competing applications and notices of restricted service list should contain the Sandy Vasquez or Representative, intent must meet the requirements of names of persons on the service list Southern Sierra Miwuk Nation, P.O. 18 CFR 4.36. Comments, motions to who, in the judgment of the decisional Box 1200, Mariposa, CA 95338. intervene, notices of intent, and authority establishing the list, are active Amanda Blosser or Representative, competing applications may be filed participants with respect to the phase or Office of Historic Preservation, electronically via the Internet. See issue in the proceeding for which the Department of Parks and Recreation, 18 CFR 385.2001(a)(1)(iii) and the list is established. 1725 23rd Street, Suite 100, instructions on the Commission’s Web The Commission staff is consulting Sacramento, CA 95816–7100. site http://www.ferc.gov/docs-filing/ with the California State Historic Rhonda Morningstar Pope or efiling.asp. Commenters can submit Preservation Officer (hereinafter, Representative, Buena Vista brief comments up to 6,000 characters, California SHPO), and the Advisory Rancheria, P.O. Box 162283, without prior registration, using the Council on Historic Preservation Sacramento, CA 95816. eComment system at http:// (hereinafter, Council) pursuant to the Robert Nees, or Representative, Turlock www.ferc.gov/docs-filing/ Council’s regulations, 36 CFR part 800, Irrigation District, P.O. Box 949, ecomment.asp. You must include your implementing section 106 of the Turlock, CA 95381. name and contact information at the end National Historic Preservation Act, as James Barnes or Representative, Bureau of your comments. For assistance, amended, (16 U.S.C. 470 f), to prepare of Land Management, Mother Load please contact FERC Online Support at and execute a programmatic agreement Field Office, 5152 Hillsdale Circle, El [email protected] or toll for managing properties included in, or Dorado Hills, CA 95762 free at 1–(866) 208–3676, or for TTY, eligible for inclusion in, the National Reba Fuller or Representative, Central (202) 502–8659. Although the Register of Historic Places at the Don Sierra Me-Wuk Cultural and Historic Commission strongly encourages Pedro Hydroelectric Project No. 2299. Preservation Committee, P.O. Box electronic filing, documents may also be The programmatic agreement, when 699, Tuolumne, CA 95379. paper-filed. To paper-file, mail an executed by the Commission and the Ron Goode or Representative, North original and seven copies to: Kimberly California SHPO would satisfy the Fork Mono Tribe, 13396 Tollhouse D. Bose, Secretary, Federal Energy Commission’s section 106 Road, Clovis, CA 93611. Regulatory Commission, 888 First Street responsibilities for all individual Stephen Bowes or Representative, NE., Washington, DC 20426. undertakings carried out in accordance National Park Service, 111 Jackson More information about this project, with the license until the license expires Street, Suite 700, Oakland, CA 94607. including a copy of the application, can or is terminated (36 CFR 800.13[e]). The Lloyd Mathiesen or Representative, be viewed or printed on the ‘‘eLibrary’’ Commission’s responsibilities pursuant Chicken Ranch Rancheria of Me-Wuk link of Commission’s Web site at to section 106 for the Don Pedro Indians, P.O. Box 1159, Jamestown, Hydroelectric Project would be fulfilled http://www.ferc.gov/docs-filing/ CA 95327. through the programmatic agreement, elibrary.asp. Enter the docket number Silvia Burley or Representative, which the Commission proposes to draft (P–14330) in the docket number field to California Valley Miwok Tribe, 10601 in consultation with certain parties access the document. For assistance, N. Escondido Place, Stockton, CA listed below. The executed contact FERC Online Support. 95212. programmatic agreement would be Greg Dias, or Representative, Modesto Dated: January 30, 2012. incorporated into any Order issuing a Irrigation District, P.O. Box 4060, Kimberly D. Bose, license. Modesto, CA 95352. Secretary. Turlock Irrigation District and Modesto Irrigation District, as the Reggie Lewis or Representative, [FR Doc. 2012–2454 Filed 2–2–12; 8:45 am] Picayune Rancheria of the BILLING CODE 6717–01–P licensees for the Don Pedro Hydroelectric Project No. 2299, and the Chukchansi Indians, 46575 Road, Central Sierra Me-Wuk, Tuolumne Band 417#A, Coarsegold, CA 93614. DEPARTMENT OF ENERGY of Me-Wuk Indians, North Fork Mono Any person on the official service list Tribe, Southern Sierra Miwuk Nation, for the above-captioned proceeding may Federal Energy Regulatory Chicken Ranch Rancheria of Me-Wuk request inclusion on the restricted Commission Indians, Buena Vista Rancheria, service list, or may request that a California Valley Miwok Tribe, restricted service list not be established, [Project No. 2299–075] Picayune Rancheria of the Chukchansi by filing a motion to that effect within Turlock Irrigation District, Modesto Indians, National Park Service, and 15 days of this notice date. In a request Irrigation District; Notice of Proposed Bureau of Land Management have for inclusion, please identify the Restricted Service List for a expressed an interest in this preceding reason(s) why there is an interest to be Programmatic Agreement for and are invited to participate in included. Also please identify any Managing Properties Included in or consultations to develop the concerns about historic properties, Eligible for Inclusion in the National programmatic agreement. including Traditional Cultural Register of Historic Places For purposes of commenting on the Properties. If historic properties are to programmatic agreement, we propose to be identified within the motion, please Rule 2010 of the Federal Energy restrict the service list for the use a separate page, and label it NON- Regulatory Commission’s (Commission) aforementioned project as follows: PUBLIC Information. Rules of Practice and Procedure John Eddins or Representative, Office of Any such motions may be filed provides that, to eliminate unnecessary Planning and Review, Advisory electronically via the Internet. See 18 expense or improve administrative Council on Historic Preservation, CFR 385.2001(a)(1)(iii) and the efficiency, the Secretary may establish a 1100 Pennsylvania Ave. NW, Suite instructions on the Commission’s Web restricted service list for a particular 809, Washington, D.C. 20004. site (http://www.ferc.gov/docs-filing/ phase or issue in a proceeding.1 The Kevin Day or Representative, Tuolumne ferconline.asp) under the ‘‘eFiling’’ link. Band of Me-Wuk Indians, P.O. Box For a simpler method of submitting text 1 18 CFR 385.2010. 699, Tuolumne, CA 95379. only comments, click on ‘‘eComment.’’

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For assistance, please contact FERC long-term power sales during the most staff contacted these entities to remind Online Support at recent calendar quarter.1 them of their regulatory obligations.6 [email protected]; call toll- 2. Commission staff’s review of the Despite these reminders, the eight free at (866) 208–3676; or, for TTY, Electric Quarterly Report submittals public utilities listed in the caption of contact (202) 502–8659. Although the indicates that eight public utilities with this order have not met these Commission strongly encourages authority to sell electric power at obligations. Accordingly, this order electronic filing, documents may also be market-based rates have failed to file notifies these public utilities that their paper-filed. To paper-file, mail an their Electric Quarterly Reports. This market-based rate authorizations will be original and seven copies to: Kimberly order notifies these public utilities that revoked unless they comply with the D. Bose, Secretary, Federal Energy their market-based rate authorizations Commission’s requirements within 15 Regulatory Commission, 888 First Street will be revoked unless they comply days of the issuance of this order. NE., Washington, DC 20426. Please put with the Commission’s requirements 7. In the event that any of the above- the project number (P–2299–075) on the within 15 days of the date of issuance captioned market-based rate sellers has first page of the filing. of this order. already filed its Electric Quarterly 3. In Order No. 2001, the Commission Reports in compliance with the If no such motions are filed, the stated that, Commission’s requirements, its restricted service list will be effective at [i]f a public utility fails to file a[n] inclusion herein is inadvertent. Such the end of the 15 day period. Otherwise, Electric Quarterly Report (without an market-based rate seller is directed, a further notice will be issued ruling on appropriate request for extension), or within 15 days of the date of issuance any motion or motions filed within the fails to report an agreement in a report, of this order, to make a filing with the 15 day period. that public utility may forfeit its market- Commission identifying itself and Dated: January 27, 2012. based rate authority and may be providing details about its prior filings Kimberly D. Bose, required to file a new application for that establish that it complied with the Secretary. market-based rate authority if it wishes Commission’s Electric Quarterly Report [FR Doc. 2012–2379 Filed 2–2–12; 8:45 am] to resume making sales at market-based filing requirements. rates.2 8. If any of the above-captioned BILLING CODE 6717–01–P 4. The Commission further stated that, market-based rate sellers do not wish to [o]nce this rule becomes effective, the continue having market-based rate DEPARTMENT OF ENERGY requirement to comply with this rule authority, they may file a notice of will supersede the conditions in public cancellation with the Commission Federal Energy Regulatory utilities’ market-based rate pursuant to section 205 of the FPA to Commission authorizations, and failure to comply cancel their market-based rate tariff. with the requirements of this rule will The Commission orders: Order on Intent To Revoke Market- subject public utilities to the same (A) Within 15 days of the date of Based Rate Authority consequences they would face for not issuance of this order, each public satisfying the conditions in their rate utility listed in the caption of this order Issued January 31, 2012. authorizations, including possible shall file with the Commission all revocation of their authority to make delinquent Electric Quarterly Reports. If Before Commissioners: Jon Wellinghoff, a public utility subject to this order fails Chairman; Philip D. Moeller, John R. wholesale power sales at market-based 3 to make these filings, the Commission Norris, and Cheryl A. LaFleur. rates. 5. Pursuant to these requirements, the will revoke that public utility’s In the matter of: ER02–2001–017, Electric authority to sell power at market-based Quarterly Reports, ER07–491–000, Acacia Commission has revoked the market- Energy, Inc., ER07–155–000, LBPC Power, based rate tariffs of several market-based rates and will terminate its electric Inc., ER01–2311–000, Nordic Energy, L.L.C., rate sellers that failed to submit their market-based rate tariff. The Secretary is ER03–888–000, Nordic Marketing of Illinois, Electric Quarterly Reports.4 hereby directed, upon expiration of the L.L.C., ER04–264–000, Nordic Marketing of 6. As noted above, Commission staff’s filing deadline in this order, to promptly Michigan, L.L.C., ER00–774–000, Nordic review of the Electric Quarterly Report issue a notice, effective on the date of Marketing, L.L.C., ER07–594–000, Pirin submittals identified eight public Solutions, Inc., ER95–581–000, Tennessee utilities with authority to sell power at LBPC Power, Inc.—2010, Quarter 1 Power Company. market-based rates that failed to file Nordic Energy, L.L.C.—2010, Quarter 2 Electric Quarterly Reports.5 Commission Nordic Marketing of Illinois, L.L.C.—2010, 1. Section 205 of the Federal Power Quarter 2 Nordic Marketing of Michigan, L.L.C.—2010, Act (FPA), 16 U.S.C. 824d (2006), and 1 Revised Public Utility Filing Requirements, 18 CFR part 35 (2011), require, among Quarter 2 Order No. 2001, FERC Stats. & Regs. ¶ 31,127, reh’g Nordic Marketing, L.L.C.—2010, Quarter 2 denied, Order No. 2001–A, 100 FERC ¶ 61,074, other things, that all rates, terms, and Pirin Solutions, Inc.—2010, Quarter 1 conditions of jurisdictional services be reconsideration and clarification denied, Order No. 2001–B, 100 FERC ¶ 61,342, order directing filings, Tennessee Power Company—2010, Quarter 1 filed with the Commission. In Order No. Order No. 2001–C, 101 FERC ¶ 61,314 (2002), order 6 See Acacia Energy, Inc., Docket No. ER07–491– 2001, the Commission revised its public directing filings, Order No. 2001–D, 102 FERC 000 (Aug. 18, 2011) (unpublished letter order); utility filing requirements and ¶ 61,334 (2003). LBPC Power, Inc., Docket No. ER07–155–000 (Aug. established a requirement for public 2 Order No. 2001, FERC Stats & Regs. ¶ 31,127 at 18, 2011) (unpublished letter order); Nordic Energy, P 222. L.L.C., Docket No. ER01–2311–000 (Aug. 18, 2011) utilities, including power marketers, to (unpublished letter order); Nordic Marketing of 3 Id. P 223. file Electric Quarterly Reports Illinois, L.L.C., Docket No. ER03–888–000 (Aug. 18, 4 See, e.g., Electric Quarterly Reports, 75 FR summarizing the contractual terms and 2011) (unpublished letter order); Nordic Marketing 63,468 (Oct. 15, 2010); Electric Quarterly Reports, of Michigan, L.L.C., Docket No. ER04–264–000 conditions in their agreements for all 75 FR 45,111 (Aug. 2, 2010). (Aug. 18, 2011) (unpublished letter order); Nordic jurisdictional services (including 5 According to the Commission’s records, the Marketing, L.L.C., Docket No. ER00–774–000 (Aug. market-based power sales, cost-based companies subject to this order last filed their 18, 2011) (unpublished letter order); Pirin power sales, and transmission service) Electric Quarterly Reports in the quarters and years Solutions, Inc., Docket No. ER07–594–000 (Aug. 18, shown below: 2011) (unpublished letter order); Tennessee Power and providing transaction information Respondent and Last Quarter Filed Company, Docket No. ER95–581–000 (Aug. 18, (including rates) for short-term and Acacia Energy, Inc.—2010, Quarter 1 2011) (unpublished letter order).

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issuance, listing the public utilities ENVIRONMENTAL PROTECTION arrangements should be made for whose tariffs have been revoked for AGENCY deliveries of boxed information. failure to comply with the requirements Instructions: EPA’s policy is that all [EPA–HQ–OPPT–2012–0051; FRL–9335–8] of this order and the Commission’s comments received will be included in Electric Quarterly Report filing Certain New Chemicals; Receipt and the docket without change and may be requirements. Status Information made available on-line at http:// (B) The Secretary is hereby directed to www.regulations.gov, including any publish this order in the Federal AGENCY: Environmental Protection personal information provided, unless Register. Agency (EPA). the comment includes information ACTION: Notice. claimed to be Confidential Business By the Commission. Information (CBI) or other information Kimberly D. Bose, SUMMARY: Section 5 of the Toxic whose disclosure is restricted by statute. Secretary. Substances Control Act (TSCA) requires Do not submit information that you [FR Doc. 2012–2451 Filed 2–2–12; 8:45 am] any person who intends to manufacture consider to be CBI or otherwise BILLING CODE 6717–01–P (defined by statute to include import) a protected through regulations.gov or new chemical (i.e., a chemical not on email. The regulations.gov Web site is the TSCA Chemical Substances an ‘‘anonymous access’’ system, which DEPARTMENT OF ENERGY Inventory (TSCA Inventory)) to notify means EPA will not know your identity EPA and comply with the statutory or contact information unless you Federal Energy Regulatory provisions pertaining to the provide it in the body of your comment. Commission manufacture of new chemicals. Under If you send an email comment directly TSCA sections 5(d)(2) and 5(d)(3), EPA to EPA without going through [Docket No. IS12–88–000] is required to publish in the Federal regulations.gov, your email address will Register a notice of receipt of a be automatically captured and included Dixie Pipeline Company LLC; Notice of premanufacture notice (PMN) or an as part of the comment that is placed in Technical Conference application for a test marketing the docket and made available on the Internet. If you submit an electronic Take notice that the Commission will exemption (TME), and to publish in the Federal Register periodic status reports comment, EPA recommends that you convene a technical conference on include your name and other contact Tuesday, February 28, 2012, at 9 a.m. on the new chemicals under review and the receipt of notices of commencement information in the body of your (EDT), in a room to be designated at the comment and with any disk or CD–ROM offices of the Federal Energy Regulatory (NOC) to manufacture those chemicals. This document, which covers the period you submit. If EPA cannot read your Commission, 888 First Street NE., comment due to technical difficulties Washington, DC 20426.1 from January 2, 2012 to January 13, 2012, and provides the required notice and cannot contact you for clarification, The technical conference will address and status report, consists of the PMNs EPA may not be able to consider your all aspects of Dixie’s FERC Tariff No. pending or expired, and the NOC to comment. Electronic files should avoid 99.1.0, which cancels FERC Tariff No. manufacture a new chemical that the the use of special characters, any form 99.0.0 and modifies language regarding Agency has received under TSCA of encryption, and be free of any defects Injection Capacity Allocation under section 5 during this time period. or viruses. Item 70 ‘‘Proration,’’ as discussed in the Docket: All documents in the docket DATES: Commission’s Order issued on January Comments identified by the are listed in the docket index available 13, 2012.2 Dixie’s proposed revision specific PMN number or TME number, at http://www.regulations.gov. Although would affect the manner in which long- must be received on or before March 5, listed in the index, some information is haul shippers’ historical volumes are 2012. not publicly available, e.g., CBI or other used in allocating capacity during ADDRESSES: Submit your comments, information whose disclosure is periods of constraint. identified by docket identification (ID) restricted by statute. Certain other FERC conferences are accessible number EPA–HQ–OPPT–2012–0051, material, such as copyrighted material, under section 508 of the Rehabilitation and the specific PMN number or TME will be publicly available only in hard Act of 1973. For accessibility number for the chemical related to your copy. Publicly available docket accommodations please send an email comment, by one of the following materials are available electronically at methods: http://www.regulations.gov, or, if only to [email protected] or call toll free • (866) 208–3372 (voice) or (202) 502– Federal eRulemaking Portal: http:// available in hard copy, at the OPPT 8659 (TTY), or send a fax to (202) 208– www.regulations.gov. Follow the on-line Docket. The OPPT Docket is located in instructions for submitting comments. the EPA Docket Center (EPA/DC) at Rm. 2106 with the required • accommodations. Mail: Document Control Office 3334, EPA West Bldg., 1301 (7407M), Office of Pollution Prevention All interested persons are permitted Constitution Ave. NW., Washington, and Toxics (OPPT), Environmental to attend. For further information please DC. The EPA/DC Public Reading Room Protection Agency, 1200 Pennsylvania contact Jenifer Lucas at (202) 502–8362 hours of operation are 8:30 a.m. to 4:30 Ave. NW., Washington, DC 20460–0001. or email [email protected]. p.m., Monday through Friday, excluding • Hand Delivery: OPPT Document legal holidays. The telephone number of Dated: January 26, 2012. Control Office (DCO), EPA East Bldg., the EPA/DC Public Reading Room is Kimberly D. Bose, Rm. 6428, 1201 Constitution Ave. NW., (202) 566–1744, and the telephone Secretary. Washington, DC. The DCO is open from number for the OPPT Docket is (202) [FR Doc. 2012–2385 Filed 2–2–12; 8:45 am] 8 a.m. to 4 p.m., Monday through 566–0280. Docket visitors are required BILLING CODE 6717–01–P Friday, excluding legal holidays. The to show photographic identification, telephone number for the DCO is (202) pass through a metal detector, and sign 1 Dixie Pipeline Company has changed its name 564–8930. Such deliveries are only the EPA visitor log. All visitor bags are to Dixie Pipeline Company LLC. accepted during the DCO’s normal processed through an X-ray machine 2 Dixie Pipeline Co., 138 FERC ¶ 61,022 (2012). hours of operation, and special and subject to search. Visitors will be

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provided an EPA/DC badge that must be complete version of the comment that go to: http://www.epa.gov/opptintr/ visible at all times in the building and includes information claimed as CBI, a newchems/pubs/inventory.htm. Anyone returned upon departure. copy of the comment that does not who plans to manufacture or import a FOR FURTHER INFORMATION CONTACT: For contain the information claimed as CBI new chemical substance for a non- technical information contact: Bernice must be submitted for inclusion in the exempt commercial purpose is required Mudd, Information Management public docket. Information so marked by TSCA section 5 to provide EPA with Division (7407M), Office of Pollution will not be disclosed except in a PMN, before initiating the activity. Prevention and Toxics, Environmental accordance with procedures set forth in Section 5(h)(1) of TSCA authorizes EPA Protection Agency, 1200 Pennsylvania 40 CFR part 2. to allow persons, upon application, to Ave. NW., Washington, DC 20460–0001; 2. Tips for preparing your comments. manufacture (includes import) or telephone number: (202) 564–8951; fax When submitting comments, remember process a new chemical substance, or a number: (202) 564–8955; email address: to: chemical substance subject to a [email protected]. i. Identify the document by docket ID significant new use rule (SNUR) issued number and other identifying under TSCA section 5(a), for ‘‘test For general information contact: The information (subject heading, Federal TSCA–Hotline, ABVI–Goodwill, 422 marketing’’ purposes, which is referred Register date and page number). to as a test marketing exemption, or South Clinton Ave., Rochester, NY ii. Follow directions. The Agency may TME. For more information about the 14620; telephone number: (202) 554– ask you to respond to specific questions requirements applicable to a new 1404; email address: TSCA– or organize comments by referencing a chemical go to: http://ww.epa.gov/opt/ [email protected]. Code of Federal Regulations (CFR) part newchems. SUPPLEMENTARY INFORMATION: or section number. iii. Explain why you agree or disagree; Under TSCA sections 5(d)(2) and I. General Information suggest alternatives and substitute 5(d)(3), EPA is required to publish in A. Does this action apply to me? language for your requested changes. the Federal Register a notice of receipt iv. Describe any assumptions and of a PMN or an application for a TME This action is directed to the public provide any technical information and/ and to publish in the Federal Register in general. As such, the Agency has not or data that you used. periodic status reports on the new attempted to describe the specific v. If you estimate potential costs or chemicals under review and the receipt entities that this action may apply to. burdens, explain how you arrived at of NOCs to manufacture those Although others may be affected, this your estimate in sufficient detail to chemicals. This status report, which action applies directly to the submitter allow for it to be reproduced. covers the period from January 2, 2012 of the PMNs addressed in this action. If vi. Provide specific examples to to January 13, 2012, consists of the you have any questions regarding the illustrate your concerns and suggest PMNs pending or expired, and the applicability of this action to a alternatives. NOCs to manufacture a new chemical particular entity, consult the person vii. Explain your views as clearly as that the Agency has received under listed under FOR FURTHER INFORMATION possible, avoiding the use of profanity TSCA section 5 during this time period. CONTACT. or personal threats. B. What should I consider as I prepare viii. Make sure to submit your III. Receipt and Status Reports my comments for EPA? comments by the comment period deadline identified. In Table I. of this unit, EPA provides 1. Submitting CBI. Do not submit this the following information (to the extent information to EPA through II. Why is EPA taking this action? that such information is not claimed as regulations.gov or email. Clearly mark EPA classifies a chemical substance as CBI) on the PMNs received by EPA the part or all of the information that either an ‘‘existing’’ chemical or a during this period: The EPA case you claim to be CBI. For CBI ‘‘new’’ chemical. Any chemical number assigned to the PMN, the date information in a disk or CD–ROM that substance that is not on EPA’s TSCA the PMN was received by EPA, the you mail to EPA, mark the outside of the Inventory is classified as a ‘‘new projected end date for EPA’s review of disk or CD–ROM as CBI and then chemical,’’ while those that are on the the PMN, the submitting manufacturer/ identify electronically within the disk or TSCA Inventory are classified as an importer, the potential uses identified CD–ROM the specific information that ‘‘existing chemical.’’ For more by the manufacturer/importer in the is claimed as CBI. In addition to one information about the TSCA Inventory PMN, and the chemical identity.

TABLE I—20 PMNS RECEIVED FROM 01/02/2012 TO 01/13/2012

Projected no- Case No. Received date tice end date Manufacturer/importer Use Chemical

P–12–0130 01/03/2012 04/01/2012 CBI ...... (G) Urethane coating ...... (S) Propenoic acid, 3-hydroxy-2-(hydroxymethyl) -2- methyl-, polymer with hydrazine, .alpha.-hydro- .omega.-hydroxypoly[oxy (methyl-1,2-ethanediyl)] and 1,1′-methylenebis (4- isocyanatocyclohexane], compound with N,N -diethylethanamine

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TABLE I—20 PMNS RECEIVED FROM 01/02/2012 TO 01/13/2012—Continued

Projected no- Case No. Received date tice end date Manufacturer/importer Use Chemical

P–12–0131 01/03/2012 04/01/2012 CBI ...... (S) Industrial polymer manu- (S) 3-hydroxy-2- facture for coatings. (hydroxymethyl)- 2- methylpropanoic acid polymer with hydrazine, .alpha.- hydro-.omega.-hydroxypoly (oxy-1,4-butanediyl) and 5- isocyanato-1 -(isocyanatomethyl)- 1,3,3- trimethylcyclohexane compound with N,N -diethylethanamine P–12–0132 01/03/2012 04/01/2012 CBI ...... (S) Industrial polymer manu- (S) Hexanedioic acid, polymer facture for coatings. with 2,2-dimethyl- 1,3- propanediol, 1,6- hexanediol, hydrazine, 3- hydroxy-2- (hydroxymethyl) -2-methylpropanoic acid and 1,1′-methylenebis [4- isocyanatocyclohexane], compound with N,N -diethylethanamine P–12–0133 01/03/2012 04/01/2012 CBI ...... (S) Coating for wind craft (S) 2-oxepanone, polymer wings. with 1,6- diisocyanatohexane, 2,2-dimethyl-1,3-propanediol and 2,2 ′-oxybis[ethanol]* P–12–0134 01/03/2012 04/01/2012 CBI ...... (S) Catalyst component for (S) Poly[oxy(methylaluminio)]* polymerization and oligomerizatinn. P–12–0135 01/03/2012 04/01/2012 Dow Chemical Company ...... (S) Hardener for epoxy ther- (G) Epoxy amine polymer mosetting coatings. P–12–0136 010/3/2012 04/01/2012 CBI ...... (G) Adhesive for rubber bond- (G) Nitrososilane ing. P–12–0137 01/04/2012 04/02/2012 Essential Industries ...... (S) A polymer in printing ap- (S) Hexanedioic acid, polymer plications; a polymer for with 2,2-dimethyl-1, 3- pigment and or ink disper- propanediol, 1,2- sions. ethanediamine, 3-hydroxy- 2- (hydroxymethyl)-2- methylpropanoic acid and 1,1′-methylenebis [4- isocyanatocyclohexane], diethylamine-blocked, compds. with triethylamine P–12–0138 01/05/2012 04/03/2012 CBI ...... (G) Raw material for industry (G) Hydroxy phenyl fatty acids P–12–0139 01/04/2012 04/02/2012 CBI ...... (G) Fluid used during oil re- (S) 1-octene, manufacture of, covery. by-products from, distillation residues P–12–0140 01/05/2012 04/03/2012 CBI ...... (G) Scale control function ...... (G) Alkylphosphonate P–12–0141 01/05/2012 04/03/2012 CBI ...... (G) Control of hydrogen sul- (G) Triazine fide function. P–12–0142 01/05/2012 04/03/2012 CBI ...... (G) Corrosion control function (G) Quarternary ammonium chloride P–12–0143 01/05/2012 04/03/2012 CBI ...... (G) Crosslinking resin ...... (G) Poly(oxy-1,4-butanediyl), -hydro-hydroxy-, polymer with alkyldiisocyanates

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TABLE I—20 PMNS RECEIVED FROM 01/02/2012 TO 01/13/2012—Continued

Projected no- Case No. Received date tice end date Manufacturer/importer Use Chemical

P–12–0144 01/06/2012 04/04/2012 CBI ...... (G) Polymeric binder ...... (G) 2-propenoic acid, 2-methyl-, polymer with substitutedoxirane, ethenylbenzene, ethenylbenzene telomer with substitutedpropanoic acid 2-hdyroxy-3- [(2-methyl-1-oxo-2-propen-1-yl) oxy]propyl ester, 2-ethyl-2- (hydroxymethyl)-1,3- propanedoil and .alpha.-(2- methyl-1-oxo-2-propen-1-yl) -.omega.-(2- ethylhexyloxy)poly (oxy-1,2- ethanediyl), alkali metal salt P–12–0145 01/09/2012 04/07/2012 CBI ...... (G) Open, non-dispersive use (G) Styrene acryl copolymer P–12–0146 01/10/2012 04/08/2012 CBI ...... (G) Modifier for polymers ...... (S) Phosphinous amide, N- (1,2-dimethylpropyl) -N- (diphenylphosphino) -P,P- diphenyl- P–12–0147 01/10/2012 04/08/2012 CBI ...... (G) Chemical intermediate ..... (S) Phosphine, diphenyl- P–12–0148 01/10/2012 04/08/2012 CBI ...... (G) Scale control function ...... (G) Alkylphosphonate P–12–0149 01/12/2012 04/10/2012 CBI ...... (G) Destuctive use ...... (G) Brominated distillation bottoms P–12–0150 01/13/2012 04/11/2012 Croda Inc...... (G) Additive for lubricating oils (G) Isosorbide diester

In Table III. of this unit, EPA provides CBI) on the NOCs received by EPA the NOC was received by EPA, the the following information (to the extent during this period: The EPA case projected end date for EPA’s review of that such information is not claimed as number assigned to the NOC, the date the NOC, and chemical identity.

TABLE III—11 NOCS RECEIVED FROM 01/02/2012 TO 01/13/2012

Commence- Case No. Received date ment notice Chemical end date

P–09–0627 ...... 01/05/2012 12/19/2011 (G) Polyethylene glycol dicarylate, modified P–10–0116 ...... 01/11/2012 12/21/2011 (S) Nanofiber type: PR–19 (nanofiber grade: xt-lht) P–10–0401 ...... 01/05/2012 11/28/2011 (G) Styrene, copolymer with acrylic acid, salt with alkoxylated alkenylamine P–10–0452 ...... 01/06/2012 01/04/2012 (S) Poly[oxy(methyl-1,2-ethanediyl)], .alpha.,.alpha.′-[1,4- cyclohexanediylbis(methylene)]bis[.omega.-(2-aminoethylethoxy)- P–11–0085 ...... 01/11/2012 12/11/2011 (G) Polyfluoroalkylpropionic acid ethyl ester P–11–0449 ...... 01/12/2012 10/14/2011 (S) Glycerides, C16–18 and C18 unsaturated mono-and di-, polymers with a- [[[5-[[bis(2-hydroxyethyl)amino]carbonyl]amino]-2 (or 4)- methylphenyl]amino]carbonyl]-W-methoxypoly(oxy-1,2-ethanediyl), Bisphenol A-epichlorohydrin polymer linoleate, hydrazine, 3-hydroxy-2- (hydroxymethyl)-2-methylpropanoic acid, 5-isocyanato-1- (isocyanatomethyl)-1,3,3-trimethylcyclohexane and 1,1′-methylenebis [4- isocyantocyclohexane], compounds, with triethylamine P–11–0525 ...... 01/04/2012 12/08/2011 (G) Oxibiscarbomonocyclic acid, polymer wth oxibis[heteropolycyclic ketone], (alkyl(C=1-5)substituted) bis [alkane(c=2-6)amine],[halo(haloalkyl(c=1-5)) alkylidene]bis[aminocarbomonocyclic alcohol] and [[halo(haloalkyl(c=1-5)) alkylidene]]bis(hydroxycarbomonocycle)]bis[aminobenzamide] P–11–0535 ...... 01/13/2012 12/23/2011 (G) Carboxy functional polydimethylsiloxane P–11–0536 ...... 01/03/2012 12/23/2011 (G) Modified aminosiloxane P–11–0641 ...... 01/12/2012 01/11/2012 (S) 1,3-benzenediol, 4,4′-[[3-(1h-imidazol-1-yl)propyl]carbonimidoyl]bis- P–11–0648 ...... 01/05/2012 12/21/2011 (G) Substituted carbomoncycle, polymer with alkyl diol, bis[substituted carbomonocycle ester]

If you are interested in information List of Subjects Dated: January 24, 2012. that is not included in these tables, you Chandler Sirmons, Environmental protection, Chemicals, may contact EPA as described in Unit II. Hazardous substances, Imports, Notice Acting Director, Information Management to access additional non-CBI of commencement, Premanufacturer, Division, Office of Pollution Prevention and information that may be available. Reporting and recordkeeping Toxics. requirements, Test marketing [FR Doc. 2012–2440 Filed 2–2–12; 8:45 am] exemptions. BILLING CODE 6560–50–P

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ENVIRONMENTAL PROTECTION Access, Wildlife, Fisheries, Soil and ACTION: Notice of Public Availability of AGENCY Water, Idaho Panhandle National FY 2011 Service Contract Inventories. Forest, St. Joe Ranger District, [ER–FRL–9001–4] Shoshone County, ID, Review Period SUMMARY: In accordance with Section Ends: 03/19/2012, Contact: Mary 743 of Division C of the Consolidated Environmental Impacts Statements; Appropriations Act of 2010 (Pub. L. Notice of Availability Farnsworth (208) 765–7369. EIS No. 20120024, Final EIS, FTA, CA, 111–117), Environmental Protection Responsible Agency: Office of Federal Alameda-Contra Transit (AC Transit) Agency is publishing this notice to Activities, General Information (202) East Bay Bus Rapid Transit Project, advise the public of the availability of 564–7146 or http://www.epa.gov/ Implement High Level Bus Rapid the FY 2011 Service Contract Inventory. compliance/nepa/. Transit Improvements Connecting This inventory provides information on Berkeley, Oakland and San Leandro, service contract actions over $25,000 Weekly receipt of Environmental that were made in FY 2011. The Impact Statements San Francisco Bay Area, Funding, Alameda County, CA, Review Period information is organized by function to Filed 01/23/2012 Through 01/27/2012 Ends: 03/05/2012, Contact: Lucinda show how contracted resources are Pursuant to 40 CFR 1506.9 Eagle (415) 744–0140. distributed throughout the agency. The Notice EIS No. 20120025, Final EIS, USFS, 00, inventory has been developed in accordance with guidance issued by the Section 309(a) of the Clean Air Act Programmatic—National Forest System Land Management Planning, Office of Management and Budget’s requires that EPA make public its Office of Federal Procurement Policy comments on EISs issued by other Proposing a New Rule at 36 CFR Part 219 Guide Development, Revision, (OFPP), Service Contract Inventories Federal agencies. EPA’s comment letters (December 19, 2011). Environmental on EIS are available at: http:// and Amendment of Land Management Plans for Unit of the National Forest Protection Agency has posted its www.epa.gov/compliance/nepa/ inventory and a summary of the eisdata.html. System, Review Period Ends: 03/05/ 2012, Contact: Brenda Halter-Glenn inventory on the EPA’s homepage at the EIS No. 20120019, Draft EIS, BLM, 00, (202) 260–9400. following link: http://www.epa.gov/ Programmatic—Allocation of Oil EIS No. 20120026, Draft Supplement, oam/inventory/inventory.htm. Shale and Tar Sands Resources on NOAA, 00, Amendment 11 to the FOR FURTHER INFORMATION CONTACT: Lands Administered, Propose to Fishery Management Plan for Spiny Questions regarding the service contract Amend 10 Land Use Plans in Lobster, Establish Trap Line Marking inventory should be directed to Linear Colorado, Utah, and Wyoming, Requirements and Closed Areas to Cherry in the Office of Acquisition Comment Period Ends: 05/02/2012, Protect Coral Species, Gulf of Mexico Management, Headquarters Contact: Sherri Thompson (303) 239– and South Atlantic Regions, Comment Procurement Operations Division 3758. (3803R), Business Analysis Strategic EIS No. 20120020, Final EIS, FHWA, Period Ends: 03/19/2012, Contact: Roy Crabtree (727) 824–5301. Sourcing, Environmental Protection MN, US–14 Reconstruction Project, Agency, 1200 Pennsylvania Avenue Improvements to Truck Highway 14 Amended Notices NW., Washington, DC 20460; telephone from Front Street in New Ulm to EIS No. 20110430, Draft EIS, HUD, CA, number: (202) 564–4403; email address: Nicollet County Road 6 in North Alice Griffith Redevelopment Project, [email protected]. Mankato, Funding, USACE Section 10 Redevelopment of the #4–Acre SUPPLEMENTARY INFORMATION: and 404 Permits, Brown and Nicollet ‘‘Project Site’’ for 1,200 New Dwelling Counties, MN, Review Period Ends: I. General Information Units, Retail Development, Open 03/12/2012, Contact: Philip Forst Space and Associated Infrastructure, How can I get copies of this docket and (651) 291–6110. City and County of San Francisco, CA, EIS No. 20120021, Draft Supplement, other related information? Comment Period Ends: 03/13/2012, USFWS, CA, Tehachapi Uplands 1. EPA has established a docket for Contact: Eugene T. Flannery (415) Multiple Species Habitat this action under Docket ID No. EPA– 701–5598, Revision to FR Notice Conservation Plan (TUMSHCP), HQ–OARM–2011–0058. Publicly Published 12/30/11: Extending Propose Issuance of a 50-Year available docket materials are available Comment Period from 2/13/2012 to Incidental Take Permit for 27 Federal- either electronically through http:// 3/13/2012. and State-Listed and Unlisted www.regulations.gov or in hard copy at Species, New Information and a Dated: January 31, 2012. the FY 2011 Service Contract Inventory Revised Range of Alternatives, Kern Cliff Rader, Docket in the EPA Docket Center, (EPA/ County, CA, Comment Period Ends: Director, NEPA Compliance Division, Office DC) EPA West, Room 3334, 1301 05/02/2012 Contact: John Robles (916) of Federal Activities. Constitution Ave. NW., Washington, 414–6731. [FR Doc. 2012–2435 Filed 2–2–12; 8:45 am] DC. The EPA Docket Center Public EIS No. 20120022, Final EIS, BLM, NM, BILLING CODE 6560–50–P Reading Room is open from 8:30 a.m. to HB In-Situ Solution Mining Project, 4:30 p.m., Monday through Friday, Proposal to Extract the Potash excluding legal holidays. The telephone Remaining in Inactive Underground ENVIRONMENTAL PROTECTION number for the Public Reading Room is Mine, NPDES Permit, Eddy County, AGENCY (202) 566–1744, and the telephone NM, Review Period Ends: 03/05/2012, number for the FY 2011 Service [EPA–HQ–OARM–2011–0058; FRL–9626–9] Contact: Jim Stovall (575) 234–5972. Contract Inventory Docket is (202) 566– EIS No. 20120023, Final Supplement, Public Availability of Environmental 1752. USFS, ID, Bussel 484 Project Area, Protection Agency FY 2011 Service 2. Electronic Access. You may access Updated and New Information, Contract Inventory this Federal Register document Manage the Project Area to Achieve electronically through the EPA Internet Desired Future Conditions for AGENCY: Environmental Protection under the ‘‘Federal Register’’ listings at Vegetation, Fire, Fuels, Recreation, Agency. http://www.epa.gov/fedrgstr/.

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Dated: January 27, 2012. made available online at http://www. I. General Information John R. Bashista, regulations.gov, including any personal A. Does this notice apply to me? Director, Office of Acquisition Management. information provided, unless the [FR Doc. 2012–2446 Filed 2–2–12; 8:45 am] comment includes information claimed This notice applies to five facilities BILLING CODE 6560–50–P to be Confidential Business Information considered to be fluorinated gas (CBI) or other information whose production facilities under subpart L disclosure is restricted by statute. Do (Fluorinated Gas Production) of the ENVIRONMENTAL PROTECTION not submit information that you Mandatory Greenhouse Gas Reporting AGENCY consider to be CBI or otherwise rule (40 CFR part 98). These facilities protected through http://www. [EPA–HQ–OAR–2009–0927; FRL–9626–8] are Honeywell International’s Buffalo regulations.gov. The http://www. Research Laboratory and DuPont’s regulations.gov. Web site is an Mandatory Reporting of Greenhouse Fayetteville, North Carolina; Deepwater, ‘‘anonymous access’’ system, which Gases: Notice of Preliminary New Jersey; Washington Works, West means EPA will not know your identity Determinations Regarding Requests Virginia; and Eldorado, Arkansas or contact information unless you To Use Provisional Global Warming facilities. This notice may also be of provide it in the body of your comment. Potentials Under the Fluorinated Gas interest to members of the public with If you send an email comment directly Production Category of the knowledge of or interest in the Greenhouse Gas Reporting Rule to EPA without going through http:// www.regulations.gov your email address estimation of global warming potentials. AGENCY: Environmental Protection will be automatically captured and B. What is this notice about? Agency (EPA). included as part of the comment that is ACTION: Notice of data availability and placed in the public docket and made This notice announces and explains request for comment. available on the Internet. If you submit to the public EPA’s preliminary an electronic comment, EPA determinations regarding the SUMMARY: The EPA is announcing and recommends that you include your provisional global warming potentials explaining to the public its preliminary name and other contact information in (GWPs) for eight fluorinated greenhouse determinations regarding requests to use the body of your comment and with any gases (GHGs) submitted by E. DuPont de provisional global warming potentials disk or CD–ROM you submit. If EPA Nemours, Inc. (DuPont) and Honeywell for eight fluorinated greenhouse gases cannot read your comment due to International (Honeywell) for the submitted by DuPont de Nemours, Inc. technical difficulties and cannot contact purposes of the calculations in 40 CFR and Honeywell International for you for clarification, EPA may not be 98.123(c)(1) (a provision of subpart L of purposes of certain calculations in the able to consider your comment. the Mandatory Greenhouse Gas Fluorinated Gas Production portion of Electronic files should avoid the use of Reporting rule). EPA’s preliminary the Mandatory Greenhouse Gas special characters, any form of determination is that the requests for Reporting Rule. EPA’s preliminary encryption, and be free of any defects or seven of the eight fluorinated GHGs determination is that the requests for viruses. meet the requirements of the rule. As seven of the eight fluorinated GHGs Docket: All documents in the docket discussed further below, the meet the requirements of the rule. are listed in the http://www.regulations. calculations in 40 CFR 98.123(c)(1) are DATES: Comments must be received on gov index. Although listed in the index, used to determine whether a facility or before February 21, 2012. some information is not publicly must use stack testing to establish an ADDRESSES: Submit your comments, available, e.g., CBI or other information emission factor for a continuous process identified by Docket ID No. EPA–HQ– whose disclosure is restricted by statute. vent. For continuous process vents that OAR–2009–0927, by one of the Certain other material, such as are calculated to emit less than 10,000 following methods: copyrighted material, will be publicly metric tons carbon-dioxide equivalent • available only in hard copy. Publicly Federal eRulemaking Portal: http:// (mtCO2e) annually, facilities have the www.regulations.gov: Follow the online available docket materials are available option to use engineering calculations either electronically in http://www. instructions for submitting comments. rather than stack testing to establish an regulations.gov or in hard copy at EPA’s • Email: [email protected]. emission factor. • Fax: (202) 566–1741. Docket Center, Public Reading Room, • Mail: EPA Docket Center, Attention EPA West Building, Room 3334, 1301 C. What information is EPA making Docket OAR–2009–0927, Mail code: Constitution Avenue NW., Washington, available for review and comment? 2822T, 1200 Pennsylvania Avenue NW., DC 20004. This Docket Facility is open EPA is making available for review Washington, DC 20460. from 8:30 a.m. to 4:30 p.m., Monday and comment provisional GWPs for • Hand Delivery: EPA Docket Center, through Friday, excluding legal Public Reading Room, Room 3334, EPA holidays. The Docket telephone number fluorinated GHGs submitted by Dupont West Building, Attention Docket EPA– for the Public Reading Room is (202) and Honeywell for the purposes of the HQ–OAR–2009–0927, 1301 Constitution 566–1744 and the telephone number for calculations in 40 CFR 98.123(c)(1). EPA Avenue NW., Washington, DC 20004. the Air Docket is (202) 566–1742. is also making available to the public Such deliveries are only accepted FOR FURTHER INFORMATION CONTACT: the underlying materials in the during the Docket’s normal hours of Deborah Ottinger, Climate Change submitted requests that were used to operation, and special arrangements Division, Office of Atmospheric estimate the provisional GWPs, and should be made for deliveries of boxed Programs (MC–6207J), Environmental EPA’s analysis of those materials. information. Protection Agency, 1200 Pennsylvania D. Where can I get more information? Instructions: Direct your comments to Avenue NW., Washington, DC 20460; Docket ID No. EPA–HQ–OAR–2009– telephone number: (202) 343–9149; fax All of the information can be obtained 0927. EPA’s policy is that all comments number: (202) 343–2342; email address: through the Docket and at http://www. received will be included in the public [email protected]. regulations.gov (see ADDRESSES section docket without change and may be SUPPLEMENTARY INFORMATION: above for docket contact information).

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E. Submitting Confidential Business greater than 10,000 metric tons CO2e for included published scientific papers Information (CBI). the vent, and (3) that they believe have and other information to fulfill the Do not submit information you are GWPs that would result in total requirements under paragraphs claiming as CBI to EPA through http:// calculated annual emissions less than (c)(1)(vi)(A)(1) through (3) of 40 CFR www.regulations.gov or email. Clearly 10,000 metric tons CO2e. 98.123. On February 28, 2011, DuPont mark the part of the information that Under 40 CFR 98.123(c)(1)(vi)(B), EPA requested to use provisional GWPs for you claim to be CBI. Information so reviews each request to determine six fluorinated GHGs for the purposes of marked will not be disclosed except in whether it is complete, substantiates calculations in 40 CFR 98.123(c)(1). accordance with procedures set forth in each of the provisional GWPs, and DuPont requested to use provisional 40 CFR part 2. For CBI information in demonstrates that the process vents are (i.e., lower) GWPs for six chemicals at a disk or CD–ROM that you mail to EPA, calculated to emit less than 10,000 metric tons CO2e of fluorinated GHGs DuPont plant sites subject to subpart L: mark the outside of the disk or CD–ROM hexafluoropropylene (HFP), as CBI and then identify electronically only when the proposed provisional GWPs, not the default GWP of 2,000, are perfluoromethyl vinyl ether (PMVE), within the disk or CD–ROM the specific tetrafluoroethylene (TFE), 3,3,3- information that is claimed as CBI. In used for the fluorinated GHGs for which the provisional GWPs are requested. If trifluoropropene (TFP), vinyl fluoride addition to one complete version of the (VF), and vinylidine fluoride (VF2). For comment that includes information EPA makes a preliminary determination that each of these criteria is met, EPA each chemical, DuPont included peer- claimed as CBI, a copy of the comment reviewed scientific data and other that does not contain the information publishes a notice for public comment including the determination and the information to fulfill the requirements claimed as CBI must be submitted for under paragraphs (c)(1)(vi)(A)(1) inclusion in the public docket. data and analysis submitted by the producers under 40 CFR through (3). II. Background 98.123(c)(1)(vi)(A)(1) through (3). B. Preliminary Determinations and Under 40 CFR 98.123(c)(1), Under 40 CFR 98.123(c)(1)(vi)(A)(1) Their Rationale through (3), fluorinated gas producers fluorinated gas producers that wish to In accordance with 40 CFR use 40 CFR 98.123(c) (the Emission must include the following information in the request for each fluorinated GHG 98.123(c)(1)(vi)(B), EPA reviewed the Factor Method or Emission Calculation requests from both Honeywell and Factor Method) to estimate emissions that does not have a GWP listed in Table A–1 to subpart A of part 98 and that DuPont to determine whether each was from a continuous process must make a complete, substantiated each of the preliminary estimate of the annual constitutes more than one percent by mass of the stream emitted from the provisional GWPs, and demonstrated carbon dioxide equivalent (CO2e) that the process vents were calculated to emissions of fluorinated GHGs from vent: (1) The identity of the fluorinated emit less than 10,000 metric tons CO2e each process vent. They are required to GHG, including its chemical formula of fluorinated GHGs only when the do so using the engineering calculations and, if available, CAS number. proposed provisional GWPs, not the or assessments specified in the rule. If (2) The estimated GWP of the default GWP of 2,000, were used for the the preliminary estimate indicates that a fluorinated GHG. fluorinated GHGs for which the vent emits 10,000 mtCO2e or more (3) The data and analysis that provisional GWPs were requested. annually, facilities must use stack supports the estimate of the GWP of the EPA made a preliminary testing to establish an emission factor fluorinated GHG, including: determination that each of these criteria for that vent. If the preliminary estimate (i) Data and analysis related to the was met for the requests submitted by indicates that a vent emits less than low-pressure gas phase infrared both Honeywell and DuPont, with one 10,000 mtCO2e annually, facilities may absorption spectrum of the fluorinated exception. The exception was for HFC– use engineering calculations or GHG. 1234yf, which was emitted in quantities assessments to establish an emission (ii) Data and analysis related to the that, with a default GWP of 2,000, calculation factor. estimated atmospheric lifetime of the resulted in total calculated annual Under 40 CFR 98.123(c)(1)(v), to fluorinated GHG (reaction mechanisms emissions of less than 10,000 mtCO2e. convert the fluorinated GHG emissions and rates, including for example, Because the calculated emissions did to CO2e, fluorinated gas producers must photolysis and reaction with not meet the threshold criterion, EPA is use Equation A–1 of 40 CFR 98.2. For atmospheric components such as not evaluating the provisional GWP for fluorinated GHGs whose GWPs are not hydroxyl radicals (OH), ozone (O3), HFC–1234yf in this action. EPA notes, listed in Table A–1 to subpart A of part carbon monoxide (CO), and water). however, that the provisional GWP 98, producers must use a default GWP (iii) The radiative transfer analysis submitted by Honeywell is the same as of 2,000 unless they submit a request to that integrates the lifetime and infrared the GWP recognized in other EPA final use other GWPs for those fluorinated absorption spectrum data to calculate actions (e.g., March 29, 2011; 76 FR GHGs in that process under 40 CFR the GWP. 17488). EPA will consider this 98.123(c)(1)(vi), and EPA approves that (iv) Any published or unpublished information in future updates to Table request. studies of the GWP of the gas. A–1 of 40 CFR part 98. Under 40 CFR 98.123(c)(1)(vi), The remainder of this section fluorinated gas producers may submit a A. Requests to Use Provisional GWPs includes a summary of the request to use a GWP other than 2,000 On February 25, 2011, Honeywell determination and the data and analysis for fluorinated GHGs whose GWPs are requested to use provisional GWPs for submitted by the producers under 40 not listed in Table A–1 to subpart A if two fluorinated GHGs for the purposes CFR 98.123(c)(1)(vi)(A)(1) through (3). their process vent emits one or more of the calculations in paragraph (c)(1) of EPA’s preliminary determination fluorinated GHGs (1) whose GWPs are 40 CFR 98.123. Honeywell requested to included review of the submitted not listed in Table A–1 to subpart A, (2) use provisional (i.e., lower) GWPs for information by a leading subject matter that are emitted in quantities that, with two commercial chemicals produced at expert on GWP estimation who was also a default GWP of 2,000, result in total their Buffalo Research Laboratory: HFC– a co-developer of the GWP concept. EPA calculated annual emissions equal to or 1234ze and HFC–1234yf. Honeywell concluded that the methods overall

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were likely to overestimate GWPs short-lived compounds do not last long higher in the atmosphere, where lower (maybe by an order of magnitude or enough to become well mixed (i.e., OH concentrations, temperatures, and more) rather than underestimate them. spread evenly over all longitudes, pressures slow reaction rates and Because 40 CFR 98.123(c)(1) allows the latitudes, and altitudes). Instead, their lengthen lifetimes. Radiative forcing is use of engineering calculations only concentrations decrease rapidly with also estimated based on the assumption when estimated emissions fall below distance from their emission point, that the concentration of the short-lived 10,000 metric tons CO2e, an particularly with changing latitude and compound remains constant with overestimated GWP is considered altitude. altitude. This assumption is likely to acceptable by EPA in the context of 40 The assumption that the compounds overestimate the radiative forcing (and CFR 98.123(c)(1). Therefore, the are well mixed affects the estimates of therefore the GWP) of short-lived conclusion of EPA’s review was that the both of the primary components of compounds because, again, it background information was adequate GWPs: Atmospheric lifetime and overestimates the share of the short- and that it justified the use of the radiative forcing. In the analyses cited lived compound that resides higher in alternative GWPs in the context of 40 by the companies, atmospheric lifetimes the atmosphere. GHGs higher in the CFR 98.123(c)(1)(vi). are estimated either by assuming that atmosphere (i.e., near the tropopause) The overestimation of the GWPs the short-lived compound is exposed to are responsible for more radiative submitted by both Honeywell and the global average concentration of forcing than the same GHGs lower in the DuPont results from the fact that the hydroxyl radicals (OH) or by deriving atmosphere. (As discussed in the commonly-used estimation techniques the lifetime of the short-lived (i.e., not Supporting Analysis, this is related to employed in the analyses cited by both well mixed) compound from the known companies use simplifying assumptions lifetime of a long-lived (i.e., well mixed) the fact that temperatures near the that are not fully applicable to reference compound based on the tropopause are lower than those at the compounds that are short-lived in the compounds’ respective reaction rates surface.) Together, these assumptions atmosphere—defined here as any with OH. Both approaches are likely to may result in overestimates of the GWP compound with an atmospheric lifetime overestimate the lifetime (and therefore by a factor of ten or more. The rationale less than 1 year. (All of the compounds the GWP) of the short-lived compound for EPA’s preliminary determination is for which provisional GWPs were because they essentially assume that the discussed in more detail in the requested are short-lived based on this concentration of the short-lived Supporting Analysis, which is available definition.) Essentially, the estimation compound remains constant with in the docket. techniques assume that the compounds altitude. This overestimates the share of The provisional GWPs are shown in are well-mixed in the atmosphere, but the short-lived compound that resides Table 1.

TABLE 1—PROVISIONAL GLOBAL WARMING POTENTIALS FOR FLUORINATED GREENHOUSE GASES FOR WHICH EPA HAS MADE PRELIMINARY DETERMINATIONS THAT ALL APPROVAL CRITERIA HAVE BEEN MET FOR THE PURPOSES OF THE CALCULATIONS IN 98.123(C)(1) OF SUBPART L

Fluorinated GHG CAS No. Provisional GWP

HFC–1234ze ...... 29118–24–9 6 Hexafluoropropylene (HFP) ...... 116–15–4 0.25 Perfluoromethyl vinyl ether (PMVE) ...... 1187–93–5 3 Tetrafluoroethylene (TFE) ...... 116–14–3 0.02 Trifluoro propene (TFP) ...... 677–21–4 3 Vinyl fluoride (VF) ...... 75–02–5 0.7 Vinylidine fluoride (VF2) ...... 75–38–7 0 .9

EPA will review public comment on ENVIRONMENTAL PROTECTION produced in the United States in this notice prior to taking final action on AGENCY sufficient and reasonably available its preliminary determinations. The quantities and of a satisfactory quality] final determinations will be placed in [FRL–9627–3] to the Cuyahoga County Board of Health the docket for this action. (County) for the Bear Creek Restoration Notice of a Project Waiver of the Project in Warrensville Heights, Ohio, Dated: January 27, 2012. American Recovery and Reinvestment and the Laurel Creek Restoration Project Act of 2009 (ARRA) to the Cuyahoga Sarah Dunham, in Twinsburg, Ohio, for coconut fiber County Board of Health for the Bear Director, Office of Atmospheric Programs. (coir) woven mats to be installed as part Creek Restoration Project in [FR Doc. 2012–2442 Filed 2–2–12; 8:45 am] of their stream bank stabilization/ Warrensville Heights, OH, and the BILLING CODE 6560–50–P restoration projects. This is a project- Laurel Creek Restoration Project in specific waiver and only applies to the Twinsburg, OH use of the specified product for the AGENCY: Environmental Protection ARRA funded projects being proposed. Agency (EPA). Any other ARRA project that may wish ACTION: Notice. to use the same product must apply for a separate waiver based on project SUMMARY: The EPA is hereby granting a specific circumstances. The coir woven project waiver of the Buy American mats under consideration are requirements of ARRA Section 1605 manufactured in India and Sri Lanka under the authority of Section and meet the projects’ technical 1605(b)(2) [manufactured goods are not specifications and requirements. The

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Regional Administrator is making this they do not require the incorporation of EPA has also evaluated the County’s determination based on the review and polypropylene and/or other synthetic request to determine if its submission is recommendations of EPA Region 5’s products that are not 100% considered late or if it could be Water Division. The County has biodegradable. considered timely, as per the OMB provided sufficient documentation to The April 28, 2009, EPA HQ Guidance at 2 CFR 176.120. EPA will support each individual request. The Memorandum, ‘‘Implementation of Buy generally regard waiver requests with Assistant Administrator of the Office of American provisions of Public Law respect to components that were Administration and Resources 111–5, the ‘American Recovery and specified in the bid solicitation or in a Management has concurred on this Reinvestment Act of 2009,’ ’’ defines general/primary construction contract as decision to make an exception to reasonably available quantity as ‘‘the ‘‘late’’ if submitted after the contract Section 1605 of the ARRA. This action quantity of iron, steel, or relevant date. However, EPA could also permits the purchase of coir woven mats manufactured good is available at the determine that a request be evaluated as for the proposed projects that may time needed and place needed, and in timely, though made after the date that otherwise be prohibited under Section the proper form or specification as the contract was signed, if the need for 1605(a) of the ARRA. specified in the project plans and a waiver was not reasonably foreseeable. DATES: Effective Date: February 3, 2012. design.’’ The OMB ARRA Buy American If the need for a waiver is reasonably FOR FURTHER INFORMATION CONTACT: Guidance cites the Federal Acquisition foreseeable, then EPA could still apply Andrew Lausted, SRF Program Manager, Regulation (FAR) as an appropriate discretion in these late cases as per the (312) 886–0189, or Meonii Bristol, SRF reference for availability waiver OMB Guidance, which says ‘‘the award Program Manager, (312) 353–4716, EPA inquiries. Specifically, the OMB official may deny the request.’’ For those waiver requests that do not have Water Division, State and Tribal Branch, Guidance at Section 176.80(a)(1) states a reasonably unforeseeable basis for 77 West Jackson Boulevard, Chicago, IL (at 77 FR 18452) that ‘‘The lateness, but for which the waiver basis 60604. determinations of nonavailability of the articles includes ‘‘ ‘Fibers of the is valid and there is no apparent gain by SUPPLEMENTARY INFORMATION: In the ARRA recipient or loss on behalf of accordance with ARRA Section 1605(c) following types: * * * coir,’ ’’ thereby establishing a presumption of lack of the government, then EPA will still and pursuant to Section 1605(b)(2) of consider granting a waiver. Public Law 111–5, Buy American U.S. availability. The FAR procedures at 48 CFR 25.103(b)(1) specified as In this case, there are no U.S. requirements, EPA hereby provides manufacturers that meet the County’s required in the OMB Guidance state notice that it is granting a project waiver project specifications for the purchase of that: (1)(i) A nonavailability to the Cuyahoga County Board of Health coir woven mats. The loans for both determination had been made for the for the Bear Creek Restoration Project in projects were signed on January 28, articles listed in 25.104. This Warrensville Heights, Ohio, and the 2010, making them two of the last determination does not necessarily Laurel Creek Restoration Project in projects to receive ARRA money in mean that there is no domestic source Twinsburg, Ohio, for the acquisition of Ohio. Both loans were design/build, for the listed items, but that domestic coir woven mats manufactured outside meaning that much design work had to sources can only meet 50 percent or less of the United States. be done before construction could be of total U.S. government and Section 1605 of the ARRA requires undertaken. Further delaying that none of the appropriated funds may nongovernment demand; (ii) Before construction activities was the need to be used for the construction, alteration, acquisition of an article on the list, the negotiate and sign easement and land- maintenance, or repair of a public procuring agency is responsible to use convenants with neighboring building or public work unless all of the conduct market research appropriate to landowners. Therefore, the County was iron, steel, and manufactured goods the circumstances, including seeking of not aware that there were no domestic used in the project are produced in the domestic sources. The applicant met the equivalents for the coir woven mats in United States, or unless a waiver is procedures specified for the availability question until early 2011. There is no provided to the recipient by the head of inquiry as appropriate to the indication that the County failed to the appropriate agency, here EPA. A circumstances by conducting online request a waiver in order to avoid the waiver may be provided if EPA research and contacting suppliers, and requirements of the ARRA, particularly determines that (1) applying these all sources indicated that coir woven since there are no domestically requirements would be inconsistent mats are only manufactured outside of manufactured products available that with the public interest; (2) iron, steel, the United States. meet the project specifications. EPA will and the relevant manufactured goods EPA’s national contractor prepared a consider the County’s waiver request a are not produced in the United States in technical assessment report based on foreseeable late request, as though it had sufficient and reasonably available the submitted waiver request. The been timely made since there is no gain quantities and of a satisfactory quality; report determined that the waiver by the County and no loss by the (3) inclusion of iron, steel, and the cost request submittal was complete, that government due to the late request. of the overall project by more than 25 adequate technical information was The purpose of the ARRA is to percent. provided, and that there were no stimulate economic recovery in part by These manufactured goods will be significant weaknesses in the funding current infrastructure used for streambank stabilization and justification provided. Therefore, based construction, not to delay projects that erosion control. Only coir woven mats on the information provided to EPA and are ‘‘shovel ready’’ by requiring meet the specific needs of each project to the best of our knowledge at this agencies, such as the County, to revise because they are completely time, the coir woven mats necessary for their standards and specifications. The biodegradable, have a high resistance to these projects are not manufactured in imposition of ARRA Buy American shear stresses and flows, and are the United States, and no other requirements on such projects otherwise visually unobtrusive. The County domestically manufactured products eligible for ARRA State Revolving Fund contends that coconut fibers are more can meet the County’s project assistance would result in unreasonable durable than straw and other materials performance specifications and delay and thus displace the ‘‘shovel used in alternative mat products, and requirements. ready’’ status for this project. To further

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delay project implementation is in ENVIRONMENTAL PROTECTION 564–3406; fax number (202) 564–5603; direct conflict with a fundamental AGENCY email address: [email protected]. economic purpose of the ARRA, which [FRL 9627–1] is to create or retain jobs. SUPPLEMENTARY INFORMATION: Proposed Consent Decree, Clean Air EPA has reviewed this waiver request I. Additional Information About the Act Citizen Suit and has determined that the information Proposed Consent Decree and supporting documentation provided AGENCY: Environmental Protection This proposed consent decree would by the County is sufficient to meet the Agency (EPA) resolve a lawsuit alleging that the criteria listed under Section 1605(b) of ACTION: Notice of proposed consent Administrator failed to perform a the ARRA and in the April 28, 2009, decree; Request for public comment nondiscretionary duty to grant or deny, ‘‘Implementation of Buy American within 60 days of submission, an provisions of Public Law 111–5, the SUMMARY: In accordance with section administrative petition to object to a ‘American Recovery and Reinvestment 113(g) of the Clean Air Act, as amended CAA Title V permit issued by the Act of 2009’ Memorandum’’: Iron, steel, (‘‘CAA’’ or the ‘‘Act’’), 42 U.S.C. Colorado Department of Public Health and the manufactured goods are not 7413(g), notice is hereby given of a and Environment, Air Pollution produced in the United States in proposed consent decree to settle a Division, to CF&I Steel, d/b/a EVRAZ sufficient and reasonably available lawsuit filed by WildEarth Guardians in Rocky Mountain Steel, to operate its quantities and of a satisfactory quality. the United States District Court for the steelmaking facility in Pueblo, Colorado. The basis for this project waiver is the District of Colorado: WildEarth Under the terms of the proposed authorization provided in Section Guardians v. Jackson, Case No. 1:11– consent decree, EPA agrees to respond 1605(b)(2) of the ARRA. Due to the lack cv–02227–WJM–KLM (D. Colo.). to the petition by May 31, 2012, or of production of this item in the United Plaintiff filed this suit to compel the within 30 days of the entry date of the States in sufficient and reasonably Administrator to respond to an consent decree by the court, whichever administrative petition requesting that available quantities and of a satisfactory is later. In addition, the proposed EPA object to a CAA Title V operating quality in order to meet the County’s consent decree provides that the United permit issued by the Colorado performance specifications and States agrees to pay $2,535.00 as full Department of Public Health and settlement of all claims for attorney’s requirements, a waiver from the Buy Environment, Air Pollution Division, to American requirement is justified. fees, costs, and expenses incurred in CF&I Steel, d/b/a EVRAZ Rocky this lawsuit through the date of lodging The March 31, 2009, Delegation of Mountain Steel, to operate its the consent decree. The proposed Authority Memorandum provided steelmaking facility in Pueblo, Colorado. consent decree also states that when Regional Administrators with the Under the terms of the proposed EPA’s obligations under Paragraphs 2 authority to issue exceptions to Section consent decree, EPA agrees to respond and 3, which include the 1605 of the ARRA within the geographic to the petition by May 31, 2012, or aforementioned obligations to sign a boundaries of their respective regions within 30 days of the entry date of the response to the administrative petition and with respect to requests by consent decree by the court, whichever by a certain date and to pay attorney individual grant recipients. Having is later. fees and litigation costs, have been established both a proper basis to DATES: Written comments on the completed the case shall be terminated specify the particular good required for proposed consent decree must be and dismissed with prejudice. these projects, and that this received by March 5, 2012. For a period of thirty (30) days manufactured good was not available ADDRESSES: Submit your comments, following the date of publication of this from a producer in the United States, identified by Docket ID number EPA– notice, the Agency will accept written the County is hereby granted a waiver HQ–OGC–2012–0094, online at comments relating to the proposed from the Buy American requirements of www.regulations.gov (EPA’s preferred consent decree from persons who were Section 1605(a) of Public Law 111–5 for method); by email to not named as parties or intervenors to the purchase of coir woven mats using [email protected]; by mail to EPA the litigation in question. EPA or the ARRA funds as specified in the Docket Center, Environmental Department of Justice may withdraw or withhold consent to the proposed community’s request. This Protection Agency, Mailcode: 2822T, consent decree if the comments disclose supplementary information constitutes 1200 Pennsylvania Ave. NW., facts or considerations that indicate that the detailed written justification Washington, DC 20460–0001; or by hand delivery or courier to EPA Docket such consent is inappropriate, required by Section 1605(c) for waivers Center, EPA West, Room 3334, 1301 improper, inadequate, or inconsistent ‘‘based on a finding under subsection Constitution Ave. NW., Washington, with the requirements of the Act. Unless (b).’’ DC, between 8:30 a.m. and 4:30 p.m. EPA or the Department of Justice Authority: Public Law 111–5, section Monday through Friday, excluding legal determines that consent to this consent 1605. holidays. Comments on a disk or CD– decree should be withdrawn, the terms Dated: September 15, 2011. ROM should be formatted in Word or of the consent decree will be affirmed. ASCII file, avoiding the use of special Susan Hedman, II. Additional Information About characters and any form of encryption, Regional Administrator. Commenting on the Proposed Consent and may be mailed to the mailing Decree [FR Doc. 2012–2438 Filed 2–2–12; 8:45 am] address above. BILLING CODE 6560–50–P FOR FURTHER INFORMATION CONTACT: A. How can I get a copy of the proposed Melina Williams, Air and Radiation Law consent decree? Office (2344A), Office of General The official public docket for this Counsel, U.S. Environmental Protection action (identified by Docket ID No. Agency, 1200 Pennsylvania Ave. NW., EPA–HQ–OGC–2012–0094) contains a Washington, DC 20460; telephone: (202) copy of the proposed consent decree.

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The official public docket is available EPA to contact you in case EPA cannot resources are distributed throughout the for public viewing at the Office of read your comment due to technical agency. The FY 2010 analysis provides Environmental Information (OEI) Docket difficulties or needs further information additional information about the in the EPA Docket Center, EPA West, on the substance of your comment. Any Federal Communications Commission’s Room 3334, 1301 Constitution Ave. identifying or contact information FY 2010 inventory. The FY 2011 NW., Washington, DC. The EPA Docket provided in the body of a comment will inventory and analysis of the FY 2010 Center Public Reading Room is open be included as part of the comment that inventory have been developed in from 8:30 a.m. to 4:30 p.m., Monday is placed in the official public docket, accordance with guidance issued by the through Friday, excluding legal and made available in EPA’s electronic Office of Management and Budget’s holidays. The telephone number for the public docket. If EPA cannot read your Office of Federal Procurement Policy Public Reading Room is (202) 566–1744, comment due to technical difficulties (OFPP) on November 5, 2010 and and the telephone number for the OEI and cannot contact you for clarification, December 19, 2011. The guidance is Docket is (202) 566–1752. EPA may not be able to consider your available online at: http:// An electronic version of the public comment. www.whitehouse.gov/omb/ docket is available through Use of the www.regulations.gov Web procurement_index_memo. www.regulations.gov. You may use the site to submit comments to EPA The Federal Communications www.regulations.gov to submit or view electronically is EPA’s preferred method Commission has posted its FY 2011 public comments, access the index for receiving comments. The electronic inventory, a summary of the FY 2011 listing of the contents of the official public docket system is an ‘‘anonymous inventory, and its analysis of its FY public docket, and to access those access’’ system, which means EPA will 2010 inventory on the Federal documents in the public docket that are not know your identity, email address, Communications Commission’s Web available electronically. Once in the or other contact information unless you site at the following link: http:// system, key in the appropriate docket provide it in the body of your comment. www.fcc.gov/encyclopedia/service- identification number then select In contrast to EPA’s electronic public contract-inventory. ‘‘search.’’ docket, EPA’s electronic mail (email) FOR FURTHER INFORMATION CONTACT: It is important to note that EPA’s system is not an ‘‘anonymous access’’ Questions regarding the service contract policy is that public comments, whether system. If you send an email comment inventory or analysis should be directed submitted electronically or in paper, directly to the Docket without going to Mr. Daniel Daly, Chief of Staff, Office will be made available for public through www.regulations.gov, your of the Managing Director at (202) 418– viewing online at www.regulations.gov email address is automatically captured 1832 or [email protected]. without change, unless the comment and included as part of the comment Federal Communications Commission. contains copyrighted material, CBI, or that is placed in the official public other information whose disclosure is Marlene H. Dortch, docket, and made available in EPA’s restricted by statute. Information electronic public docket. Secretary, Office of the Secretary, Office of claimed as CBI and other information Managing Director. whose disclosure is restricted by statute Dated: January 27, 2012. [FR Doc. 2012–2386 Filed 2–2–12; 8:45 am] are not included in the official public Patricia Embrey, BILLING CODE 6712–01–P docket or in the electronic public Acting Associate General Counsel. docket. EPA’s policy is that copyrighted [FR Doc. 2012–2443 Filed 2–2–12; 8:45 am] material, including copyrighted material BILLING CODE 6560–50–P DEPARTMENT OF HEALTH AND contained in a public comment, will not HUMAN SERVICES be placed in EPA’s electronic public docket but will be available only in FEDERAL COMMUNICATIONS Centers for Disease Control and printed, paper form in the official public COMMISSION Prevention docket. Although not all docket [30Day–12–11KS] materials may be available Public Availability of the Federal electronically, you may still access any Communications Commission’s FY Agency Forms Undergoing Paperwork of the publicly available docket 2011 Service Contract Inventory and Reduction Act Review materials through the EPA Docket FY 2010 Service Contract Inventory Center. Analysis The Centers for Disease Control and Prevention (CDC) publishes a list of B. How and to whom do I submit AGENCY: Federal Communications information collection requests under comments? Commission. review by the Office of Management and You may submit comments as ACTION: Notice of public availability of Budget (OMB) in compliance with the provided in the ADDRESSES section. service contract inventory and analysis. Paperwork Reduction Act (44 U.S.C. Please ensure that your comments are Chapter 35). To request a copy of these submitted within the specified comment SUMMARY: The Federal Communications requests, call the CDC Reports Clearance period. Comments received after the Commission is publishing this notice to Officer at (404) 639–7570 or send an close of the comment period will be advise the public of the availability of email to [email protected]. Send written marked ‘‘late.’’ EPA is not required to its FY 2011 Service Contract Inventory comments to CDC Desk Officer, Office of consider these late comments. and FY 2010 Service Contract Inventory Management and Budget, Washington, If you submit an electronic comment, Analysis as required by Section 743 of DC or by fax to (202) 395–5806. Written EPA recommends that you include your Division C of the Consolidated comments should be received within 30 name, mailing address, and an email Appropriations Act of 2010 (Pub. L. days of this notice. address or other contact information in 111–117). The FY 2011 inventory the body of your comment and with any provides information on service contract Proposed Project disk or CD–ROM you submit. This actions over $25,000 that were made in Pilot Study of Community-Based ensures that you can be identified as the FY 2011. The information is organized Surveillance of Supports for Healthy submitter of the comment and allows by function to show how contracted Eating/Active Living (HE/AL)—New—

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National Center for Chronic Disease The second objective is to identify follow-up. A split-sample approach will Prevention and Health Promotion and critically evaluate whether be used to assign each target respondent (NCCDPHP), Centers for Disease Control respondents in diverse municipalities of to one of two groups: a low-intensity and Prevention (CDC). various sizes and organizational recruitment group or a moderate- Background and Brief Description structures are able to answer a self- intensity recruitment group. All target administered survey questionnaire. The respondents in the study sample will CDC proposes to conduct a pilot study survey questionnaire includes 42 items receive email reminders to encourage to examine the feasibility of establishing on the following topics: Community- participation in the survey. Target a national community-level surveillance wide planning efforts for healthy eating respondents in the moderate-intensity system on policy supports for healthful and active living, the built environment recruitment group will also receive up eating and active living. Results of the and policies that support physical to three telephone contacts to address feasibility study will be used to assess activity, and policies and practices that questions and serve as reminders. The the feasibility of establishing a national support access to healthy food and estimated burden per contact is five surveillance system and the best healthy eating. The estimated burden minutes. methods for encouraging a high per response is one hour. Issues to be response rate in a representative sample Respondents will be city/town addressed include critical assessment of of communities. The pilot study will be planners and managers, or individuals the strengths and weaknesses of conducted in two states with a with similar responsibilities. The methods for identifying the best representative sample of 400 majority of survey responses will be respondents for completing the survey communities, 200 municipalities in collected using a secure, web-based each state. The sample frame will be questionnaire; conducting a limited survey data collection system. generated from the U.S. Census of process evaluation that identifies the Respondents who prefer to complete a Governments. barriers and challenges respondents paper survey will be able to print the The proposed pilot study is designed may incur in providing reasonable and survey from the web-based data to address three key methodological current data for the questionnaire; and collection system, complete it, and objectives. The first objective is to test arriving at a data collection instrument return it using instructions that will be the feasibility of the proposed sampling with the lowest possible threshold for provided. OMB approval is requested frame and to answer sample design respondent burden. for one year. Participation is voluntary issues related to determining sampling The third objective is to identify and and there are no costs to respondents criteria for inclusion, as well as the critically evaluate different methods of other than their time. The total development of weights and estimates. study recruitment and non-response estimated burden hours are 450.

ESTIMATED ANNUALIZED BURDEN HOURS

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

City/Town Manager-Planner ...... Survey of Community-Based Policy and Environ- 400 1 1 mental Supports for Healthy Eating and Active Liv- ing Telephone Non-Response Follow-up Contact Script 200 3 5/60

Kimberly S. Lane, Name of Committee: Oncologic Drugs and Drug Administration, 10903 New Reports Clearance Officer, Centers for Disease Advisory Committee. Hampshire Ave., Bldg. 31, Rm. 2417, Control and Prevention. General Function of the Committee: Silver Spring, MD 20993–0002, (301) [FR Doc. 2012–2413 Filed 2–2–12; 8:45 am] To provide advice and 796–9001, Fax: (301) 847–8533, email: BILLING CODE 4163–18–P recommendations to the Agency on [email protected], or FDA Advisory FDA’s regulatory issues. Committee Information Line, 1–(800) Date and Time: The meeting will be 741–8138 (301) 443–0572 in the DEPARTMENT OF HEALTH AND held on March 20, 2012, from 8 a.m. to Washington, DC area), and follow the HUMAN SERVICES 5 p.m. prompts to the desired center or product Location: FDA White Oak Campus, area. Please call the Information Line for Food and Drug Administration 10903 New Hampshire Ave., Bldg. 31 up-to-date information on this meeting. Conference Center, the Great Room (Rm. A notice in the Federal Register about [Docket No. FDA–2012–N–0001] 1503), Silver Spring, MD 20993–0002. last minute modifications that impact a Oncologic Drugs Advisory Committee; Information regarding special previously announced advisory Notice of Meeting accommodations due to a disability, committee meeting cannot always be visitor parking, and transportation may published quickly enough to provide AGENCY: Food and Drug Administration, be accessed at: http://www.fda.gov/ timely notice. Therefore, you should HHS. AdvisoryCommittees/default.htm; under always check the Agency’s Web site and ACTION: Notice. the heading ‘‘Resources for You,’’ click call the appropriate advisory committee on ‘‘Public Meetings at the FDA White hot line/phone line to learn about This notice announces a forthcoming Oak Campus.’’ Please note that visitors possible modifications before coming to meeting of a public advisory committee to the White Oak Campus must enter the meeting. of the Food and Drug Administration through Building 1. Agenda: On March 20, 2012, during (FDA). The meeting will be open to the Contact Person: Caleb Briggs, Center the morning session, the committee will public. for Drug Evaluation and Research, Food discuss supplemental new drug

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application (NDA) 022465/S–010, person will notify interested persons https://apps.cbp.gov/te_registration/ VOTRIENT (pazopanib hydrochloride) regarding their request to speak by ?w=73 by close-of-business on February Tablets, application submitted by Glaxo February 28, 2012. 17, 2012. Please feel free to share this Wellcome Manufacturing Pte Ltd. doing Persons attending FDA’s advisory information with interested members of business as GlaxoSmithKline. The committee meetings are advised that the your organizations or associations. If proposed indication (use) for this Agency is not responsible for providing you plan on attending on-site, please product is for the treatment of patients access to electrical outlets. register either online at https:// with advanced soft tissue sarcoma (STS) FDA welcomes the attendance of the apps.cbp.gov/te_registration/?w=72, or who have received prior chemotherapy. public at its advisory committee by email to [email protected], or by The phase 3 STS trial population meetings and will make every effort to fax to (202) 325–4290 by close-of- excluded patients with adipocytic STS accommodate persons with physical business on February 17, 2012. or gastrointestinal stromal tumors. disabilities or special needs. If you If you have completed an online During the afternoon session, the require special accommodations due to webcast registration and wish to cancel committee will discuss NDA 022576, a disability, please contact Caleb Briggs your registration, you may do so at with the proposed trade name at least 7 days in advance of the https://apps.cbp.gov/te_registration/ TALTORVIC (ridaforolimus) Tablets, meeting. cancel.asp?w=73. If you have completed application submitted by Merck Sharp & FDA is committed to the orderly an online on-site registration and wish Dohme Corp. The proposed indication conduct of its advisory committee to cancel your registration, you may do (use) for this product is for the treatment meetings. Please visit our Web site at so at https://apps.cbp.gov/ of adult and pediatric patients (aged 13 http://www.fda.gov/ te_registration/cancel.asp?w=72. through 17 years with weight over 100 AdvisoryCommittees/ ADDRESSES: The meeting will be held at lb or 45.4 kg) with metastatic soft tissue AboutAdvisoryCommittees/ U.S. Access Board Conference, 1331 F sarcoma or bone sarcoma as a ucm111462.htm for procedures on Street NW., Suite 800 in Washington, maintenance therapy for patients who public conduct during advisory DC 20004. All visitors report to the have completed at least 4 cycles of committee meetings. lobby in the building. chemotherapy without evidence of Notice of this meeting is given under For information on facilities or disease progression. the Federal Advisory Committee Act services for individuals with disabilities FDA intends to make background (5 U.S.C. app. 2). material available to the public no later or to request special assistance at the Dated: January 31, 2012. than 2 business days before the meeting. meeting, contact Ms. Wanda Tate, Office If FDA is unable to post the background Jill Hartzler Warner, of Trade Relations, U.S. Customs and material on its Web site prior to the Acting Associate Commissioner for Special Border Protection at (202) 344–1661 as meeting, the background material will Medical Programs. soon as possible. be made publicly available at the [FR Doc. 2012–2462 Filed 2–2–12; 8:45 am] To facilitate public participation, we location of the advisory committee BILLING CODE 4160–01–P are inviting public comment on the meeting, and the background material issues to be considered by the will be posted on FDA’s Web site after committee as listed in the ‘‘Agenda’’ the meeting. Background material is DEPARTMENT OF HOMELAND section below. available at http://www.fda.gov/ SECURITY Comments must be submitted in AdvisoryCommittees/Calendar/ writing no later than February 15, 2012, default.htm. Scroll down to the U.S. Customs and Border Protection and must be identified by USCBP– 2012–0001 and may be submitted by appropriate advisory committee link. [Docket No. USCBP–2012–0001] Procedure: Interested persons may one of the following methods: • present data, information, or views, Advisory Committee on Commercial Federal eRulemaking Portal: http:// orally or in writing, on issues pending Operations of Customs and Border www.regulations.gov. Follow the before the committee. Written Protection (COAC) instructions for submitting comments. submissions may be made to the contact • Email: [email protected]. person on or before March 6, 2012. Oral AGENCY: U.S. Customs and Border Include the docket number in the presentations from the public will be Protection, Department of Homeland subject line of the message. scheduled between approximately 10:30 Security (DHS). • Fax: (202) 325–4290. a.m. to 11 a.m. and 3:30 p.m. to 4 p.m. ACTION: Committee Management; Notice • Mail: Ms. Wanda Tate, Office of Those individuals interested in making of Federal Advisory Committee Meeting. Trade Relations, U.S. Customs and formal oral presentations should notify Border Protection, 1300 Pennsylvania the contact person and submit a brief SUMMARY: The Advisory Committee on Avenue NW., Room 5.2A, Washington, statement of the general nature of the Commercial Operations of Customs and DC 20229. evidence or arguments they wish to Border Protection (COAC) will meet on Instructions: All submissions received present, the names and addresses of February 21, 2012, in Washington, DC. must include the words ‘‘Department of proposed participants, and an The meeting will be open to the public. Homeland Security’’ and the docket indication of the approximate time As an alternative to on-site attendance, number for this action. Comments requested to make their presentation on U.S. Customs and Border Protection received will be posted without or before February 27, 2012. Time (CBP) will also offer a live webcast of alteration at http://www.regulations.gov, allotted for each presentation may be the COAC meeting via the Internet. including any personal information limited. If the number of registrants DATED: COAC will meet on Tuesday, provided. requesting to speak is greater than can February 21, 2012, from 10 a.m. to 4 Docket: For access to the docket to be reasonably accommodated during the p.m. Please note that the meeting may read background documents or scheduled open public hearing session, close early if the committee has comments received by the COAC, go to FDA may conduct a lottery to determine completed its business. http://www.regulations.gov. the speakers for the scheduled open REGISTRATION: If you plan on attending There will be three public comment public hearing session. The contact via webcast, please register online at periods held during the meeting on

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February 21, 2012. On-site speakers are • The National Supply Chain ADDRESSES: Interested persons are requested to limit their comments to Security Strategy. invited to submit comments regarding three (3) minutes. Contact the • The CBP Initiatives of the Customs this proposal. Comments should refer to individual listed below to register as a and Trade Partnership Against the proposal by name and/or OMB speaker. Please note that the public Terrorism (C–TPAT) program and approval Number (2577–0243) and comment period for on-site speakers Beyond the Border (BTB)—Report by should be sent to: HUD Desk Officer, may end before the time indicated on the Global Supply Chain Security Land Office of Management and Budget, New the schedule that is posted on the CBP Border Subcommittee. Executive Office Building, Washington, web page at the time of the meeting. • The automation of Ocean and Rail DC 20503; fax: (202) 395–5806. Email: Comments can also be made manifest, Cargo Release, and other CBP [email protected]. Fax: electronically anytime during the COAC automation pilots in the Automated (202) 395–5806. meeting webcast, but please note that Commercial Environment (ACE). FOR FURTHER INFORMATION CONTACT: • webcast participants will not be able to Centralization of single transaction Colette Pollard., Reports Management provide oral comments. Comments bonds and Coordination of bond issues Officer, QDAM, Department of Housing submitted electronically will be read that apply to other subcommittees— and Urban Development, 451 Seventh into the record during the three (3) Report by the Bond Subcommittee. Street SW., Washington, DC 20410; • public comment periods. The evaluation plan regarding email Colette Pollard at Colette. FOR FURTHER INFORMATION CONTACT: Ms. Centers of Expertise and Simplified [email protected] or telephone (202) Wanda Tate, Office of Trade Relations, Entry pilot—Report by the Trade 402–3400. This is not a toll-free number. U.S. Customs and Border Protection, Facilitation Subcommittee. Copies of available documents • 1300 Pennsylvania Avenue NW., Room Feedback received by the agency on submitted to OMB may be obtained 5.2A, Washington, DC 20229; telephone previously submitted from Ms. Pollard. (202) 344–1440; facsimile (202) 325– recommendations—Report by the AD/ SUPPLEMENTARY INFORMATION: This CVD Subcommittee. 4290. notice informs the public that the • Feedback received by the agency on SUPPLEMENTARY INFORMATION: Notice of Department of Housing and Urban previously submitted this meeting is given under the Federal Development has submitted to OMB a recommendations—Report by the Role Advisory Committee Act, 5 U.S.C. App. request for approval of the Information of the Broker Subcommittee. (Pub. L. 92–463). The COAC provides collection described below. This notice advice to the Secretary of Homeland Dated: January 31, 2012. is soliciting comments from members of Security, the Secretary of the Treasury, Maria Luisa O’Connell, the public and affecting agencies and the Commissioner of U.S. Customs Senior Advisor for Trade, Office of Trade concerning the proposed collection of and Border Protection (CBP) on matters Relations. information to: (1) Evaluate whether the pertaining to the commercial operations [FR Doc. 2012–2478 Filed 2–2–12; 8:45 am] proposed collection of information is of CBP and related functions within BILLING CODE 9111–14–P necessary for the proper performance of DHS or the Department of the Treasury. the functions of the agency, including Agenda whether the information will have DEPARTMENT OF HOUSING AND practical utility; (2) Evaluate the The COAC will hear from the URBAN DEVELOPMENT accuracy of the agency’s estimate of the following subcommittees on the topics burden of the proposed collection of listed below and then will review, [Docket No. FR–5603–N–07] information; (3) Enhance the quality, deliberate, and formulate utility, and clarity of the information to recommendations on how to proceed on Notice of Submission of Proposed be collected; and (4) Minimize the those topics: Information Collection to OMB burden of the collection of information • The work of the Global Supply Inspector Candidate Assessment on those who are to respond; including Chain Security Air Cargo Subcommittee: Questionnaire through the use of appropriate Air Cargo Advance Screening (ACAS) automated collection techniques or strategic plan for public release. AGENCY: Office of the Chief Information • Officer, HUD. other forms of information technology, The work of the One U.S. e.g., permitting electronic submission of ACTION: Notice. Government at the Border responses. Subcommittee: Discussions on the 2012 SUMMARY: The proposed information This notice also lists the following subcommittee work plan. information: • The work of the Intellectual collection requirement described below Property Rights (IPR) Enforcement has been submitted to the Office of Title of Proposal: Inspector Candidate Subcommittee: IPR Distribution Chain Management and Budget (OMB) for Assessment Questionnaire. Management concept. review, as required by the Paperwork OMB Approval Number: 2577–0243. Prior to the COAC taking action on any Reduction Act. The Department is Form Numbers: HUD–50002. of these topics of the three above- soliciting public comments on the Description of the Need for the mentioned subcommittees, members of subject proposal. Information and Its Proposed Use: the public will have an opportunity to Individuals interested in conducting Individuals interested in conducting provide comments orally or, for Uniform Physical Condition Standards Uniform Physical Condition Standards comments submitted electronically inspections on behalf of PIH–REAC are inspections on behalf of PIH–REAC are during the meeting, by reading the requested to complete this form. The requested to complete this form. The comments into the record. form is a questionnaire that provides form is a questionnaire that provides The COAC will also receive an update PIH–REAC with basic background PIH–REAC with basic background and discuss the following Initiatives and information about the individual’s information about the individual’s Subcommittee topics that were inspection skills and abilities. inspection skills and abilities. discussed at its December 7, 2011 DATES: Comments Due Date: March 5, Frequency of Submission: On meeting: 2012. occasion.

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Number of Annual × Hours per respondents responses response = Burden hours

Reporting Burden ...... 800 1 1 800

Total Estimated Burden Hours: 800. the proposal by name and/or OMB on those who are to respond; including Status: Extension without change of a approval Number (2506–0089) and through the use of appropriate currently approved collection. should be sent to: HUD Desk Officer, automated collection techniques or Authority: Section 3507 of the Paperwork Office of Management and Budget, New other forms of information technology, Reduction Act of 1995, 44 U.S.C. 35, as Executive Office Building, Washington, e.g., permitting electronic submission of amended. DC 20503; fax: (202) 395–5806. Email: responses. _ Dated: January 27, 2012. OIRA [email protected] fax: This notice also lists the following Colette Pollard, (202) 395–5806. information: Departmental Reports Management Officer, FOR FURTHER INFORMATION CONTACT: Title of Proposal: Emergency Office of the Chief Information Officer. Colette Pollard., Reports Management Solutions Grants Program. Officer, QDAM, Department of Housing [FR Doc. 2012–2469 Filed 2–2–12; 8:45 am] OMB Approval Number: 2506–0089. BILLING CODE 4210–67–P and Urban Development, 451 Seventh Street SW., Washington, DC 20410; Form Numbers: HUD–4150. email Colette Pollard at Description of the Need for the DEPARTMENT OF HOUSING AND [email protected]. or telephone Information and Its Proposed Use: This URBAN DEVELOPMENT (202) 402–3400. This is not a toll-free submission is to request a reinstatement number. Copies of available documents with revisions of an expired information [Docket No. FR–5603–N–08] submitted to OMB may be obtained collection for the reporting burden associated with program and Notice of Submission of Proposed from Ms. Pollard. Information Collection to OMB SUPPLEMENTARY INFORMATION: This recordkeeping requirements that Emergency Comment Request notice informs the public that the Emergency Solutions Grants (ESG) Emergency Solutions Grants Program Department of Housing and Urban program recipients will be expected to Development has submitted to OMB a implement and retain. This submission AGENCY: Office of the Chief Information request for approval of the Information is limited to the reporting burden under Officer, HUD. collection described below. This notice the ESG entitlement program, formerly ACTION: Notice. is soliciting comments from members of titled, Emergency Shelter Grants the public and affecting agencies Program and changed to match the new SUMMARY: The proposed information concerning the proposed collection of program name created through the collection requirement described below information to: (1) Evaluate whether the HEARTH Act. To see the regulations for has been submitted to the Office of proposed collection of information is the new ESG program and applicable Management and Budget (OMB) for necessary for the proper performance of supplementary documents, visit HUD’s review, as required by the Paperwork the functions of the agency, including Homeless Resource Exchange ESG page Reduction Act. The Department is whether the information will have at http://www.hudhre.info/esg/. The soliciting public comments on the practical utility; (2) Evaluate the statutory provisions and the subject proposal. accuracy of the agency’s estimate of the implementing interim regulations (also DATES: Comments Due Date: March 5, burden of the proposed collection of found at 24 CFR part 576) that govern 2012. information; (3) Enhance the quality, the program require new program and ADDRESSES: Interested persons are utility, and clarity of the information to recordkeeping requirements. invited to submit comments regarding be collected; and (4) Minimize the Members of the Affected Public: ESG this proposal. Comments should refer to burden of the collection of information grantee and subgrantee lead persons.

Number of Annual × Hours per respondents responses response = Burden hours

Reporting Burden: ...... 2,360 222 0.698 367,081

Status: Reinstatement, with change, of DEPARTMENT OF HOUSING AND will be submitted to the Office of previously approved collection for URBAN DEVELOPMENT Management and Budget (OMB) for which approval has expired. review, as required by the Paperwork [Docket No. FR–5607–N–02] Reduction Act. The Department is Authority: Section 3507 of the Paperwork Reduction Act of 1995, 44 U.S.C. 35, as soliciting public comments on the Notice of Proposed Information subject proposal. amended. Collection: Comment Request; Single Dated: January 27, 2012. Family Mortgage Insurance on DATES: Comments Due Date: April 3, Colette Pollard, Hawaiian Homelands 2012. Departmental Reports Management Officer, AGENCY: Office of the Assistant ADDRESSES: Interested persons are Office of the Chief Information Officer. Secretary for Housing, HUD. invited to submit comments regarding [FR Doc. 2012–2488 Filed 2–2–12; 8:45 am] ACTION: Notice. this proposal. Comments should refer to BILLING CODE 4210–67–P the proposal by name and/or OMB SUMMARY: The proposed information Control Number and should be sent to: collection requirement described below Reports Liaison Officer, Department of

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Housing and Urban Development, 451 homelands; or (c) offers other security DEPARTMENT OF HOUSING AND 7th Street SW., Washington, DC 20410, acceptable to the Secretary. URBAN DEVELOPMENT Room 9120 or the number for the In accordance with 24 CFR 203.43i, [Docket No. FR–5610–N–02] Federal Information Relay Service (1– the collection of information is (800) 877–8339). verification that a loan applicant is a Notice of Proposed Information FOR FURTHER INFORMATION CONTACT: native Hawaiian and that the applicant Collection for Public Comment; Public Program Contact, Director, Office of holds a lease on land in a Hawaiian Housing Agency (PHA) 5-Year and Single Family Program Development, Homelands area. A borrower must Annual Plan Department of Housing and Urban obtain verification of eligibility from AGENCY: Office of the Assistant Development, 451 7th Street SW., DHHL and submit it to the lender. A Secretary for Public and Indian Washington, DC 20410, telephone (202) borrower cannot obtain a loan under Housing, HUD. 708–2121 (this is not a toll free number) these provisions without proof of status ACTION: Notice. for copies of the proposed forms and as a native Hawaiian. United States other available information. citizens living in Hawaii are not eligible SUMMARY: The proposed information SUPPLEMENTARY INFORMATION: The for this leasehold program unless they collection requirement described below Department is submitting the proposed are native Hawaiians. The eligibility will be submitted to the Office of information collection to OMB for document is required to obtain benefits. Management and Budget (OMB) for review, as required by the Paperwork review, as required by the Paperwork Reduction Act of 1995 (44 U.S.C. In accordance with 24 CFR Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended). 203.439(c), lenders must report monthly Chapter 35, as amended). The to HUD and the DHHL on delinquent This Notice is soliciting comments Department is soliciting public from members of the public and affected borrowers and provide documentation comments on the subject proposal. agencies concerning the proposed to HUD to support that the loss PHAs are required to submit annual and collection of information to: (1) Evaluate mitigation requirements of 24 CFR 5-Year Plans to HUD as required by whether the proposed collection is 203.604 have been met. To assist the section 5A of the United States Housing necessary for the proper performance of DHHL in identifying delinquent loans, Act of 1937 (42 U.S.C. 1437c–1). The the functions of the agency, including lenders report monthly. A delinquent purpose of the plan is to provide a whether the information will have mortgage that is reported timely would framework for local accountability and practical utility; (2) evaluate the allow DHHL to intervene and prevent an easily identifiable source by which accuracy of the agency’s estimate of the foreclosure. This collection of data is public housing residents, participants in burden of the proposed collection of cited in 2502–0060. the tenant-based assistance program, information; (3) enhance the quality, and other members of the public may Agency form numbers, if applicable: locate basic PHA policies, rules and utility, and clarity of the information to None. be collected; and (4) minimize the requirements concerning the PHA’s burden of the collection of information Estimation of the total numbers of operations, programs and services. on those who are to respond; including hours needed to prepare the information DATES: Comment Due Date: April 3, the use of appropriate automated collection including number of 2012. collection techniques or other forms of respondents, frequency of response, and ADDRESSES: Interested persons are information technology, e.g., permitting hours of response: The number of invited to submit comments regarding electronic submission of responses. burden hours is 109. The number of this proposal. Comments should refer to This Notice also lists the following respondents is 272, the number of the proposal by name/or OMB Control information: responses is 544, the frequency of number and should be sent to: Colette Title of Proposal: Single Family response is on occasion, and the burden Pollard, Departmental Reports Mortgage Insurance on Hawaiian hour per response is one hour and four Management Officer, QDAM, Homelands. minutes. Department of Housing and Urban OMB Control Number, if applicable: Status of the proposed information Development, 451 7th Street SW., Room 2502–0358. collection: This is an extension of a 4160, Washington, DC 20410–5000; Description of the need for the currently approved collection. telephone (202) 402–3400, (this is not a information and proposed use: FHA toll-free number) or email Ms. Pollard at Authority: The Paperwork Reduction Act [email protected]. Persons with insures mortgages on single-family of 1995, 44 U.S.C., Chapter 35, as amended. dwellings under provisions of the hearing or speech impairments may National Housing Act (12 U.S.C. 1709). Dated: January 30, 2012. access this number through TTY by The Housing and Urban Rural Recovery Ronald Y. Spraker, calling the toll-free Federal Information Act (HURRA), Public Law 98–181, Relay Service at (800) 877–8339. (Other Acting General Deputy Assistant Secretary than the HUD USER information line amended the National Housing Act to for Housing—Acting General Deputy Federal and TTY numbers, telephone numbers add Section 247 (12 U.S.C. 1715z–12) to Housing Commissioner. are not toll-free.) permit FHA to insure mortgages for [FR Doc. 2012–2484 Filed 2–2–12; 8:45 am] FOR FURTHER INFORMATION CONTACT: properties located on Hawaiian BILLING CODE 4210–67–P Homelands. Under this program, the Arlette Mussington, Office of Policy, mortgagor must be a native Hawaiian. Programs and Legislative Initiatives, Section 247 requires that the PIH, Department of Housing and Urban Department of Hawaiian Homelands Development, 490 L’Enfant Plaza, Room (DHHL) of the State of Hawaii (a) will 2206, Washington, DC 20024; telephone be a co-mortgagor; (b) guarantees or (202) 402–4109, (this is not a toll-free reimburses the Secretary for any number). mortgage insurance claim paid in SUPPLEMENTARY INFORMATION: The connection with a property on Hawaiian Department will submit the proposed

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information collection to OMB for This Act impacts approximately HCV, HUD–50075–QA, HUD–50075.1, review, as required by the Paperwork seventy-four percent, or 2,994 of the HUD–50075.2, HUD–50077–ST–HCV, Reduction Act of 1995 (44 U.S.C. 4,053 PHAs that are required to submit HUD–50077–SM–HP, HUD–50077–CR, Chapter 35, as amended). This Notice is an annual PHA plan. In addition to the HUD–50077–SL. soliciting comments from members of exemption from submitting annual Members of the Affected Public: the public and affected agencies plans for qualified agencies, because of Local, Regional and State Body concerning the proposed collection of the different annual plan submission Corporate Politic Public Housing information to: (1) Evaluate whether the requirements of agencies that are Agencies (PHAs) Governments. proposed collection of information is considered standard, high-performer, Estimation of the total number of necessary for the proper performance of Housing Choice Voucher (HCV) only, hours needed to prepare the information the functions of the agency, including small, and troubled within 24 CFR part collection including number of whether the information will have 903, the existing approved forms were respondents, frequency of response, and practical utility; (2) evaluate the determined to be incompatible with the hours of response: The estimated accuracy of the agency’s estimate of the program requirements. Therefore, some number of annual burden hours needed burden of the proposed collection of previously approved forms have been to prepare the information collection is information; (3) enhance the quality, separated into new forms that will be 20,290; estimated number of utility, and clarity of the information to completed by different classes of PHAs. respondents is 4,053; the frequency of be collected; and (4) minimize the These changes also reflect response is annually for all PHAs. All burden of the collection of information recommendations made by the public in PHAs may submit updated PHA Plans on those who are to respond, including a previous information collection. when amending or modifying any PHA through the use of appropriate Specifically, this information collection policy, rule, regulation or other aspect automated collection techniques or revises previously approved OMB forms of the plan. other forms of information technology; HUD–50077–SL and HUD–50077–CR; Status of the Proposed Information e.g., permitting electronic submission of adds Certifications of Compliance with Collection: Reinstatement, with change, responses. PHA Plans and Related Regulations of a previously approved collection. This Notice also lists the following (form HUD–50077–SM–HP and HUD– Authority: Section 3507 of the Paperwork information: 50077–ST–HCV) formerly appearing on Reduction Act of 1995, 44 U.S.C. Chapter 35, Title of Proposal: Public Housing form HUD 50077 as separate documents; as amended. deletes approved OMB form HUD– Agency (PHA) 5-Year and Annual Plan. Dated: January 26, 2012. OMB Control Number, if applicable: 50075, and replaces that form with five new forms (form HUD–50075–5Y, Merrie Nichol-Dixon, 2577–0226. HUD–50075–ST, HUD–50075–SM–HP, Deputy Director for Office of Policy, Programs, Description of the Need for the HUD–50075–HCV, and HUD–50075– and Legislative Initiatives. Information and Proposed Use: The QA). [FR Doc. 2012–2481 Filed 2–2–12; 8:45 am] PHA Plan is a comprehensive guide to Qualified PHAs no longer submit BILLING CODE 4210–67–P PHA policies, programs, operations, and information on discretionary programs strategies for meeting local housing (demolition or disposition, HOPE VI, needs and goals. The PHA Plan informs Project-based vouchers, required or DEPARTMENT OF HOUSING AND HUD, residents, and the public of the voluntary conversion, homeownership, URBAN DEVELOPMENT PHA’s mission for serving the needs of or capital improvements, etc.) as part of [Docket No. FR–5601–N–05] low, very low-income, and extremely an Annual PHA Plan submission. low-income families and its strategy for However, Qualified PHAs that intend to Federal Property Suitable as Facilities addressing those needs. This data implement these activities are still to Assist the Homeless allows HUD to monitor the performance subject to the full application and of programs and the performance of approval processes that exist for AGENCY: Office of the Assistant public housing agencies that administer demolition or disposition, designated Secretary for Community Planning and the programs. The PHA Plan is being housing, conversion, homeownership, Development, HUD. revised to address, clarify and provide and other special application processes ACTION: Notice. additional guidance on the submission that will no longer be tied to prior SUMMARY: This Notice identifies requirements for qualified and non- authorization in an Annual PHA Plan unutilized, underutilized, excess, and qualified PHAs, as well as to address for a Qualified PHA. All PHAs, surplus Federal property reviewed by previous public comments. Section including the PHAs identified as HUD for suitability for use to assist the 2702 of Title VII—Small Public Housing Qualified PHAs under HERA, must homeless. Authorities Paperwork Reduction Act, continue to submit any demolition or of the Housing and Economic Recovery disposition, public housing conversion, FOR FURTHER INFORMATION CONTACT: Act (HERA) of 2008 amends section homeownership, or other special Juanita Perry, Department of Housing 5A(b) of the 1937 Act by establishing applications as applicable to HUD’s and Urban Development, 451 Seventh ‘‘qualified public housing agencies,’’ a Special Applications Center (SAC) in Street SW., Room 7266, Washington, DC category of PHAs with less than 550 Chicago for review and approval or to 20410; telephone (202) 708–1234; TTY public housing units and tenant-based HUD Headquarters for CFFP proposals. number for the hearing- and speech- vouchers combined that are provided It is expected that Qualified PHAs, as a impaired (202) 708–2565 (these substantial paperwork relief, primarily matter of good business practice, telephone numbers are not toll-free), or with respect to the PHA Annual Plan continue to keep their residents, the call the toll-free Title V information line requirements in section 5(A)(b) of the general public, and the local HUD office at (800) 927–7588. United States Housing Act of 1937. The apprised of any plans to initiate these SUPPLEMENTARY INFORMATION: In paperwork relief exempts qualified types of programs and activities. accordance with 24 CFR part 581 and PHAs from the requirement to prepare Agency Form Number, if applicable: section 501 of the Stewart B. McKinney and submit an annual PHA plan to HUD HUD–50075–5Y, HUD–50075–ST, Homeless Assistance Act (42 U.S.C. for review. HUD–50075–SM–HP, HUD–50075– 11411), as amended, HUD is publishing

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this Notice to identify Federal buildings Notice showing it as either suitable/ Bridge View Park and other real property that HUD has available or suitable/unavailable. Melrose IA 52569 reviewed for suitability for use to assist For properties listed as suitable/ Landholding Agency: COE the homeless. The properties were unavailable, the landholding agency has Property Number: 31201210001 Status: Unutilized reviewed using information provided to decided that the property cannot be Comments: Off-site removal only; 180 sq. ft.; HUD by Federal landholding agencies declared excess or made available for current use: Fee booth; need repairs—walls regarding unutilized and underutilized use to assist the homeless, and the deteriorating due to moisture buildings and real property controlled property will not be available. Fee Booth by such agencies or by GSA regarding Properties listed as unsuitable will Buck Creek Park its inventory of excess or surplus not be made available for any other Moravia IA 52571 Federal property. This Notice is also purpose for 20 days from the date of this Landholding Agency: COE published in order to comply with the Notice. Homeless assistance providers Property Number: 31201210002 December 12, 1988 Court Order in interested in a review by HUD of the Status: Unutilized National Coalition for the Homeless v. determination of unsuitability should Comments: Off-site removal only; 180 sq. ft.; call the toll free information line at current use: Fee booth; need repairs—walls Veterans Administration, No. 88–2503– deteriorating due to moisture OG (D.D.C.). 1–(800) 927–7588 for detailed Properties reviewed are listed in this instructions or write a letter to Mark Fee Booth Johnston at the address listed at the Prairie Ridge Park Notice according to the following Moravia IA 52571 categories: Suitable/available, suitable/ beginning of this Notice. Included in the Landholding Agency: COE unavailable, suitable/to be excess, and request for review should be the Property Number: 31201210003 unsuitable. The properties listed in the property address (including zip code), Status: Underutilized three suitable categories have been the date of publication in the Federal Comments: Off-site removal only; 180 sq. ft.; reviewed by the landholding agencies, Register, the landholding agency, and current use: Fee booth; need repairs—walls and each agency has transmitted to the property number. contaminated with mold HUD: (1) Its intention to make the For more information regarding Kansas property available for use to assist the particular properties identified in this Shower/Latrine homeless, (2) its intention to declare the Notice (i.e., acreage, floor plan, existing Stockdale Park property excess to the agency’s needs, or sanitary facilities, exact street address), Manhattan KS 66502 (3) a statement of the reasons that the providers should contact the Landholding Agency: COE property cannot be declared excess or appropriate landholding agencies at the Property Number: 31201210004 made available for use as facilities to following addresses: COE: Mr. Scott Status: Underutilized assist the homeless. Whiteford, Army Corps of Engineers, Comments: Off-site removal only; 576 sq. ft.; Properties listed as suitable/available Real Estate, CEMP–CR, 441 G Street current use: Shower/toilet; need repairs— bldg. deteriorating will be available exclusively for NW., Washington, DC 20314; (202) 761– homeless use for a period of 60 days 5542; ENERGY: Mr. Mark Price, 2 Single Privies Spillway State Park from the date of this Notice. Where Department of Energy, Office of Manhattan KS 66502 property is described as for ‘‘off-site use Engineering & Construction Landholding Agency: COE only’’ recipients of the property will be Management, MA–50, 1000 Property Number: 31201210005 required to relocate the building to their Independence Ave. SW., Washington, Status: Underutilized own site at their own expense. DC 20585: (202) 586–5422; GSA: Mr. Comments: Off-site removal only; 72 sq. ft.; Homeless assistance providers Gordon Creed, Acting Deputy Assistant current use: Toilet; need major repairs— interested in any such property should Commissioner, General Services bldgs. are deteriorating send a written expression of interest to Administration, Office of Property Comfort Station HHS, addressed to Theresa Ritta, Disposal, 18th & F Streets NW., Tuttle Creek Cove Division of Property Management, Washington, DC 20405; (202) 501–0084; Manhattan KS 66502 Landholding Agency: COE Program Support Center, HHS, room INTERIOR: Mr. Michael Wright, Property Number: 31201210006 5B–17, 5600 Fishers Lane, Rockville, Acquisition & Property Management, Status: Underutilized MD 20857; (301) 443–2265. (This is not Department of the Interior, 1801 Comments: Off-site removal only; 312 sq. ft.; a toll-free number.) HHS will mail to the Pennsylvania Ave. NW., 4th Floor, current use: Toilet; need major repairs— interested provider an application Washington, DC 20006: (202) 254–5522; bldg. is deteriorating packet, which will include instructions NAVY: Mr. Albert Johnson, Department 2 Vault Toilets for completing the application. In order of the Navy, Asset Management Stockdale Park to maximize the opportunity to utilize a Division, Naval Facilities Engineering Manhattan KS suitable property, providers should Command, Washington Navy Yard, Landholding Agency: COE submit their written expressions of 1330 Patterson Ave. SW., Suite 1000, Property Number: 31201210007 interest as soon as possible. For Status: Underutilized Washington, DC 20374; (202) 685–9305 Comments: Off-site removal only; 80 sq. ft.; complete details concerning the (These are not toll-free numbers). current use: Toilet; bldgs. are processing of applications, the reader is Dated: January 26, 2012. deteriorating—need major repairs encouraged to refer to the interim rule governing this program, 24 CFR part Mark R. Johnston, Minnesota 581. Deputy Assistant Secretary for Special Needs. Border Patrol Station For properties listed as suitable/to be TITLE V, FEDERAL SURPLUS PROPERTY 1412 Hwy 11–17 W excess, that property may, if PROGRAM FEDERAL REGISTER REPORT Intern’l Falls MN 56649 subsequently accepted as excess by FOR 02/03/2012 Landholding Agency: GSA Property Number: 54201210001 GSA, be made available for use by the Suitable/Available Properties Status: Excess homeless in accordance with applicable Building GSA Number: 1–X–MN–0595–AA law, subject to screening for other Comments: 2,368 sq. ft.; current use: Office, Federal use. At the appropriate time, Iowa garage, cold storage; possible asbestos and HUD will publish the property in a Fee Booth lead base paint

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Unsuitable Properties Bureau of Reclamation Department of Housing and Urban Bayfield CO Building Development, Room 8134, 451 Seventh Landholding Agency: Interior Street SW., Washington, DC 20410, Arkansas Property Number: 61201140008 Status: Excess Telephone at (202) 402–5728. Persons Armer House with speech or hearing impairments Buffalo Nat’l River Comments: Landlocked Compton AR 72624 Reasons: Not accessible by road may call the Federal Relay Service TTY Landholding Agency: Interior Illinois at (800) 877–8339. Except for the ‘‘800’’ Property Number: 61201210003 FAA Middle Marker Site number, these telephone numbers are Status: Excess 467 37th Ave not toll-free. Individuals may also reach Comments: Beyond repair; does not meet St. Charles IL 60174 Mr. Blanford via email at criteria or potential for habitation or other Landholding Agency: GSA [email protected]. use for homeless persons Property Number: 54201140008 Reasons: Extensive deterioration Status: Excess SUPPLEMENTARY INFORMATION: HUD California GSA Number: 1–U–IL–798 invited applicants to submit proposals Facility 02747 Comments: 500 gallon above ground tank for for funding to develop and disseminate Naval Air Weapons Station diesel storage is 1,356 ft. from the FAA one or more sets of ‘‘Lessons Learned’’ China Lake CA 93555 Middle Marker Site Reasons: Within 2000 ft. of flammable or that will inform Native American Landholding Agency: Navy communities of the issues to be Property Number: 77201140022 explosive material considered when taking on sustainable Status: Excess Washington Reasons: Secured Area construction efforts. HUD was looking Shelton-Bangor Bremerton Rail for applications that can provide Native Florida 1011 Tautog Circle American communities with Stanfield Property Silverdale WA 98315 Daytona Beach Comm. College Landholding Agency: Navy information from Native American New Smyrna Beach FL 32169 Property Number: 77201210001 communities that have undertaken some Landholding Agency: Interior Status: Excess level of Sustainable Construction, and to Property Number: 61201210001 Comments: Within 200 to 300 ft. from use their experience to inform other Status: Unutilized commercial facilities that handle explosive communities as they consider Comments: Beyond repair; does not meet materials Reasons: Within 2000 ft. of flammable or undertaking similar activity. Grants criteria or potential for habitation or other could range from $50,000 to $125,000. use for homeless persons explosive material Grants are awarded for up to a two-year Reasons: Extensive deterioration [FR Doc. 2012–2065 Filed 2–2–12; 8:45 am] period. Missouri BILLING CODE 4210–67–P Water Quality Bldg. The Catalog of Federal Domestic Pomme de Terre Lake Project Assistance number for this program is Hermitage MO 65668 DEPARTMENT OF HOUSING AND 14.525. URBAN DEVELOPMENT Landholding Agency: COE On October 14, 2011, HUD posted a Property Number: 31201210008 Status: Underutilized [Docket No. FR–5415–FA–42] Notice of Funds Availability (NOFA) for Comments: Deteriorated beyond repair; Fiscal Year 2010 Transformation therefore, does not meet criteria or Announcement of Funding Awards for Initiative: Sustainable Construction in potential for habitation and/or other use for Fiscal Year 2010 Sustainable Indian Country Small Grant Program on homeless persons Construction in Indian Country Small Grants.gov. The Department reviewed, Reasons: Extensive deterioration Grant Program evaluated and scored the applications New Mexico AGENCY: Office of the Assistant received based on the criteria in the 15 Bldgs. Secretary for Policy Development and NOFA. As a result, HUD has funded the Los Alamos Nat’l Lab Research, HUD. applications announced below, and in Los Alamos NM 87545 ACTION: Announcement of funding accordance with Section 102(a)(4)(C) of Landholding Agency: Energy the Department of Housing and Urban Property Number: 41201210001 award. Status: Excess Development Reform Act of 1989 (103 Directions: 03–0097, 03–0251, 03–0373, 03– SUMMARY: In accordance with Section Stat. 1987, U.S.C. 3545). 102(a)(4)(C) of the Department of 0460, 03–0461, 03–0462 03–0467, 03–0472, Dated: January 6, 2012. 03–0473, 03–1578, 03–1664, 03–1701, 03– Housing and Urban Development (HUD) 1789,03–2260, 16–0363 Reform Act of 1989, this document Raphael W. Bostic, Reasons: Secured Area notifies the public of funding awards for Assistant Secretary for Policy Development North Carolina the Fiscal Year (FY) 2010 Sustainable and Research. Nat’l Park Service Construction in Indian Country Small List of Awardees for Grant Assistance Superintendent’s Quarters Grant (SCinIC) Program. The purpose of Under the Fiscal Year (FY) 2010 Kills Devil Hill NC 27948 this document is to announce the names Sustainable Construction in Indian Landholding Agency: Interior and addresses of the award winners and Country Small Grant Program Funding Property Number: 61201210002 the amount of the award to be used to Competition, by Institution, Address, Status: Unutilized help develop, deploy, and disseminate and Grant Amount Comments: Beyond repair; does not meet innovative approaches of Sustainable criteria or potential for habitation or other Construction methods or practices that use for homeless persons 1. Enterprise Community Partners, Reasons: Extensive deterioration are suitable for Indian Country. 10227 Wincopin Circle, Columbia, MD FOR FURTHER INFORMATION CONTACT: 21044–3400. Grant: $120,678. Land Mike Blanford, Affordable Housing [FR Doc. 2012–2476 Filed 2–2–12; 8:45 am] Colorado Research and Technology, Office of BILLING CODE 4210–67–P Pine River Project Policy Development and Research, U.S.

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DEPARTMENT OF THE INTERIOR and natural resource management. at least seven calendar days prior to the Members were selected in accordance meeting. Office of the Secretary with the Federal Advisory Committee Written comments may be sent to the Act and will serve without Designated Federal Officer listed in the National Commission on Indian Trust compensation. FOR FURTHER INFORMATION CONTACT Administration and Reform The Commission will complete a section above. AGENCY: Office of the Secretary, Interior. comprehensive evaluation of the Dated: January 27, 2012. ACTION: Notice of meeting. Department’s management and David J. Hayes, administration of trust assets within a Deputy Secretary. SUMMARY: The Office of the Secretary is two year period and offer [FR Doc. 2012–2401 Filed 2–2–12; 8:45 am] announcing that the National recommendations to the Secretary of the Commission on Indian Trust Interior of how to improve in the future. BILLING CODE 4310–W7–P Administration and Reform (the The Commission will: Commission) will hold its first meeting (1) Conduct a comprehensive DEPARTMENT OF THE INTERIOR in Washington, DC. The purpose of the evaluation of the Department’s meeting is for the Commission to management and administration of the Office of the Secretary commence performance of the duties set trust administration system; forth in Secretarial Order No. 3292. This (2) Review the Department’s provision Trust Land Consolidation Draft Plan includes a thorough evaluation of the of services to trust beneficiaries; AGENCY: Office of the Secretary, Interior. existing management and (3) Review input from the public, administration of the trust interested parties, and trust ACTION: Notice of Availability. administration system to support a well- beneficiaries which should involve SUMMARY: The Cobell Class Action reasoned and factually-based conducting a number of regional Settlement Agreement established a recommendations for potential listening sessions; trust land consolidation fund to be used management and administration (4) Consider the nature and scope of for consolidating Indian trust and improvements. necessary audits of the Department’s restricted lands and acquiring fractional DATES: The Commission’s first meeting trust administration system; interests in these lands. We are seeking will begin at 8:30 a.m. on March 1, (5) Recommend options to the comments on the draft plan for 2012, and end at 4 p.m. on March 2, Secretary to improve the Department’s accomplishing these goals. 2012. Attendance is open to the public, management and administration of the DATES: Submit comments by March 19, but limited space is available. Members trust administration system based on 2012. information obtained from these of the public who wish to attend should ADDRESSES: Commission’s activities, including Send comments on the draft RSVP by February 24, 2012 to: plan to: Elizabeth Appel, Bureau of [email protected]. whether any legislative or regulatory changes are necessary to permanently Indian Affairs, 1001 Indian School Road ADDRESSES: The first meeting will be implement such improvements; and NW., Suite 312, Albuquerque, NM 87104; Email: [email protected]. held at the Department of the Interior, (6) Consider the provisions of the You can request copies of the draft plan 1849 C Street NW., Room 5160, American Indian Trust Fund by sending a letter or email to one of the Washington, DC 20240. Management Reform Act of 1994 above addresses or by calling 505–563– FOR FURTHER INFORMATION CONTACT: The providing for the termination of the 3805. Designated Federal Officer, Meghan Office of the Special Trustee for Conklin, Associate Deputy Secretary, American Indians, and make FOR FURTHER INFORMATION CONTACT: Office of the Secretary, 1849 C Street recommendations to the Secretary Meghan Conklin, Department of the NW., Washington, DC 20240; or email to regarding any such termination. Interior, 1849 C Street NW., [email protected]. Members Washington, DC 20240. Email: of the public who wish to attend the Meeting Details [email protected]. meeting should RSVP to: At the first meeting, the Commission SUPPLEMENTARY INFORMATION: [email protected] by will be discussing its goals and In 1996, Eloise Cobell filed class February 24, 2012. procedures, developing a meeting action litigation seeking redress for the SUPPLEMENTARY INFORMATION: As part of schedule and work plan, and reviewing alleged mismanagement of land trust President Obama’s commitment to past trust reform and FACA committee accounts for American Indians. The fulfilling this nation’s trust efforts. A final agenda will be posted on litigation eventually included hundreds responsibilities to Native Americans, www.doi.gov/cobell prior to the meeting. of motions, seven full trials, and dozens the Secretary of the Interior appointed All meetings are open to the public; of rulings and appeals. On December 8, members to serve on the National however, transportation, lodging, and 2009, the Department reached a Commission on Indian Trust meals are the responsibility of the negotiated settlement agreement to Administration and Reform established participating public. Please note: any resolve the issues that gave rise to the under Secretarial Order No. 3292, dated member of the public who wishes to litigation. The settlement agreement: December 8, 2009. The Commission will attend must RSVP to • Ended litigation regarding the play a key role in the Department’s [email protected] by February federal government’s performance of an ongoing efforts to empower Indian 24, 2012, and bring valid Government historical accounting for trust accounts nations and strengthen nation-to-nation identification (such as a driver’s license) maintained by the United States on relationships. The Secretary selected the on the day of the meeting to obtain behalf of more than 300,000 individual members after a public solicitation for access to the building. Persons with a Indians. nominations and evaluated the disability requiring special services, • Established a fund to be distributed candidates on the basis of their such as an interpreter for the hearing to class members to compensate them expertise and experience, including in impaired, should contact Meghan for their historical accounting claims, government and trust, financial, asset Conklin at [email protected] and to resolve potential claims that

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prior U.S. officials mismanaged the • A willing seller program to enable SUMMARY: The Bureau of Ocean Energy administration of trust assets. sales of fractionated interests from Management (BOEM) will use Form • Established a trust land interested owners; and 0008 to issue commercial renewable consolidation fund for the voluntary • The availability of cooperative energy leases on the Outer Continental buy-back and consolidation of agreements to maximize tribal Shelf (OCS). In the preamble to the fractionated land interests. involvement in the consolidation April 29, 2009, Final Rule, ‘‘Renewable The draft plan we are making process. Energy and Alternate Uses of Existing available for comment would Copies of the complete draft plan are Facilities on the Outer Continental implement the last of the above available at the address given in the Shelf,’’ BOEM stated that ‘‘we intend to elements by carrying out a program of ADDRESSES section of this notice. develop a model lease form through a land consolidation within the 10-year Before including your address, phone public process that will invite all deadline established in the agreement. number, email address, or other interested and affected parties for their The trust land consolidation fund is personal identifying information in your input.’’ (74 FR 19638, April 29, 2009). intended to remedy the proliferation of comment, you should be aware that thousands of new trust accounts caused your entire comment—including your The BOEM developed a draft of the by the increasing subdivision or personal identifying information—may form included in this Notice, and ‘‘fractionation’’ of land interests through be made publicly available at any time. published it in the Federal Register (76 succeeding generations. Fractionation is While you can ask us in your comment FR 55090, September 6, 2011) with a 30- the result of the division among to withhold your personal identifying day comment period (Draft Form). multiple heirs of increasingly smaller information from public review, we BOEM has reviewed all the comments land interests. The land consolidation cannot guarantee that we will be able to received and revised the Draft Form fund and the associated land do so. where appropriate. For further information, including summaries of consolidation program will provide Dated: January 27, 2012. individual American Indians an comments and BOEM’s response to David J. Hayes, opportunity to obtain cash payments for those comments, visit BOEM’s Web site, fractionated land interests and will Deputy Secretary of the Interior. at http://www.boem.gov/Renewable- make consolidated lands available for [FR Doc. 2012–2400 Filed 2–2–12; 8:45 am] Energy-Program/Regulatory- use by tribal communities. BILLING CODE 4310–10–P Information/Index.aspx. The goal of the draft land DATES: The lease form will be effective consolidation plan, developed as a DEPARTMENT OF THE INTERIOR and available for use on February 21, result of consultation with Indian tribal 2012. representatives, is to reduce land Bureau of Ocean Energy Management fractionation as quickly and FOR FURTHER INFORMATION CONTACT: economically as possible. The draft plan [BOEM–2012–0006] Maureen A. Bornholdt, Program would achieve sufficient capacity and Manager, Office of Renewable Energy efficiency for the implementation of the Commercial Lease of Submerged Programs, at (703) 787–1300 for lease land consolidation program under the Lands for Renewable Energy questions. settlement agreement and includes a Development on the Outer Continental Dated: January 23, 2012. land consolidation process consisting of Shelf Tommy P. Beaudreau, three elements: AGENCY: • Bureau of Ocean Energy A targeted land fractionation Management, Interior. Director, Bureau of Ocean Energy program to focus on areas where land Management. ACTION: Notice. fractionation is greatest; BILLING CODE 4310–VH–P

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[FR Doc. 2012–2496 Filed 2–2–12; 8:45 am] location. The longest north/south Treatment of confidential information is BILLING CODE 4310–VH–C portion is approximately 10.5 nmi in addressed in the section of this Call length and the longest portion of the entitled, ‘‘Protection of Privileged or east/west portion is approximately 13 Confidential Information.’’ Information DEPARTMENT OF THE INTERIOR nmi in length. The area is made up of that is not labeled as privileged or 19 whole OCS blocks and 13 sub-blocks. confidential will be regarded by BOEM Bureau of Ocean Energy Management The entire area is approximately as suitable for public release. [Docket No. BOEM–2011–0093] 112,799 acres, or 45,648 hectares. This FOR FURTHER INFORMATION CONTACT: Ms. area was delineated in consultation with Erin C. Trager, Project Coordinator, Commercial Leasing for Wind Power the BOEM Virginia Renewable Energy BOEM, Office of Renewable Energy Development on the Outer Continental Task Force. A detailed description of Programs, 381 Elden Street, HM 1328, Shelf (OCS) Offshore Virginia—Call for the area is presented later in this notice. Herndon, Virginia 20170–4817, (703) Information and Nominations DATES: BOEM must receive your 787–1320, or [email protected]. AGENCY: Bureau of Ocean Energy nomination describing your interest in SUPPLEMENTARY INFORMATION: Management (BOEM), Interior. this potential leasing area postmarked by March 19, 2012. BOEM will consider Purpose of the Call for Information and ACTION: Call for Information and only those nominations received or Nominations Nominations. postmarked by then. Submissions of The OCS Lands Act requires BOEM to SUMMARY: BOEM invites submissions of comments or other submissions of award leases competitively, unless nominations from parties interested in information are also requested by this BOEM makes a determination that there obtaining one or more commercial date. is no competitive interest (43 U.S.C. leases that would allow a lessee to Submission Procedures: If you are 1337(p)(3)). The issuance of this Call is propose the construction of a wind submitting a nomination for a not intended to indicate that BOEM has energy project(s) on the OCS offshore commercial lease in response to this determined that competitive interest Virginia. Although the publication of Call, please submit your nomination by exists in the area identified. Rather, this this notice is not itself a leasing mail to the following address: Bureau of notice is the first step in the renewable announcement, the area described Ocean Energy Management, Office of energy leasing process offshore Virginia herein may be subject to future leasing. Renewable Energy Programs, 381 Elden and the responses to it will assist BOEM BOEM will use the response to this Call Street, HM 1328, Herndon, Virginia in determining whether competitive for Information and Nominations (Call) 20170–4817. In addition to a paper copy interest exists in the area. This notice to gauge specific interest in the of the nomination, include an electronic also requests information from acquisition of commercial wind lease(s) copy of the nomination on a compact interested and affected parties on issues in some or all of the area and to disc (CD). Nominations must be relevant to BOEM’s review of determine whether competitive interest postmarked by March 19, 2012. BOEM nominations for potential leasing in the exists in any particular area, as required will list the parties that submitted area. by 43 U.S.C. 1337(p)(3). Parties wishing nominations and the location of the BOEM is issuing a Call instead of a to submit a nomination in response to proposed lease areas (OCS blocks they Request for Interest (RFI) to facilitate this Call should submit detailed and nominated) on the BOEM Web site after and expedite the leasing process specific information as described in the the 45-day comment period closes. consistent with the goals and objectives section entitled, ‘‘Required Nomination Comments and other submissions of of the Secretary of the Interior’s ‘‘Smart Information.’’ information may be submitted by either from the Start’’ initiative. If an RFI were BOEM also requests comments from of the following two methods: issued and the responses to it indicated interested and affected parties regarding 1. Federal eRulemaking Portal: competitive interest, the applicable site conditions, resources, and multiple http://www.regulations.gov. In the entry regulations would require BOEM to uses of the identified area that would be titled ‘‘Enter Keyword or ID,’’ enter issue a Call, which BOEM believes relevant to BOEM’s review of the BOEM–2011–0093, then click ‘‘search.’’ would be duplicative of the RFI process. nominations submitted and any Follow the instructions to submit public Issuance of this Call, without an RFI, is subsequent decision concerning comments and view supporting and designed to enable BOEM to obtain and whether to offer all or part of the area related materials available for this analyze the information needed to for commercial wind leasing. notice. support consideration of appropriate Information that BOEM is requesting is 2. By U.S. Postal Service or other commercial leasing, while ensuring described in the section entitled, delivery service, sending your comments ample opportunity for input from ‘‘Requested Information from Interested and information to the following interested and affected parties. or Affected Parties.’’ address: Bureau of Ocean Energy The responses to this Call could lead This notice is published pursuant to Management, Office of Renewable to the initiation of a competitive leasing subsection 8(p)(3) of the OCS Lands Act Energy Programs, 381 Elden Street, HM process in some areas of the Call Area (43 U.S.C. 1337(p)(3)), which was added 1328, Herndon, Virginia 20170–4817. (i.e., where competition exists for by section 388 of the Energy Policy Act All responses will be reported on certain tracts), and a noncompetitive of 2005 (EPAct), as well as the http://www.regulations.gov. process in others (i.e., where no implementing regulations at 30 CFR part If you wish to protect the competitive interest exists for certain 585. confidentiality of your nominations or tracts). The leasing process is described The Call Area described in this notice comments, clearly mark the relevant more completely under ‘‘Competitive is located on the OCS offshore Virginia. sections and request that BOEM treat Leasing Process’’ and ‘‘Noncompetitive The western edge of the Call Area is them as confidential. Please label Leasing Process’’ below. If BOEM approximately 23.5 nautical miles (nmi) privileged or confidential information determines that there is no competitive from the Virginia Beach coastline, and ‘‘Contains Confidential Information’’ interest in some or all of this area extends to an eastern edge that is and consider submitting such offshore Virginia, BOEM may proceed approximately 36.5 nmi from the same information as a separate attachment. with the noncompetitive lease process

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pursuant to 30 CFR 585.232 for any available on the BOEM Web site at: which originally consisted of five state area(s) for which no competitive interest http://www.boem.gov/Renewable- universities, two state agencies, and two exists. If BOEM determines that there is Energy-Program/State-Activities/ industry organizations. VCERC was competitive interest in some or all of the Virginia.aspx created to serve as an interdisciplinary research, study, and information area described in this Call, BOEM may Executive Order 13547: Stewardship of resource for the state on Virginia’s proceed with the competitive leasing the Ocean, Our Coasts, and the Great coastal energy resources, including process set forth under 30 CFR Lakes 585.211(c) through 585.225. Whether offshore wind. For more information the leasing process is competitive or On July 19, 2010, the President signed about VCERC visit www.vcerc.org. noncompetitive, BOEM will (1) provide an Executive Order establishing a • In February 2008, the additional opportunities for the public national ocean policy and the National Commonwealth of Virginia submitted a to submit input; and (2) review Ocean Council (75 FR 43023). The nomination to BOEM for a four-block proposed leases thoroughly for potential Order establishes a comprehensive, area under the BOEM Interim Policy (72 environmental and multiple use integrated national policy for the FR 62673 (Nov. 6, 2007)) for impacts. A lease, whether issued stewardship of the ocean, our coasts and authorization of the installation of through a competitive or non- the Great Lakes. Where BOEM actions offshore data collection and technology competitive process, gives the lessee the affect the ocean, the Order requires testing facilities on the OCS. These four exclusive right to subsequently seek BOEM to take such action as necessary blocks were contained within a BOEM approval for the development of to implement this policy, to adhere to surrounding ocean space of 50 lease the leasehold. The lease does not grant the stewardship principles and national blocks that were then under study by the lessee the right to construct any priority objectives adopted by the Order, VCERC. Virginia was not selected as a facilities; rather, the lease grants the and follow guidance from the National priority area by DOI under the Interim right to use the leased area to develop Ocean Council. Policy; therefore, this nomination was BOEM appreciates the importance of not selected for leasing consideration. its plans, which BOEM must approve • before the lessee may proceed to the coordinating its planning endeavors In September 2009, former next stage of the process. See 30 CFR with other OCS users and regulators. It Governor Timothy M. Kaine sent a letter 585.600 and 585.601. The area that may intends to follow principles of coastal to BOEM requesting the formation of an be offered for leasing, if any, has not yet and marine spatial planning, and intergovernmental Renewable Energy been determined and may be reduced coordinate with the regional planning Task Force to facilitate communication further from the area identified in this bodies as established by the National and coordination among Federal, state, Call based on various factors. Ocean Council, to inform its leasing local, and tribal government agencies for processes. BOEM anticipates that OCS renewable energy activities off Background continued coordination with the state Virginia and to inform the Federal leasing and lease development process. Energy Policy Act of 2005 (EPAct) Renewable Energy Task Forces will help inform comprehensive coastal and The BOEM Virginia Renewable Energy The EPAct amended the OCS Lands marine spatial planning efforts. Task Force was formed in December Act by adding subsection 8(p)(1)(c), 2009. which authorizes the Secretary of the Actions Taken by the Commonwealth of • In April 2010, Governor Robert F. Interior to grant leases, easements, or Virginia in Support of Renewable McDonnell signed legislation to reward rights-of-way (ROWs) on the OCS for Energy Development investor-owned electric utilities for activities that are not otherwise The Commonwealth of Virginia has using offshore wind energy over other authorized by law and that produce or taken important steps to encourage and forms of energy. The legislation support the production, transportation, incentivize offshore wind energy provides for an investor-owned electric or transmission of energy from sources development. While a state may utility to receive triple credit toward other than oil or gas. Subsection 8(p) promote such development through meeting the goals of the renewable requires the Secretary to issue activities such as the creation of energy portfolio standard program for regulations to carry out the new energy financial incentives, an offshore wind energy derived from offshore wind. This development authority on the OCS. The project cannot be developed on the OCS legislation also created the Virginia Secretary delegated the authority to without an OCS renewable energy lease Offshore Wind Development Authority issue leases, easements, and ROWs, and issued by BOEM pursuant to 30 CFR for the purposes of facilitating, to promulgate regulations to the Director Part 585 and subsequent BOEM coordinating, and supporting the of BOEM. On April 29, 2009, BOEM approval of a Construction and development of the offshore wind promulgated the Renewable Energy and Operations Plan (COP). Below is a energy industry, offshore wind energy Alternate Uses (REAU) rule, 30 CFR Part description of the activities that the projects, and associated supply chain 585, which can be found at: http:// state has undertaken to support vendors. www.boem.gov/Renewable-Energy- renewable energy development on the • In January 2011, the Virginia Program/Regulatory-Information/ OCS off its coast. Department of Mines, Minerals, and Index.aspx#Rules_Development. • In September 2007, Virginia Energy (DMME) submitted a draft established a 10-Year Energy Plan, the unsolicited research lease application to BOEM Virginia Renewable Energy Task purpose of which was to chart a path BOEM under 30 CFR Part 585.238. Force forward to provide for reliable energy Proposed activities included the BOEM formed the BOEM Virginia supplies at reasonable rates and increase construction of meteorological towers Renewable Energy Task Force in the use of energy efficiency measures in for early mapping of the offshore wind December 2009 to facilitate coordination Virginia. resource in the Call Area and the among relevant Federal agencies and • In a separate chapter of the same installation of research turbines for affected state, local, and tribal state legislation that established the demonstrating reliability and governments throughout the leasing Virginia Energy Plan, the General survivability. In January 2011, Governor process. The BOEM Virginia Renewable Assembly created the Virginia Coastal Robert F. McDonnell sent BOEM a letter Energy Task Force meeting materials are Energy Research Consortium (VCERC), supporting DMME’s efforts to obtain a

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research lease. The DMME finalized its information received, undertake a (3) Bid Submission and Evaluation: application in September 2011. More completeness and qualifications review Following publication of the FSN in the information about the Commonwealth’s of the nominations received, and make Federal Register, qualified bidders may proposed research activities can be a determination as to whether submit their bids to BOEM in found in the section of this Call entitled competitive interest exists. accordance with procedures specified in ‘‘Research Lease Application.’’ To support the determination of the FSN. The bids, including the bid The ability of private developers to take competitive interest, BOEM will first deposits if applicable, would be advantage of Virginia’s incentives for assess whether there is any geographic reviewed for technical and legal potential projects on the OCS offshore overlap of the area(s) nominated. If two adequacy. BOEM would evaluate each Virginia would be dependent on, among areas nominated fully or partially bid to determine if the bidder has other things, the developers obtaining overlap, BOEM will continue to proceed complied with all applicable regulations leases and subsequent approvals from with the competitive lease process as and with the terms of the FSN. BOEM BOEM for their proposed projects on the described below. BOEM may consult reserves the right to reject any or all bids OCS. with the BOEM Virginia Renewable and the right to withdraw an offer to Energy Task Force throughout this lease an area from the sale. Department of the Interior ‘‘Smart From process. (4) Issuance of a Lease: Following the the Start’’ Atlantic Wind Initiative Situations may arise in which several selection of a winning bid or bids by The Secretary of the Interior, Ken parties nominate lease areas that do not BOEM, the submitter(s) is/are notified of Salazar, announced the ‘‘Smart from the overlap. Under these circumstances, the decision and provided a set of Start’’ OCS renewable energy initiative BOEM could choose to employ an official lease documents for execution. on November 23, 2010. This initiative allocation system of leases that involves The successful bidder(s) will be includes three key elements: (1) the creation of competition across tracts. required to execute the lease, pay the Eliminating a redundant step from the This system is referred to as intertract remainder of the bonus bid, if REAU rule; (2) identifying Wind Energy competition and could also be applicable, and file the required Areas (WEA) to be analyzed in an implemented under the competitive financial assurance within 10 days of environmental assessment (EA) process outlined in the REAU rule. receiving the lease copies. Upon receipt (prepared pursuant to the National BOEM may consult with the BOEM of the required payments, financial Environmental Policy Act (NEPA) (42 Virginia Renewable Energy Task Force assurance, and properly executed lease U.S.C. 4321 et seq.)) for the purpose of in determining whether to use an forms, BOEM will issue a lease to the supporting lease issuance and site intertract competition system. successful bidder(s). Pursuant to 30 CFR 585.212, BOEM assessment activities; and (3) Competitive Leasing Process proceeding on a parallel track to process may decide to end the competitive offshore transmission proposals. If, after receiving responses to this leasing process prior to the publication A WEA is an OCS area that appears Call, BOEM proceeds with the of a FSN if it believes that competitors to be suitable for commercial wind competitive leasing process for certain have withdrawn and competitive energy leasing. The Virginia WEA was areas, it will follow the steps required interest no longer exists. A termination delineated based on deliberation and by 30 CFR 585.211(c) through 585.225: of the competitive process would consultation with the BOEM Virginia (1) Proposed Sale Notice: BOEM will require BOEM to publish an additional Renewable Energy Task Force and was publish a Proposed Sale Notice (PSN) in notice in the Federal Register to selected to be evaluated in a regional the Federal Register and send the PSN confirm that competitive interest no EA. A map showing the WEA can be to the Governor of any affected state, longer exists in the area. BOEM would found on the BOEM Web site at: any affected tribes, and the executive of use the information received in http://www.boem.gov/Renewable- any local government that might be response to this additional notice to Energy-Program/Smart-from-the-Start/ affected. The PSN will describe the determine whether it would continue Index.aspx. areas that BOEM has decided to offer for with the competitive lease sale process As described in the section of this leasing and the proposed terms and or initiate the noncompetitive lease notice entitled, ‘‘Development of the conditions of a lease sale, including the negotiation process. Call Area,’’ this area has been further proposed auction format, lease form and Noncompetitive Leasing Process refined based upon input from the lease provisions. Additionally, the PSN BOEM Virginia Renewable Energy Task will describe the criteria and process for If, after evaluating the responses to Force and other stakeholders who evaluating bids. The PSN would be this notice, BOEM determines that there commented on the original WEA and issued after preparation of various is no competitive interest in a proposed the Notice of Intent (NOI) to Prepare an analyses of proposed lease sale lease, it may proceed with the EA for the ‘‘Smart from the Start’’ WEAs economic terms and conditions. The noncompetitive lease issuance process (76 FR 7226 (Feb. 9, 2011)). The Virginia comment period following issuance of a pursuant to 30 CFR 585.232, WEA may be further adjusted in PSN is 60 days. coordinating with the BOEM Virginia response to comments and information (2) Final Sale Notice: If BOEM decides Renewable Energy Task Force, as received from this notice as well as to proceed with lease issuance after appropriate. Should BOEM decide to future sale notices. considering comments on the PSN, it proceed with the noncompetitive will publish the Final Sale Notice (FSN) leasing process, it will ask if the Determination of Competitive Interest in the Federal Register at least 30 days respondent wants to proceed with The first step in determining whether before the date of the sale. BOEM may acquiring the lease, and if so, the there is competitive interest in an area use one of the following three auction respondent must submit an acquisition for wind energy projects on the OCS formats to select the winning bidder(s): fee as specified within 30 CFR offshore of Virginia will be the Sealed bidding; ascending bidding; or 585.502(a). After receiving the evaluation of submissions nominating two-stage bidding (a combination of acquisition fee, BOEM would publish a particular areas for lease. At the ascending bidding and sealed bidding). notice in the Federal Register conclusion of the comment period for BOEM will publish the criteria for announcing a determination of no this Call, BOEM will review the winning bid determinations in the FSN. competitive interest. Within 60 days of

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the date of that notice, the respondent Commercial Wind Lease Issuance and provide the public and Federal officials would be required to submit a Site Site Characterization Activities on the with comprehensive information Assessment Plan (SAP), as described in Atlantic Outer Continental Self Offshore regarding the reasonably foreseeable 30 CFR 585.231(d)(2)(i). New Jersey, Delaware, Maryland, and environmental impacts of the proposed BOEM will comply with the Virginia Environmental Assessment project. In this NEPA analysis, BOEM requirements of NEPA, CZMA, and (Regional EA) can be found at: http:// would evaluate the potential other applicable Federal statutes when www.boem.gov/Renewable- environmental and socioeconomic in the process of issuing a lease EnergyProgram/Smart-from-the-Start/ consequences of the proposed project. noncompetitively. BOEM coordinates Index.aspx. The area identified in this This analysis would inform BOEM’s and consults, as appropriate, with Call matches the Virginia WEA decision to approve, approve with relevant Federal agencies, affected described in the preferred alternative in modification, or disapprove a lessee’s tribes, and affected state and local the Regional EA. COP pursuant to 30 CFR 585.628. This governments, in issuing a In the event that a particular lease is NEPA process also would provide noncompetitive lease and developing issued, and the lessee subsequently additional opportunities for public lease terms and conditions. submits a Site Assessment Plan (SAP), involvement pursuant to NEPA and the It is possible that responses to this pursuant to 30 CFR 585.605–618, BOEM White House Council on Environmental notice may result in a determination would then determine whether the EA Quality’s regulations at 40 CFR parts that there is competitive interest for adequately considers the environmental 1500–1508. some areas but not for others. BOEM consequences of the activities proposed would announce publicly its Description of the Call Area in the lessee’s SAP. If BOEM determines determinations before proceeding with a that the analysis in the EA adequately competitive process, a noncompetitive The Call Area offshore Virginia considers these consequences, then no process, both, or neither. contains 19 whole OCS blocks and 13 further analysis under the National sub-blocks. The western edge of the Call Environmental Reviews Environmental Policy Act (NEPA) is approximately 23.5 nmi from the BOEM has prepared an EA would be required before BOEM make a Virginia Beach coastline, and extends to considering the environmental impacts decision on the SAP. If, on the other an eastern edge that is approximately and socioeconomic effects of issuing hand, BOEM determines that the 36.5 nmi from the same location. The renewable energy leases. The EA analysis in this EA is inadequate for that longest north/south portion is includes reasonably foreseeable site purpose, BOEM would prepare approximately 10.5 nmi in length and characterization activities, such as, additional NEPA analysis before it the longest portion of the east/west geophysical, geotechnical, could make a decision on the SAP. In portion is approximately 13 nmi in archaeological, and biological surveys either event, BOEM would then make a length. The entire area is approximately on those leases identified in WEAs decision to approve, approve with 112,799 acres, or 45,648 hectares. The offshore New Jersey, Delaware, modifications, or disapprove the SAP. boundary of the Call Area follows the Maryland, and Virginia. The EA also If a lessee is prepared to propose a points listed in the table below in considers the reasonably foreseeable wind energy generation facility on its clockwise order beginning in the environmental impacts and lease, it would submit a construction northwest corner of block 6012–C. Point socioeconomic effects associated with and operations plan (COP). BOEM then numbers 1 and 9 are the same. the approval of site assessment activities would prepare a separate site- and Coordinates are provided in X, Y (including the installation and operation project-specific NEPA analysis of the (eastings, northings) UTM Zone 18N, of meteorological towers and buoys) on proposed project. This analysis would NAD 83 and geographic (longitude, the leases that may be issued. The likely take the form of an EIS and would latitude), NAD83.

X Easting Y Northing Point No. UTM) (UTM) Longitude Latitude

1 ...... 459200 4094400 -75.458518 36.994856 2 ...... 480800 4094400 -75.215776 36.995546 3 ...... 480800 4075200 -75.215289 36.822467 4 ...... 456800 4075200 -75.484393 36.821676 5 ...... 456800 4092000 -75.485351 36.973115 6 ...... 458000 4092000 -75.471870 36.973169 7 ...... 458000 4093200 -75.471937 36.983986 8 ...... 459200 4093200 -75.458453 36.984039 9 ...... 459200 4094400 -75.458518 36.994856

The following 19 full OCS blocks are 6015, 6016, 6062, 6063, 6064, 6065, following 13 sub-blocks are included included within the Call Area: Currituck 6066, 6112, 6113, 6114, 6115, 6116, within the Call Area: Sound NJ18–11, blocks 6013, 6014, 6162, 6163, 6164, 6165, and 6166. The

Protraction name Protraction No. Block No. Sub block

Currituck Sound ...... NJ18–11 6012 C,D,F,G,H,I,J,K,L,M,N,O,P

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List of OCS Blocks and Sub-Blocks in available information. These areas are nautical charts within the Call Area that the Call Area Potentially Subject to described below. contains a fish haven/artificial reef site. The specific sub-blocks transected by Limitations Fish Haven/Artificial Reef Site the fish haven/artificial reef site are The Call Area includes areas that An obstruction area has been listed below. Site-specific stipulations BOEM wishes to highlight as areas of identified on the National Oceanic and may be applied to any leases issued in, special interest or concern based on Atmospheric Administration (NOAA) or plans approved for, this area.

Protraction name Protraction No. Block No. Sub block

Currituck Sound ...... NJ18–11 6013 B,C,D,E,F,G,H,I,J,K,L Currituck Sound ...... NJ18–11 6014 A,B,E,F,I,J

Navigation stipulations may include (1) measures to by VCERC at the time as part of its The U.S. Coast Guard (USCG) advises avoid impacts to protected species offshore wind mapping initiative and that all blocks included in the Call Area during site assessment activities and was delineated to avoid sensitive require further study to determine site- characterization surveys, (2) ecological areas offshore the barrier specific risks to navigational safety. It is documentation of the presence or islands to the north and take advantage possible that OCS blocks included in absence of protected species, and (3) of a region comprised of Class 6 winds. the Call Area may not be made available sharing of data collected related to In addition, BOEM had received two for leasing and/or development due to protected species. More information on commercial unsolicited lease requests navigational safety issues, and any protective measures for site assessment within this area, which BOEM will not blocks that are may require site-specific and site characterization activity can be process, as further described in the stipulations and conditions. found in the Environmental Assessment section entitled ‘‘Unsolicited for Commercial Wind Lease Issuance Applications Received by BOEM for Department of Defense (DoD) Activities and Site Characterization Activities on Areas Offshore Virginia.’’ Following the The Call Area includes OCS blocks the Atlantic Continental Shelf Offshore first meeting of the BOEM Virginia where site-specific conditions and New Jersey, Delaware, Maryland, and Renewable Energy Task Force, and stipulations may need to be developed Virginia. based on continuing dialogue with the and applied to any leases issued and/or Map of the Call Area Task Force and individual member plans approved to help ensure that agencies, the area was further refined to projects are compatible with DoD A map of the Call Area can be found avoid sensitive operating and warning activities. Such stipulations may at: http://www.boem.gov/Renewable- areas under the purview of DoD and include, but are not limited to: Energy-Program/State-Activities/ National Aeronautics Space 1. A hold-and-save-harmless Virginia.aspx. Administration (NASA), as well as a agreement where the lessee assumes all A large scale map of the Call Area dredge disposal area under the risks of damage or injury to persons or showing boundaries of the area with regulatory authority of the U.S. Army property if such injury or damage to numbered blocks is available from Corps of Engineers. As part of this effort, such person or property occurs by BOEM at the following address: Bureau BOEM asked DoD, USCG, and NASA to reason of the activities of the U.S. of Ocean Energy Management, Office of conduct evaluations of the area under Government; Renewable Energy Programs, 381 Elden consideration and make 2. A requirement that at times Street, HM 1328, Herndon, Virginia recommendations to BOEM as to blocks requested by DoD, the lessee control its 20170–4817.Phone: (703) 787–1320, that should be excluded from leasing own electromagnetic emissions and Fax: (703) 787–1708. and/or development due to sensitive those of its agents, employees, invitees, Development of the Call Area agency activities, as well as areas that independent contractors, or The Call Area was delineated through could be included with appropriate subcontractors when operating in conditions and stipulations. specified DoD Operating Areas consultation with the BOEM Virginia (OPAREAs) or warning areas; Renewable Energy Task Force and is DoD conducted two evaluations 3. An agreement with the appropriate intended to achieve a balance that following the first and second task force DoD commander when operating vessels provides adequate protection of meetings, and provided to BOEM its or aircraft in a designated OPAREA or ecologically sensitive areas, minimizes recommendations regarding OCS blocks warning area requiring that these vessel space-use conflicts, and maximizes the that would be inappropriate for leasing and aircraft movements be coordinated area available for commercial offshore and development in light of existing with the appropriate DoD commander; wind development. Specific mitigation, DoD activities. DoD also recommended 4. A requirement that at times stipulations, or exclusion areas may be that, should leases be issued, requested by DoD, the lessee developed as a result of environmental subsequent development in the temporarily suspend operations and/or reviews and associated consultations, as remaining area should be subject to site- evacuate the lease in the interest of well as continued coordination with the specific stipulations. NASA determined safety and/or national security. BOEM Virginia Renewable Energy Task that the Call Area was compatible with Force. launch operations at NASA Wallops Protected Species The development of the Call Area Flight Facility. In advance of the third BOEM may consider including began with consideration of a Task Force meeting in December 2010, stipulations specific to protected species preliminary 70 OCS block area of the USCG Fifth District identified a in renewable energy leases that may be interest discussed at the first BOEM deep-water slough or channel in use by issued in the Call Area, as well as in any Virginia Renewable Energy Task Force deep-draft vessels exiting and entering associated plans that may be approved meeting in December 2009. The area the Chesapeake Bay. It recommended within the Call Area. Examples of encompassed the 50 blocks under study that a 3 nmi setback be established

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between the charted dredge disposal navigational aids, vessel traffic services, The USCG identified OCS blocks area at the entrance to the Bay and the or pilotage. (including sub-blocks) that, if western edge of the Call Area. Currently, there is no standard developed, may have an unacceptable To better delineate the Call Area to recommended separation distance effect on navigational safety, and other avoid areas heavily used by vessels between offshore renewable energy OCS blocks (including sub-blocks) that entering and exiting the Chesapeake facilities and shipping routes. The would require further study to Bay, BOEM acquired Automatic USCG has reviewed guidance published determine the potential effect that the Identification System (AIS) data from by other countries such as the United installation of offshore wind facilities in 2009 and conducted an analysis to Kingdom’s Maritime Guidance Note these blocks would have on navigational identify vessel uses of the area, MGN–371 and consulted with its own safety. including deep-draft, barge, tug, and waterways subject matter experts. The USCG commented to BOEM that, tow. This information was presented to Currently, USCG considers the it appears at this time, if any offshore the BOEM Virginia Renewable Energy placement of offshore wind facilities in wind facilities were to be installed in Task Force on August 17, 2011, and any area less than 1 nmi from traditional the future, most of the blocks and sub- allowed for further refinement of the shipping routes as a high risk to blocks included in the Call would Call Area. The Call Area described in navigational safety and therefore does require USCG to create significant new this notice was further refined on the not recommend placement of offshore routing measures to ensure navigation basis of the USCG’s evaluation of the wind facilities in such areas. The USCG safety. The USCG cautions that after it Call Area; which BOEM received in considers placement of such facilities in has completed its ACPARS and has September 2011. areas greater than 5 nmi from existing performed a deliberate evaluation of More detailed descriptions of certain shipping routes as a minimal risk to vessel routing measures, it may issues raised through consultation with navigational safety. Areas considered for conclude that ultimate development of the BOEM Virginia Renewable Energy placement of offshore wind facilities many or all of the blocks now included Task Force and other information that between 1 nmi and 5 nmi would require in the Call would present serious risks may be of interest to potential Call additional USCG analysis to determine to navigation. The USCG has informed respondents and other relevant parties if mitigation factors could be applied to BOEM that it cannot make a final is included below. bring navigational safety risk within determination of the potential risk that Navigational Issues acceptable levels. ultimate development of the Call Area Respondents to this Call should note would present to navigation until it has The USCG has provided the following that impacts to radar and ARPA may completed its ACPARS analysis. information for consideration by still occur outside of 1 nmi and would potential respondents to this Call and have to be evaluated along with other Department of Defense Activities other interested parties. The USCG has potential impacts. The above The Call Area is within the DoD a responsibility under the Ports and considerations are only planning Virginia Capes Operating Area Waterways Safety Act (PWSA) to ensure guidelines, and the guidelines may be (VACAPES OPAREA), which is a the safety of navigation. The PWSA changed based on the completion of the subsurface, surface, and air operations requires USCG to provide safe access USCG’s Atlantic Coast Port Access area off the Virginia coast that includes routes for the movement of vessel traffic Route Study (ACPARS). In addition, both Warning Area 50 (W–50) and proceeding to or from ports or places these guidelines may be further Warning Area 72 (W–72). subject to the jurisdiction of the United modified upon completion of a The W–50 warning area air space States. USCG meets this requirement Navigational Safety Risk Assessment overlies that portion beyond 3 nmi from through designation of necessary (NSRA), which may be required before the coast of Dam Neck, Virginia and is fairways and traffic separation schemes BOEM could approve a lessee’s plan for subdivided into three sub-areas. All (TSS) for vessels operating in the the construction of any offshore wind areas encompass the sea surface and territorial sea of the United States and facilities. airspace up to an altitude of 75,000 feet. in high sea approaches, outside the The USCG is conducting ACPARS to Naval operations conducted in W–50 territorial sea. The USCG may also determine how best to route traffic on include mine warfare training, surface- determine that establishment of other the Atlantic coast (see 76 FR 27288; May to-surface, air-to-surface and surface-to- ships’ routing measures, such as a 11, 2011). This study would better air gunnery exercises, airborne drone precautionary area, would enhance inform the USCG about the navigational and seaborne target launch, transit and navigational safety. The USCG works safety risks, if any, associated with recovery operations, and unit level Fleet with its Federal interagency and construction of offshore wind facilities. and Navy Special Warfare training. International Maritime Organization The data gathered during this ACPARS A firing range surface danger zone partners to establish these voluntary may result in the establishment of new defined in 33 CFR 334.390(a) underlies measures as necessary. vessel routing measures, modification of most of the W–50 warning area, and The potential for navigational safety existing routing measures, or removal of DoD activities in this danger zone are risk posed by installing structures in some existing routing measures off the the same as described for the warning proximity to shipping routes is affected Atlantic Coast from Maine to Florida. area. Navy ships, surface craft, and by numerous factors including, but not As a member of the BOEM Virginia aircraft require freedom of movement to limited to: vessel size; vessel type; Renewable Energy Task Force, the tactically maneuver within the danger density of traffic; prevailing conditions; USCG partnered with BOEM to gather zone. Regulations set forth in 33 CFR cumulative impact of multiple existing AIS data, stakeholder input, 334.390(b)(1) require vessels transiting obstructions (for example, wind and information on existing traffic the danger zone to proceed with caution assessment or development facilities); patterns, as well as historical and and to not remain in the area longer existence of multiple shipping routes current coastwise and international than necessary for transit. Potential (for example, crossing or meeting uses, within the Call Area offshore wind energy development in the lease situations); radar/automatic radar Virginia. The USCG conducted an blocks identified in this Call may create plotting aid (ARPA) interference; and evaluation, using the best available a constriction of the danger zone for existence of mitigating factors such as information, of the Virginia Call Area. vessel traffic approaching and departing

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Chesapeake Bay. An affected entity Proposed Construction or Alteration. In humpback, and fin whales—are likely to would need to ask DoD to modify the response, the FAA would issue an occur in the Call Area; sperm, blue, and area of the danger zone to mitigate the opinion regarding whether or not the sei whales are typically found in waters potential vessel traffic constriction. proposed structure(s) would constitute a farther offshore. The W–72 warning area overlies the hazard to air navigation. Four species of listed sea turtles, sea surface and contains the airspace Protected Species including endangered leatherback located seaward of W–50 in the (Dermochelys coriacea), Kemp’s ridley VACAPES OPAREA. Special use Within the Call Area there are several (Lepidochelys kempi) and green airspace within the portion of W–72 species listed as threatened or (Chelonia mydas) and threatened west of 75° 30’W extends from the sea endangered under the jurisdiction of loggerhead (Caretta caretta), occur surface up to, but not including 2,000 either the U.S. Fish and Wildlife Service seasonally in the Call Area. Sea turtles feet, (Area 13A) and then again above or NOAA’s National Marine Fisheries arrive in the mid-Atlantic, including the 60,000 feet (flight level 600) to Service (NMFS). These species are Call Area, in the spring and typically unlimited (Area 13B). Air operations described in this Call for informational begin migrating southward by mid- between 2,000 feet and 60,000 feet are purposes only. The federally-listed November. controlled by Naval Air Station Oceana, endangered Roseate Tern (Sturna Virginia (2,000 feet to 23,000 feet) and dougallii dougallii) and Cahow In addition to these ESA-listed marine by the Federal Aviation (Pterodroma cahow) may occur mammals and sea turtles, NMFS has Administration’s (FAA) Washington occasionally within the Call Area, proposed to list 5 distinct population Center (24,000 feet to 60,000 feet). Naval though neither species is expected to segments (DPS) of Atlantic sturgeon as operations conducted in W–72 include frequent the area based on available threatened or endangered. The marine air-to-air, air-to-surface, and surface-to- data. The Roseate Tern may pass range of Atlantic sturgeon from all five surface missile, gunnery and bomb through the area during migration, and of the DPSs extends from the Bay of training, aircraft carrier launch and the Cahow may occur during some Fundy, Canada into Florida and recovery operations, and airborne drone weather conditions or while foraging includes the Virginia Call Area. NMFS and seaborne target launch, transit and outside of the breeding season. In is in the process of final rulemaking recovery operations. addition to these two listed species, regarding the status of Atlantic sturgeon. Two Navy Shipboard Electronic seabirds protected under the Migratory Unsolicited Applications Received by Systems Evaluation Facility (SESEF) Bird Treaty Act may occur in the Call BOEM for Areas Offshore Virginia instrumented buoys are located in the Area. Several species listed as vicinity of Chesapeake Light. Naval threatened or endangered under the Research Lease Application vessels conduct electronic systems tests jurisdiction of NMFS occur seasonally and evaluation in the vicinity of these in the Call Area. NMFS has not In September 2011, DMME submitted buoys and require freedom of movement designated any critical habitat within an unsolicited application for a research while circumnavigating each buoy in a the Call Area. Six species of endangered lease under 30 CFR 585.238. Four of the 1 or 2 nmi radius. large whales occur seasonally off the sub-blocks in this research lease Atlantic coast of the U.S.: the North application are within the Call Area and Air Navigation Atlantic right (Eubalaena glacialis), fin DMME proposes to use these sub-blocks The FAA coordinates closely with the (Balaenoptera physalus), sei for the siting of two meteorological DoD and has jurisdiction over (Balaenoptera borealis), humpback towers for monitoring of wind commercial flight paths out to 12 nmi (Megaptera novaeangliae), sperm velocities, water levels, waves, and bird offshore. Developers may be required to (Physeter macrocephalus), and blue and bat activities within and around the notify the FAA of construction of (Balaenoptera musculus). However, of Call Area. These four sub-blocks are structures in that area with a Notice of these six species, only three—right, listed below:

Protraction name Protraction No. Block No. Sub block

Currituck Sound ...... NJ18–11 6014 B,C Currituck Sound ...... NJ18–11 6164 N,O

The DMME application states that the uses of the area(s) would not be leases on the OCS offshore Virginia proposed meteorological towers can be compatible. If BOEM receives a pursuant to 30 CFR 585.230. The planned, designed, installed and begin nomination for a commercial wind lease unsolicited lease requests were collecting data by the summer of 2013. encompassing a portion of the Call Area submitted by Apex Offshore Wind LLC Installation is contingent upon the that DMME has proposed for a research (Apex) and Seawind Renewable Energy acquisition of an OCS lease and lease. BOEM may issue only a Corporation (Seawind). BOEM has subsequent submittal and BOEM review commercial lease in that area. For informed the applicants that BOEM will of an adequate plan describing these BOEM to initiate the leasing process for not proceed with processing these activities. the proposed research lease, BOEM unsolicited requests and invited them to This Call will enable BOEM to make would be required to publish a separate submit a nomination pursuant to this a determination regarding competitive Federal Register notice to determine Call instead. If either applicant is commercial interest in the Call Area, competitive interest, per 30 CFR interested in obtaining a lease in the which encompasses these portions of § 585.238(c). Call Area offshore Virginia, it must DMME’s proposed research lease. Commercial Applications BOEM believes that potential submit a complete nomination that commercial development in an area In August and September 2009, two describes that applicant’s commercial should take priority over potential applicants submitted separate interest in direct response to the Call. research activities in that area, if the two unsolicited requests for commercial

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Required Nomination Information facilities described in (2) above. Protection of Privileged or Confidential Nomination for a commercial wind Guidance regarding the required Information documentation to demonstrate your energy lease in the area identified in Freedom of Information Act this notice must include the following: technical and financial qualifications can be found at http://www.boem.gov/ BOEM will protect privileged or (1) The BOEM Protraction name, confidential information submitted as number, and specific whole or partial Renewable-Energy-Program/Regulatory- Information/Index.aspx#Notices_to_ required by the Freedom of Information OCS blocks within the Call Area that are _ _ _ Act (FOIA). Exemption 4 of FOIA of interest for commercial wind leasing, Lessees, Operators and Applicants. Documentation you submit to applies to trade secrets and commercial including any required buffer area. This or financial information that you submit information should be submitted as a demonstrate your legal, technical, and financial qualifications must be that is privileged or confidential. If you spatial file compatible with ArcGIS 9.3 wish to protect the confidentiality of provided to BOEM in both paper and in a geographic coordinate system (NAD such information, clearly mark it and electronic formats. BOEM considers an 83) in addition to a hard copy submittal. request that BOEM treat it as Adobe PDF file stored on a compact disc If the proposed project area includes confidential. BOEM will not disclose (CD) to be an acceptable format for one or more partial blocks, please such information, subject to the submitting an electronic copy. describe those partial blocks in terms of requirements of FOIA. Please label a sixteenth (i.e., sub-block) of an OCS It is critical that you submit a privileged or confidential information block. BOEM will not consider any complete nomination so that BOEM may ‘‘Contains Confidential Information’’ areas outside of the Call Area in this evaluate your submission in a timely and consider submitting such process; manner. If BOEM reviews your information as a separate attachment. (2) A description of your objectives nomination and determines that it is However, BOEM will not treat as and the facilities that you would use to incomplete, BOEM will inform you of confidential any aggregate summaries of achieve those objectives; this determination in writing. This letter such information or comments not (3) A preliminary schedule of will describe the information that containing such information. proposed activities, including those BOEM determined to be missing from Additionally, BOEM will not treat as leading to commercial operations; your nomination, and which you must confidential (1) the legal title of the (4) Available and pertinent data and submit in order for BOEM to deem your nominating entity (for example, the information concerning renewable submission complete. You will be given name of your company), or (2) the list energy resources and environmental 15 business days from the date of the of whole or partial blocks that you are conditions in the area that you wish to letter to submit the information that nominating. Finally, information that is lease, including energy and resource BOEM found to be missing from your not labeled as privileged or confidential data and information used to evaluate original submission. If you do not meet would be regarded by BOEM as suitable the Call Area. Where applicable, spatial this deadline, or if BOEM determines for public release. information should be submitted in a this second submittal is insufficient and format compatible with ArcGIS 9.3 in a has failed to complete your nomination, Section 304 of the National Historic geographic coordinate system (NAD 83); then BOEM retains the right to deem Preservation Act (NHPA) (16 U.S.C. (5) If your nomination includes any of your nomination invalid. In that case, 470w–3(a)) the sub-blocks that the Commonwealth BOEM would not process your BOEM is required, after consultation of Virginia has identified for potential nomination. with the Secretary of the Interior, to research activities, state whether you withhold the location, character, or Requested Information From Interested would consider such activities to be ownership of historic resources if it or Affected Parties compatible with the commercial wind determines that disclosure may, among activities you ultimately plan to BOEM is requesting from the public other things, risk harm to the historic undertake on the lease. If it would be and other interested or affected parties resources or impede the use of a necessary for BOEM to exclude or specific and detailed comments traditional religious site by restrict those activities from occurring regarding the following: practitioners. Tribal entities should in your commercial lease area, please (1) Geological and geophysical designate information that falls under provide an explanation; conditions (including bottom and Section 304 of NHPA as confidential. (6) Documentation demonstrating that shallow hazards) in the area described Dated: January 23, 2012. you are legally qualified to hold a lease in this notice; Tommy P. Beaudreau, as set forth in 30 CFR 585.106 and 107. (2) Known archaeological and/or Examples of the documentation Director, Bureau of Ocean Energy cultural resource sites on the seabed in Management. appropriate for demonstrating your legal the area described in this notice; qualifications and related guidance can [FR Doc. 2012–2516 Filed 2–2–12; 8:45 am] be found in Chapter 2 and Appendix B (3) Historic properties potentially BILLING CODE 4310–VH–P of the BOEM Renewable Energy affected by the construction of meteorological towers, the installation Framework Guide Book available at: DEPARTMENT OF THE INTERIOR http://www.boem.gov/Renewable- of meteorological buoys, or commercial wind development in the area identified Energy-Program/Regulatory- Bureau of Ocean Energy Management Information/Index.aspx#Notices_to_ in this Call; Lessees,_Operators_and_Applicants. (4) Multiple uses of the area, [Docket No. BOEM–2011–0058] Legal qualification documents will be including navigation (in particular, commercial and recreational vessel use), Commercial Leasing for Wind Power placed in an official file that may be on the Outer Continental Shelf made available for public review; and recreation, and fisheries (commercial and recreational); and Offshore Maryland—Call for (7) Documentation demonstrating that Information and Nominations you are technically and financially (5) Other relevant socioeconomic, capable of constructing, operating, biological, and environmental AGENCY: Bureau of Ocean Energy maintaining and decommissioning the information. Management (BOEM), Interior.

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ACTION: Call for Information and response to the RFI were considered BOEM, Office of Renewable Energy Nominations for Commercial Leases for when delineating the area. A detailed Programs, 381 Elden Street, Mail Stop Wind Power on the Outer Continental description of the area and its HM 1328, Herndon, Virginia 20170, Shelf Offshore Maryland. development is found later in this (703) 787–1320. notice. SUPPLEMENTARY INFORMATION: SUMMARY: In November 2010, the Bureau of Ocean Energy Management, DATES: Nominations submitted in Purpose of the Call for Information and Regulation and Enforcement, now response to this notice must be Nominations postmarked no later than March 19, BOEM, issued a Request for Interest The OCS Lands Act requires BOEM to 2012. Submissions of comments or other (RFI) to gauge specific interest in award leases competitively, unless submissions of information are also obtaining commercial wind leases in an BOEM makes a determination that there area on the Outer Continental Shelf requested by this date. Submission Procedures: If you are is no competitive interest (43 U.S.C. (OCS) offshore Maryland. Based on the 1337(p)(3)). The purpose of this notice expressions of interest received in submitting a nomination for a lease in response to this Call, please submit your is to inform the public that BOEM has response to the RFI, BOEM has determined that competitive interest nomination by mail to the following determined that competitive interest exists in the area identified, solicit any address: Bureau of Ocean Energy exists in the area identified. The additional expressions of interest in Management, Office of Renewable publication of this Call for Information obtaining a lease in the area identified, Energy Programs, 381 Elden Street, Mail and Nominations (Call) initiates the and request information from interested Stop HM 1328, Herndon, Virginia competitive leasing process on the OCS and affected parties on issues relevant to 20170. In addition to a paper copy of the offshore Maryland for the area identified BOEM’s review of nominations for nomination, include an electronic copy herein. potential leases in the area identified. The publication of this notice does of the nomination on a compact disc not mean that BOEM will ultimately (CD). Nominations must be postmarked Background grant a lease to any particular party in by March 19, 2012. BOEM will list the Energy Policy Act of 2005 the area identified offshore Maryland. parties that submitted nominations and Rather, the publication of this notice the location of the proposed lease areas The EPAct amended the OCS Lands indicates that the area described may be (OCS blocks they nominated) on the Act by adding subsection 8(p), which subject to future leasing. BOEM is using BOEM Web site after the 45-day authorizes the Secretary of the Department of the Interior (DOI) to grant this notice both to solicit any additional comment period has closed. leases, easements, or rights-of-way lease nominations and to request Comments and other submissions of (ROWs) on the OCS for activities that comments from interested and affected information may be submitted by either are not otherwise authorized by law and parties regarding site conditions, of the following two methods: that produce or support production, resources, and multiple uses of the area 1. Federal eRulemaking Portal: transportation, or transmission of energy identified that would be relevant to http://www.regulations.gov. In the entry from sources other than oil or gas. BOEM’s potential leasing and titled ‘‘Enter Keyword or ID,’’ enter Subsection 8(p) also requires the development authorization process. BOEM–2011–0058, then click ‘‘search.’’ Secretary to issue regulations to carry Parties wishing to submit a nomination Follow the instructions to submit public comments and view supporting and out the new energy development in response to this Call should submit authority on the OCS. The Secretary detailed and specific information as related materials available for this notice. delegated the authority to issue such described in the section entitled, leases, easements, and ROWs, and to ‘‘Required Nomination Information.’’ 2. By U.S. Postal Service or other delivery service, sending your promulgate such regulations to the The information that BOEM is Director of BOEM. On April 29, 2009, requesting from the public is described comments and information to the following address: Bureau of Ocean BOEM promulgated the Renewable in the section entitled, ‘‘Requested Energy and Alternate Uses (REAU) rule, Information from Interested or Affected Energy Management, Office of Renewable Energy Programs, 381 Elden at 30 CFR Part 585, which can be found Parties.’’ at: http://www.boem.gov/ This notice is published pursuant to Street, Mail Stop HM 1328, Herndon, Virginia 20170. UploadedFiles/ subsection 8(p)(3) of the OCS Lands Act, FinalRenewableEnergyRule.pdf. 43 U.S.C. 1337(p)(3), which was added All responses will be reported on by section 388 of the Energy Policy Act http://www.regulations.gov. If you wish BOEM Maryland Renewable Energy of 2005 (EPAct), as well as the to protect the confidentiality of your Task Force implementing regulations at 30 CFR part nominations or comments, clearly mark BOEM formed the BOEM Maryland 585. the relevant sections and request that Renewable Energy Task Force to The Call area described in this notice BOEM treat them as confidential. Please facilitate coordination among relevant is located on the OCS offshore label privileged or confidential Federal agencies and affected state, Maryland. The western edge of the Call information ‘‘Contains Confidential local, and tribal governments is approximately 10 nautical miles (nmi) Information’’ and consider submitting throughout the leasing process. The from the Ocean City, Maryland coast, such information as a separate BOEM Maryland Renewable Energy and the eastern edge is approximately attachment. Treatment of confidential Task Force meeting materials are 23 nmi from the Ocean City, Maryland information is addressed in the section available on the BOEM web site at: coast. The longest portion of the north/ of this Call entitled, ‘‘Protection of www.boem.gov/Renewable-Energy- south portion is approximately 13 nmi Privileged or Confidential Information.’’ Program/State-Activities/Maryland.aspx in length and the longest portion of the Information that is not labeled as east/west portion is approximately 13 privileged or confidential will be Executive Order 13547: Stewardship of nmi in length. This Call area was regarded by BOEM as suitable for public the Ocean, Our Coasts, and the Great established in consultation with the release. Lakes BOEM Maryland Renewable Energy FOR FURTHER INFORMATION CONTACT: On July 19, 2010, the President signed Task Force, and comments received in Aditi Mirani, Project Coordinator, Executive Order 13547 establishing a

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national ocean policy and the National facilitate compatible uses, and reduce calls with affected individuals; and (5) Ocean Council (75 FR 43023). The environmental impacts to preserve mailed mapping charts. Order establishes a comprehensive, crucial ecosystem services. Information At the March 23, 2011, BOEM integrated national policy for the gathered through this state interagency Maryland Task Force meeting the MEA stewardship of the ocean, our coasts and marine spatial planning process allowed requested the formation of a Marine the Great Lakes. Where BOEM actions the development of the Maryland Transportation, Navigation and Safety affect the ocean, the Order requires Coastal Atlas—a comprehensive working group to specifically address BOEM to take such action as necessary internet-based tool that allows commercial shipping, navigation and to implement this policy, to adhere to stakeholders to review the compiled safety concerns associated with the the stewardship principles and national data in an interactive format. The development of offshore wind resources priority objectives adopted by the Order, Maryland Coastal Atlas can be found at off the coast of Maryland. The working and follow guidance from the National http://www.dnr.state.md.us/ccp/ group met on May 11, 2011, to discuss Ocean Council. coastalatlas/ocean.asp. possible leasing areas and the various BOEM appreciates the importance of In November 2009, the MEA issued a potential implications for maritime coordinating its planning endeavors Request for Expressions of Interest and safety and navigation matters. with other OCS users and regulators and Information for the development of Additionally, MEA staff has participated intends to follow the principles of areas of the OCS offshore Maryland. The in stakeholder-led discussions on these coastal and marine spatial planning, and Request, which closed on March 1, issues. After extensive consultation with coordinate with the regional planning 2010, called for information about areas the Maryland Department of bodies as established by the National considered most desirable for offshore Transportation, the Maryland Port Ocean Council, to inform its leasing wind energy development and comment Administration and other interested processes. BOEM anticipates that on what technologies were most stakeholders, the working group’s continued coordination with the State appropriate for the geophysical discussions informed the Renewable Energy Task Forces will help conditions present in this area of the recommendation of state agencies to inform comprehensive coastal and OCS. Additionally, information was BOEM regarding the geographical area marine spatial planning efforts. requested on what policies and described in this Call. Actions Taken by the State of Maryland incentives would be most helpful for the Department of the Interior ‘‘Smart from in Support of Offshore Renewable development of offshore wind energy in the Start’’ Atlantic Wind Initiative Energy Development this area. Secretary of the Interior Ken Salazar BOEM recognizes the importance of In addition to providing input to the announced the ‘‘Smart from the Start’’ the steps that the State of Maryland has BOEM Maryland Renewable Energy OCS renewable energy initiative on taken to encourage and incentivize Task Force, Maryland State agencies November 23, 2010. This initiative offshore wind energy development. have continued to conduct outreach to includes three key elements: (1) While a state may promote such stakeholders. In April 2010, DNR and Eliminating a redundant step from the development through activities such as MEA conducted two open houses to REAU rule; (2) the identification of the creation of financial incentives, it is allow citizens to ask questions and Wind Energy Areas (WEA) to be important to note that an offshore wind provide feedback. Experts from both analyzed in an Environmental project cannot be sited on the OCS agencies and project partners were on Assessment (EA) (prepared pursuant to without an OCS renewable energy lease hand to answer questions and provide the National Environmental Policy Act issued by BOEM pursuant to 30 CFR information about ocean mapping and (NEPA) (42 U.S.C. 4321 et seq.)) for the Part 585. Below is a description of the planning, offshore wind, prospective purpose of supporting lease issuance activities that the state has undertaken project timelines, anticipated processes with associated site characterization and to support renewable energy and opportunities for community site assessment activities; and (3) development on the OCS off its coast. response. In addition, MEA and DNR proceeding on a parallel track to process The State of Maryland has engaged in conducted comprehensive outreach to offshore transmission proposals. a planning process to evaluate and Ocean City and other coastal A WEA is an OCS area that appears determine areas of the OCS that may be communities to gather input on to be most suitable for commercial wind suitable for offshore wind energy potential viewshed impact and share energy leasing. The area that was development. This process was information on planning processes. included in the Maryland RFI, intended to inform state To inform the state recommendations published in November 2010, was recommendations to BOEM regarding to BOEM during the planning and designated as the WEA in February 2011 potentially suitable areas for BOEM to leasing process, the DNR has (76 FR 7226 (Feb. 9, 2011)). A map consider when moving forward with its maintained a dialogue with the showing the WEA can be found on the offshore wind energy leasing process. recreational and commercial fishing BOEM Web site at: www.boem.gov/ Since 2009, the Maryland Department sectors to collect more detailed Renewable-Energy-Program/Smart-from- of Natural Resources (DNR) has been information about fishing use areas. the-start/index.aspx. working with resource experts, user Information about general recreational As described in the section of this groups, The Nature Conservancy (TNC), and commercial fishing use areas, more notice entitled, ‘‘Development of the RFI Towson University and the Maryland specific pot and trawl fishing areas, and and Call Area’’ this area has been Energy Administration (MEA) to other fishing use and offshore renewable further refined based upon input from compile data and information about wind energy concerns is being collected. the BOEM Maryland Renewable Energy habitats, human uses, and resources DNR has conducted outreach through: Task Force, the United States Coast offshore Maryland. Using the state’s (1) Existing Fishery Advisory Guard (USCG), and other stakeholders foundation of ocean data and Committees; (2) discussions with DNR’s who commented on the original RFI and information, ocean planning tools were Fisheries Service regarding fishing the Notice of Intent (NOI) to Prepare an used to help identify areas most suitable tournaments and specific fishing EA for the ‘‘Smart from the Start’’ WEAs for various types of activities to reduce industries; (3) individual commercial (76 FR 7226 (Feb. 9, 2011)). The the potential for conflict among uses, fishing mapping meetings; (4) phone Maryland WEA may be further adjusted

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in response to comments and (3) Bid Submission and Evaluation: at: www.boem.gov/Renewable-Energy- information received from this notice as Following publication of the FSN in the Program/Smart-from-the-start/ well as future notices. Federal Register, qualified bidders may index.aspx. submit their bids to BOEM in The area identified in this Call Publication of RFI and Responses accordance with procedures specified in matches the Maryland area described in Received the FSN. The bids, including the bid the preferred alternative in the Regional The first step in determining whether deposits if applicable, are reviewed for EA. there is competitive interest in acquiring technical and legal adequacy. BOEM In the event that a lease is issued in commercial wind energy leases in the evaluates each bid to determine if the the area identified offshore Maryland, WEA on the OCS offshore Maryland was bidder has complied with all applicable and the lessee submits a Site the issuance of an RFI in November regulations. BOEM reserves the right to Assessment Plan (SAP) pursuant to 30 2010. By the close of the comment reject any or all bids and the right to CFR 585.605–618, BOEM will consider period for the RFI, BOEM received nine withdraw an offer to lease an area from whether the regional NEPA analysis expressions of interest from eight the sale. adequately analyzed all the reasonably individual entities. A table showing the (4) Issuance of a Lease: Following the foreseeable environmental parties and the OCS blocks nominated selection of a winning bid(s) by BOEM, consequences associated with the for leasing can be found at: the submitter(s) is notified of the activities proposed in the lessee’s SAP. www.boem.gov/UploadedFiles/ decision and provided a set of official If BOEM determines that the existing TableSummarizingMDRFI012011.pdf. lease documents for execution. The NEPA document adequately analyzed Of the eight entities that submitted successful bidder(s) is required to these consequences, then no further nominations, two entities nominated the execute the lease, pay the remainder of NEPA analysis would be required before entire area described in the RFI. the bonus bid, if applicable, and file the BOEM may approve the SAP. If the BOEM also received comments from required financial assurance within 10 NEPA analysis is inadequate or there is members of the public as well as state days of receiving the lease copies. Upon new information, additional NEPA and Federal agencies in response to the receipt of the required payments, review would be conducted before the RFI. Most of the comments discussed financial assurance, and properly SAP could be approved. shipping and navigational concerns. executed lease forms, BOEM issues a If and when a lessee is ready to Two comments focused on the impacts lease to the successful bidder(s). construct and operate a specific of commercial wind lease development Pursuant to 30 CFR 585.212, BOEM renewable energy facility on the lease, it on fishing interests. The comments may decide to end the competitive would submit a Construction and received in response to the RFI can be leasing process prior to the publication Operations Plan (COP) pursuant to 30 found at: http://www.boem.gov/ of a FSN if it believes that competitors CFR 585.601 and 620–638. Pursuant to Renewable-Energy-Program/State- have withdrawn and competitive 30 CFR 585.626, a lessee must submit Activities/Maryland.aspx. interest no longer exists. This would certain site characterization and site require BOEM to publish an additional assessment information with its COP. Competitive Leasing Process notice in the Federal Register to Once a COP is submitted for a particular The following are the next steps in the confirm that competitive interest no project, BOEM will prepare a separate competitive leasing process after this longer exists in the area. BOEM would NEPA analysis evaluating the Call: use the information received in reasonably foreseeable environmental (1) Proposed Sale Notice (PSN): response to this additional notice to consequences of the activities described BOEM publishes a PSN in the Federal determine whether we would continue in the COP. This would likely take the Register and sends the PSN to the with the competitive lease sale process form of an Environmental Impact Governor of any affected state, any or initiate the non-competitive lease Statement (EIS), which would provide affected tribes, and the executive of any negotiation process. additional opportunities for public local government that might be affected. involvement. The NEPA review Environmental Reviews The PSN describes the areas that BOEM conducted for the COP would provide has decided to offer for leasing and the BOEM has prepared an EA Federal, state, local, and tribal officials proposed terms and conditions of a considering the environmental impacts and the public with comprehensive site- lease sale, including the proposed and socioeconomic effects of issuing and project-specific information auction format, lease form, and lease renewable energy leases (which regarding potential environmental provisions. Additionally, the PSN includes reasonably foreseeable site impacts of the project activities. These describes the criteria and process for characterization activities—geophysical, potential impacts would be taken into evaluating bids. The PSN is issued after geotechnical, archeological, and account prior to BOEM deciding preparation of various analyses of biological surveys—on those leases) in whether to approve, approve with proposed lease sale terms and identified WEAs offshore New Jersey, modification, or disapprove the COP. conditions. The comment period Delaware, Maryland, and Virginia. The following the issuance of a PSN is 60 EA also considers the reasonably Development of the Call Area days. foreseeable environmental impacts and The Call area was delineated by (2) Final Sale Notice: BOEM publishes socioeconomic effects associated with BOEM in consultation with the BOEM the Final Sale Notice (FSN) in the the approval of site assessment activities Maryland Renewable Energy Task Federal Register at least 30 days before (including the installation and operation Force, and is intended to minimize user the date of the sale. BOEM may use one of meteorological towers and buoys) on conflicts while making an appropriate of the following three auction formats to the leases that may be issued. The area available for commercial offshore select the winning bidder(s): Sealed Commercial Wind Lease Issuance and wind energy development. Specific bidding; ascending bidding; or two-stage Site Assessment Activities on the mitigation, stipulations, or exclusion bidding (a combination of ascending Atlantic Outer Continental Shelf areas may be developed and applied at bidding and sealed bidding). BOEM Offshore New Jersey, Delaware, the leasing, site assessment, and/or the publishes the criteria for winning bid Maryland, and Virginia Environmental construction and operations stages as a determinations in the FSN. Assessment (Regional EA) can be found result of environmental reviews and

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associated consultations, as well as FederalRegisterdocument.pdf under MGN–371 and consulted with its own continued coordination through the Docket Number BOEM–2010–0038. waterways subject matter experts. BOEM Maryland Renewable Energy The comment period for the RFI Currently, the USCG considers that the Task Force. Issues discussed during closed on January 10, 2011. Based on placement of offshore wind assessment consultation with the BOEM Maryland public comments received in response and generation facilities in any area less Renewable Task Force, and OCS areas to the RFI and engagement with the than 1 nmi from traditional shipping where site-specific stipulations may be BOEM Maryland Renewable Energy routes poses a high risk to navigational required, are described below. Task Force, BOEM determined that safety and therefore does not Initially, the MEA and the DNR revisions to the RFI area were recommend placement of offshore proposed to BOEM an area consisting of appropriate. In particular, BOEM renewable energy facilities in such 45 whole OCS blocks for consideration decided that, based on an evaluation areas. The USCG considers placement of as an RFI area. As described earlier in conducted by USCG, using best such wind facilities in areas greater than the section entitled, ‘‘Actions Taken by available information, as well as 5 nmi from existing shipping routes to the State of Maryland in Support of comments received from the maritime pose minimal risk to navigational safety. Renewable Energy Development,’’ this and shipping industry, certain areas Areas considered for placement of wind area reflected DNR’s consideration of identified in the RFI would not be facilities between 1 nmi and 5 nmi numerous factors, including shipping suitable for inclusion in this leasing would require additional USCG analysis lanes, artificial reefs, wind speed, water initiative at this time, as described to determine if mitigation factors could depths, Assateague Island proposed below. be applied to bring navigational safety wilderness, sand mining shoals, initial Navigational Issues risk within acceptable levels. fisheries stakeholder feedback, Respondents to this Call should note The USCG has provided the following that impacts to radar and ARPA may waterbird habitat and density, onshore information for consideration by still occur outside of 1 nmi and will electric transmission systems, and wind potential respondents to this Call and have to be evaluated along with other energy developer interest. As a result of other interested parties. The USCG has potential impacts. The above are only consultations with the BOEM Maryland a responsibility to ensure the safety of planning guidelines and may be Renewable Energy Task Force, and navigation under the Ports and changed based on the completion of the input from the Department of Defense Waterways Safety Act (PWSA). The Atlantic Coast Port Access Route Study (DoD) and DNR, BOEM excluded from PWSA requires the USCG to provide (ACPARS) which is described below. In the area certain blocks that were safe access routes for the movement of addition, these guidelines may be included in the area originally proposed vessel traffic proceeding to or from ports further modified upon completion of a by MEA and DNR. The DoD identified or places subject to the jurisdiction of 15 blocks located in the southern part of the United States. This is accomplished Navigational Safety Risk Assessment this area as a ‘‘Wind Energy Exclusion through designation of necessary (NSRA) that may be required before Area’’ and recommended that those fairways and traffic separation schemes BOEM approves construction of any blocks be removed from consideration (TSS) for vessels operating in the offshore renewable energy facilities. mainly due to DoD testing and training territorial sea of the United States and The USCG is conducting an ACPARS activities conducted in these blocks. in high sea approaches, outside the to determine how best to route traffic on Further, the DNR recommended that 6 territorial sea. The USCG may also the Atlantic coast. (See Federal Register blocks located in the southwest portion determine that establishment of other 76 FR 27288; May 11, 2011). This study of the area be removed from ships’ routing measures would enhance will better inform the USCG about the consideration, because of the existence navigational safety, and it works with its navigational safety risks, if any, of bird concentrations, summer fishing Federal interagency and International associated with construction of offshore tournaments and boating corridors, Maritime Organization partners to renewable energy facilities. The data recreational and sport-fishing, ship establish these voluntary measures as gathered during this ACPARS may wrecks, important fishing grounds, necessary. result in the establishment of new vessel artificial reefs, natural corals, and The potential for navigational safety routing measures, modification of unique benthic habitats in these blocks. risk posed by building structures in existing routing measures, or removal of Based on the input of both the DoD and proximity to shipping routes is affected some existing routing measures off the the DNR, BOEM reduced the size of the by numerous factors including, but not Atlantic Coast from Maine to Florida. area that was originally put forward by limited to: vessel size, vessel type, As a member of the BOEM Maryland the DNR and MEA, and published the density of traffic, prevailing conditions, Renewable Energy Task Force, the resulting area in the RFI. cumulative impact of multiple USCG partnered with BOEM to gather Navigational safety issues that were obstructions (for example, wind existing Automated Information System raised at the initial BOEM Maryland assessment or development facilities), (AIS) data, stakeholder input, and Renewable Energy Task Force meetings existence of multiple shipping routes information on existing traffic patterns were acknowledged in the RFI. The (for example, crossing or meeting and historical and current coastwise and notice provided an explanation of the situations), radar/automatic radar international uses in the area offshore USCG’s concerns about renewable plotting aid (ARPA) interference, and Maryland. The USCG conducted an energy leasing in the area identified and existence of mitigating factors such as evaluation, using the best available acknowledged that the RFI area may navigational aids, vessel traffic services, information, of the Maryland RFI area. need to be modified in consideration of or pilotage. The USCG identified OCS blocks these issues. Twenty two blocks were Currently, there is no standard (including sub-blocks) that, if highlighted for particular consideration recommended separation distance developed, may have an unacceptable of USCG concerns. The RFI can be between offshore renewable energy effect on navigational safety, and other found on BOEM’s Web site at: http:// facilities and shipping routes. The OCS blocks (including sub-blocks) that www.boem.gov/uploadedFiles/BOEM/ USCG has reviewed guidance published would require further study to Renewable_Energy_Program/ by other countries such as the United determine the potential effect that the State_Activities/ Kingdom’s Maritime Guidance Note installation of wind facilities in these

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blocks would have on navigational included in the Call area appear to be appropriate stipulations to avoid safety. appropriate for leasing and prospective conflicts with DoD within the Call area. The USCG has advised BOEM that, at development. Any additional evaluation Description of the Call Area this time, all blocks included in the Call will also inform the USCG’s area may be appropriate for leasing and recommendations for potential The Call area offshore Maryland potential development. However, the mitigation measures for any blocks that contains 9 whole OCS blocks and 11 USCG also recommended that our two may be made available for leasing. partial blocks. The western edge of the agencies work together to further Call area is approximately 10 nmi from Department of Defense (DoD) Activities evaluate all blocks included in the Call the Ocean City, Maryland coast, and the area with regard to: (1) Existing traffic The DoD conducts offshore testing, eastern edge is approximately 23 nmi usage and patterns, (2) projected future training, and operations in the majority from the Ocean City, Maryland coast. traffic increases in the area based on the of the Call area. Site specific The longest portion of the north/south development of nearby blocks, and (3) stipulations may be necessary at the portion is approximately 13 nmi in the potential for modifications to leasing and/or development stages to length and the longest portion of the existing routing measures and the avoid and minimize conflicts with east/west portion is approximately 13 possible creation of new routing existing DoD activities in most of the nmi in length. The entire area is measures in the area. The USCG will lease blocks included in the Call area. approximately 94.04 square nautical collect data that is relevant to these A list of these lease blocks is included miles; 79,706 acres; or 32,256 hectares. issues during the development of the in a table in the section entitled, The boundary of the Call area follows ACPARS that USCG will share with ‘‘Description of the Call Area.’’ BOEM the points listed in the table below in BOEM as it becomes available. This will continue to consult with the DoD clockwise order. Point numbers 1 and additional information will also help regarding potential issues concerning 35 are the same. Coordinates are the USCG determine what, if any, risks offshore testing, training, and provided in X, Y (eastings, northings) exist and whether USCG will amend its operational activities, and will use best UTM Zone 18N, NAD 83 and geographic initial recommendation that all blocks management practices to develop (longitude, latitude), NAD83.

Point No. X (Easting) Y (Northing) Longitude Latitude

1 ...... 512000 4257600 ¥74.862445 38.466634 2 ...... 519200 4257600 ¥74.779913 38.466508 3 ...... 519200 4256400 ¥74.779946 38.455693 4 ...... 520400 4256400 ¥74.766193 38.455666 5 ...... 520400 4254000 ¥74.766263 38.434037 6 ...... 521600 4254000 ¥74.752513 38.434009 7 ...... 521600 4252800 ¥74.752550 38.423194 8 ...... 522800 4252800 ¥74.738803 38.423165 9 ...... 522800 4251600 ¥74.738842 38.412350 10 ...... 524000 4251600 ¥74.725097 38.412319 11 ...... 524000 4249200 ¥74.725179 38.390689 12 ...... 525200 4249200 ¥74.711438 38.390656 13 ...... 525200 4248000 ¥74.711481 38.379842 14 ...... 526400 4248000 ¥74.697742 38.379807 15 ...... 526400 4245600 ¥74.697832 38.358178 16 ...... 527600 4245600 ¥74.684098 38.358142 17 ...... 527600 4244400 ¥74.684144 38.347327 18 ...... 528800 4244400 ¥74.670412 38.347289 19 ...... 528800 4242000 ¥74.670510 38.325660 20 ...... 530000 4242000 ¥74.656781 38.325620 21 ...... 530000 4240800 ¥74.656832 38.314806 22 ...... 531200 4240800 ¥74.643106 38.314765 23 ...... 531200 4238400 ¥74.643212 38.293135 24 ...... 532400 4238400 ¥74.629489 38.293093 25 ...... 532400 4237200 ¥74.629544 38.282278 26 ...... 533600 4237200 ¥74.615824 38.282234 27 ...... 533600 4234800 ¥74.615938 38.260604 28 ...... 534800 4234800 ¥74.602222 38.260559 29 ...... 534800 4233600 ¥74.602281 38.249744 30 ...... 519200 4233600 ¥74.780567 38.250213 31 ...... 519200 4238400 ¥74.780437 38.293472 32 ...... 514400 4238400 ¥74.835327 38.293562 33 ...... 514400 4240800 ¥74.835278 38.315192 34 ...... 512000 4240800 ¥74.862732 38.315227 35 ...... 512000 4257600 ¥74.862445 38.466634

The following 9 whole OCS blocks are 6725, 6775, 6825, 6776, 6826. In Salisbury NJ18–05 Blocks 6623, 6625, included within the Call area: Salisbury addition, parts of the following 11 OCS 6673, 6675, 6676, 6723, 6726, 6773, NJ18–05 Blocks 6624, 6674, 6724, 6774, blocks are included within the Call area: 6777, 6827 and 6828.

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LIST OF OCS BLOCKS INCLUDED IN THE CALL AREA

Protraction name Protraction No. Block No. Sub block

Salisbury ...... NJ18–05 6623 C,D,G,H,K,L,O,P. Salisbury ...... NJ18–05 6624 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6625 E, I, M ,N. Salisbury ...... NJ18–05 6673 C,D,G,H,K,L,O,P. Salisbury ...... NJ18–05 6674 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6675 A,B,C,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6676 M. Salisbury ...... NJ18–05 6723 C,D,G,H,K,L,O,P. Salisbury ...... NJ18–05 6724 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6725 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6726 A,B,E,F,I,J,K,M,N,O,P. Salisbury ...... NJ18–05 6773 C,D,G,H. Salisbury ...... NJ18–05 6774 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6775 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6776 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6777 E,I,J,M,N. Salisbury ...... NJ18–05 6825 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6826 A,B,C,D,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6827 A,B,C,E,F,G,H,I,J,K,L,M,N,O,P. Salisbury ...... NJ18–05 6828 M.

List of OCS Blocks in the Call Area safety. It is possible that OCS blocks sub-blocks may not be available for With Potential Stipulations included in the Call area may not be surface occupancy, (i.e. the placement made available for leasing and/or of wind facilities), because of proximity The USCG advises that all blocks development. If the entire Call area were to the TSS. These sub-blocks are listed included in the Call area require further to be made available for leasing and in the table below. study to determine risks to navigational development, portions of a number of

Protraction name Protraction No. Block No. Sub block

Salisbury ...... NJ18–05 6624 D,H. Salisbury ...... NJ18–05 6625 E, I, N. Salisbury ...... NJ18–05 6675 B,C,G,H,L,P. Salisbury ...... NJ18–05 6676 M. Salisbury ...... NJ18–05 6726 A,B,F,J,K,O,P. Salisbury ...... NJ18–05 6776 D,H. Salisbury ...... NJ18–05 6777 E,I,J,N. Salisbury ...... NJ18–05 6827 B,C,G,H,L,P. Salisbury ...... NJ18–05 6828 M.

To avoid conflicts with existing DoD be necessary in the following lease activities, site specific stipulations may blocks.

Protraction name Protraction No. Block No. Sub block

Salisbury ...... NJ18–05 6624 All Sub blocks. Salisbury ...... NJ18–05 6625 All Sub blocks. Salisbury ...... NJ18–05 6674 All Sub blocks. Salisbury ...... NJ18–05 6675 All Sub blocks. Salisbury ...... NJ18–05 6676 All Sub blocks. Salisbury ...... NJ18–05 6724 All Sub blocks. Salisbury ...... NJ18–05 6725 All Sub blocks. Salisbury ...... NJ18–05 6726 All Sub blocks. Salisbury ...... NJ18–05 6774 All Sub blocks. Salisbury ...... NJ18–05 6775 All Sub blocks. Salisbury ...... NJ18–05 6776 All Sub blocks. Salisbury ...... NJ18–05 6777 All Sub blocks. Salisbury ...... NJ18–05 6825 All Sub blocks. Salisbury ...... NJ18–05 6826 All Sub blocks. Salisbury ...... NJ18–05 6827 All Sub blocks. Salisbury ...... NJ18–05 6623 C,D,G,H,K,L,O,P. Salisbury ...... NJ18–05 6673 C,D,G,H,K,L,O,P. Salisbury ...... NJ18–05 6723 C,D,G,H,K,L,O,P. Salisbury ...... NJ18–05 6773 C,D,G,H.

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Map of the Call Area Framework Guide Book available at: on your lease. To ensure that BOEM has A map of the Call area can be found http://www.boem.gov/Renewable- sufficient time to process your at: www.boem.gov/Renewable-Energy- Energy-Program/Regulatory- qualifications package, BOEM requests Program/State-Activities/Maryland. Information/Index.aspx. Legal that you submit this package during the aspx. qualification documents will be placed PSN 60-day public comment period. A large scale map of the Call area in an official file that may be made Failure to meet this deadline makes it showing boundaries of the area with available for public review. If you wish unlikely that you would be able to numbered blocks is available from that any part of your legal qualification participate in this lease sale. More BOEM at the following address: Bureau documentation be kept confidential, information can be found at: http:// clearly identify what should be kept of Ocean Energy Management, Office of www.boem.gov/Renewable-Energy- confidential, and submit it under Renewable Energy Programs, 381 Elden Program/Regulatory-Information/Index. separate cover (see ‘‘Protection of Street, Mail Stop HM 1328, Herndon, aspx. Privileged or Confidential Information Virginia 20170. Phone: (703) 787–1320, Section,’’ below); and Requested Information From Interested Fax: (703) 787–1708. (6) Documentation demonstrating that or Affected Parties Required Nomination Information you are technically and financially BOEM is requesting from the public capable of constructing, operating, and other interested or affected parties If you intend to submit a nomination maintaining and decommissioning the specific and detailed comments for a commercial wind energy lease in facilities described in (2) above. regarding the following: the area(s) identified in this notice, you Guidance regarding the required (1) Geological and geophysical must provide the following information. documentation to demonstrate your conditions (including bottom and If you have already submitted this technical and financial qualifications shallow hazards) in the area described information in response to the RFI, there can be found at: http://www.boem.gov/ in this notice; is no need to re-submit these materials Renewable-Energy-Program/Regulatory- (2) Known archeological and/or in response to this Call. If you wish to Information/Index.aspx. cultural resource sites on the seabed in modify any information submitted in Documentation you submit to the area described in this notice; response to the RFI, including the area demonstrate your legal, technical, and (3) Historic properties potentially described in your submission, you may financial qualifications must be affected by the construction of do so in response to this Call. provided to BOEM in both paper and meteorological towers, the installation (1) The BOEM Protraction name, electronic formats. BOEM considers an of meteorological buoys, or commercial number, and specific whole or partial Adobe PDF file stored on a compact disc wind development in the area identified OCS blocks within the Call area that are (CD) to be an acceptable format for in this Call; of interest for commercial wind leasing, submitting an electronic copy. (4) Multiple uses of the area, including any required buffer area. This It is critical that you submit a including navigation (in particular, information should be submitted as a complete nomination so that BOEM may commercial and recreational vessel use), spatial file compatible with ArcGIS 9.3 evaluate your submission in a timely recreation, and fisheries (commercial in a geographic coordinate system (NAD manner. If BOEM reviews your and recreational); and 83) in addition to your hard copy nomination and determines that it is (5) Other relevant socioeconomic, submittal. If your proposed lease area incomplete, BOEM will inform you of biological, and environmental includes one or more partial blocks, this determination in writing. This letter information. please describe those partial blocks in will describe the information that The Maryland Call Area has been terms of a sixteenth (i.e. sub-block) of an BOEM determined to be missing from identified as an area where commercial OCS block. BOEM will not consider any your nomination, and that you must and recreational fishing occurs. During areas outside of the Call area in this submit in order for BOEM to deem your the comment period for the Maryland process; submission complete. You will be given RFI, BOEM received comments with (2) A description of your objectives 15 business days from the date of that regard to commercial fishing. and the facilities that you would use to letter to submit the information that Specifically, the comments noted that achieve those objectives; BOEM found to be missing from your the RFI area is fished and navigated by (3) A preliminary schedule of original submission. If you do not meet scallop, surfclam, quahog, fluke, squid, proposed activities, including those this deadline, or if BOEM determines purse seine, and otter trawl fishers. In leading to commercial operations; this second submission is insufficient light of the comments received, BOEM (4) Available and pertinent data and and has failed to complete your is interested in obtaining input from the information concerning renewable nomination, then BOEM retains the fishing industry in its planning process. energy resources and environmental right to deem your nomination invalid. Therefore, BOEM encourages the fishing conditions in the area that you wish to In such a case, BOEM will not process industry to submit, in response to this lease, including energy and resource your nomination. Call, any potential concerns they would data and information used to evaluate It is not required that you submit a like prospective developers to address the Call area. Where applicable, spatial nomination in response to this Call if in their future plans and applications to information should be submitted in a you intend to submit a bid in the BOEM. format compatible with ArcGIS 9.3 in a potential lease sale offshore Maryland. In addition, the waters off Maryland’s geographic coordinate system (NAD 83); However, you would not be able to coast are home to a variety of natural (5) Documentation demonstrating that participate in this lease sale unless, coral and other bottom-dwelling you are legally qualified to hold a lease prior to the sale, you had been legally communities, including relatively rare as set forth in 30 CFR 585.106 and 107. qualified to hold a BOEM renewable and ecologically vital live, hard bottom Examples of the documentation energy lease, and you had demonstrated patch habitats. These habitats may appropriate for demonstrating your legal that you are technically and financially require special attention during the qualifications and related guidance can capable of constructing, operating, siting and construction phases of wind be found in Chapter 2 and Appendix B maintaining and decommissioning the turbines. This Call is soliciting of the BOEM Renewable Energy facilities you would propose to install information that can be used to

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characterize and map these DEPARTMENT OF THE INTERIOR renewable energy development (WEAs), communities. within which BOEM will focus its Bureau of Ocean Energy Management leasing efforts. In consultation with Protection of Privileged or Confidential [Docket No. BOEM–2011–0088] other Federal agencies and BOEM’s Information Intergovernmental Renewable Energy Freedom of Information Act Commercial Wind Lease Issuance and Task Forces, BOEM identified WEAs on Site Assessment Activities on the the OCS offshore New Jersey, Delaware, BOEM will protect privileged or Atlantic Outer Continental Shelf (OCS) Maryland, and Virginia. confidential information that you Offshore New Jersey, Delaware, On February 9, 2011, BOEM submit as required by the Freedom of Maryland, and Virginia identified these WEAs in a Notice of Information Act (FOIA). Exemption 4 of Intent (NOI) to prepare an EA for Mid- FOIA applies to trade secrets and AGENCY: Bureau of Ocean Energy Atlantic WEAs (76 FR 7226). The NOI commercial or financial information Management (BOEM), Interior. requested public input to identify the that you submit that is privileged or ACTION: Notice of the Availability (NOA) important environmental issues confidential. If you wish to protect the of an Environmental Assessment (EA) associated with leasing and site confidentiality of such information, and a Finding of No Significant Impact. assessment within the identified WEAs, and alternatives to be considered in the clearly mark it and request that BOEM SUMMARY: BOEM has prepared an EA EA. BOEM considered these public treat it as confidential. BOEM will not considering the environmental impacts comments in drafting the alternatives disclose such information, subject to the of issuing renewable energy leases and and assessing the reasonably foreseeable requirements of FOIA. Please label authorizing site characterization environmental impacts associated with privileged or confidential information activities (geophysical, geotechnical, each alternative. Comments received in ‘‘Contains Confidential Information’’ archaeological, and biological surveys response to the NOI can be viewed at and consider submitting such needed to develop specific project http://www.regulations.gov, by information as a separate attachment. proposals on those leases) in identified searching for Docket ID BOEM–2010– However, BOEM will not treat as Wind Energy Areas (WEAs) on the OCS 0077. confidential any aggregate summaries of offshore New Jersey, Delaware, On July 12, 2011, BOEM published in such information or comments not Maryland, and Virginia. This final EA the Federal Register a NOA of a draft of containing such information. also considers the reasonably the EA for Mid-Atlantic WEAs (76 FR Additionally, BOEM will not treat as foreseeable environmental impacts 40925). Public comments on the draft associated with the approval of site EA were considered in the preparation confidential (1) the legal title of the assessment activities (including the of this final EA and in determining nominating entity (for example, the installation and operation of whether the proposed activities would name of your company), or (2) the list meteorological towers and buoys) on the lead to significant environmental of whole or partial blocks that you are leases that may be issued. impacts. Comments received in nominating. Finally, information that is As a result of its analysis in the final response to the NOA can be viewed at not labeled as privileged or confidential EA, BOEM issued a Finding of No http://www.regulations.gov, by will be regarded by BOEM as suitable Significant Impact (FONSI). The FONSI searching for Docket ID BOEM–2011– for public release. concluded that the environmental 0053. BOEM will use this EA to inform Section 304 of the National Historic impacts associated with the preferred decisions to issue leases in the refined Preservation Act (16 U.S.C. 470w–3(a)) alternative would not significantly impact the environment; therefore, the WEAs, and to subsequently approve site BOEM is required, after consultation preparation of an environmental impact assessment plans (SAPs) on those with the Secretary, to withhold the statement (EIS) is not required. leases. BOEM may issue one or more location, character, or ownership of The purpose of this notice is to inform commercial wind energy leases in the historic resources if it determines that the public of the availability of the EA WEAs. The competitive lease process is set forth at 30 CFR 585.210–585.225, disclosure may, among other things, risk and FONSI, which can be accessed and the noncompetitive process is set harm to the historic resources or impede online at: http://www.boem.gov/ forth at 30 CFR 585.230–585.232 (as the use of a traditional religious site by Renewable-Energy-Program/Smart-from- the-Start/Index.aspx. amended by a rulemaking effective as of practitioners. Tribal entities should June 15, 2011). designate information that falls under Authority: This NOA of an EA and FONSI A commercial lease, whether issued is published pursuant to 43 CFR 46.305. Section 304 of NHPA as confidential. through a competitive or non- FOR FURTHER INFORMATION CONTACT: competitive process, gives the lessee the Dated: December 2, 2011. Michelle Morin, BOEM Office of Tommy P. Beaudreau, exclusive right to subsequently seek Renewable Energy Programs, 381 Elden BOEM approval for the development of Director, Bureau of Ocean Energy Street, HM 1328, Herndon, Virginia the leasehold. The lease does not grant Management. 20170–4817, (703) 787–1340 or the lessee the right to construct any [FR Doc. 2012–2497 Filed 2–2–12; 8:45 am] [email protected]. facilities; rather, the lease grants the BILLING CODE 4310–VH–P SUPPLEMENTARY INFORMATION: On right to use the leased area to develop November 23, 2010, Secretary of the its plans, which BOEM must approve Interior Ken Salazar announced the before the lessee may proceed to the ‘‘Smart from the Start’’ renewable next stage of the process. See 30 CFR energy initiative to accelerate the 585.600 and 585.601. In the event that responsible development of renewable a particular lease is issued, and the energy resources on the Atlantic OCS. lessee subsequently submits a SAP, One of the focuses of the initiative is the BOEM would then determine whether identification and refinement of areas the EA adequately considers the on the OCS that appear to be suitable for environmental consequences of the

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activities proposed in the lessee’s SAP. collection of information that we will competition. Section 1332(6) states that If BOEM determines that the analysis in submit to the Office of Management and ‘‘operations in the [O]uter Continental the EA adequately considers these Budget (OMB) for review and approval. Shelf should be conducted in a safe consequences, then no further analysis The information collection request (ICR) manner by well trained personnel using under the National Environmental concerns a revision to the paperwork technology, precautions, and other Policy Act (NEPA) would be required requirements in the regulations under techniques sufficient to prevent or before BOEM could approve a SAP. If, ‘‘Oil, Gas, and Sulphur Operations in minimize the likelihood of blowouts, on the other hand, BOEM determines the Outer Continental Shelf,’’ Subpart loss of well control, fires, spillages, that the analysis in this EA is A, General. physical obstructions to other users of inadequate for that purpose, BOEM DATES: Submit comments by April 3, the waters or subsoil and seabed, or would prepare additional NEPA 2012. other occurrences which may cause analysis before it could approve the damage to the environment or to ADDRESSES: You may submit comments SAP. property or endanger life or health.’’ If a lessee is prepared to propose a by either of the following methods listed below. The Independent Offices wind energy generation facility on its • Appropriations Act (31 U.S.C. 9701), the lease, it would submit a construction Electronically: go to http:// www.regulations.gov. In the entry titled Omnibus Appropriations Bill (Pub. L. and operations plan (COP). BOEM then 104–133, 110 Stat. 1321, April 26, would prepare a separate site- and ‘‘Enter Keyword or ID,’’ enter BSEE– 2011–0006 then click search. Follow the 1996), and OMB Circular A–25, project-specific NEPA analysis of the authorize Federal agencies to recover proposed project. This analysis would instructions to submit public comments and view all related materials. We will the full cost of services that confer likely take the form of an EIS and would special benefits. Under the Department provide the public and Federal officials post all comments. • Email: [email protected]. Mail of the Interior’s implementing policy, with comprehensive information or hand-carry comments to the Bureau of Safety and Environmental regarding the reasonably foreseeable Department of the Interior; Bureau of Enforcement (BSEE) is required to environmental impacts of the proposed Safety and Environmental Enforcement; charge fees for services that provide project. In this NEPA analysis, BOEM Regulations Development Branch; special benefits or privileges to an would evaluate the potential Attention: Nicole Mason; 381 Elden identifiable non-Federal recipient above environmental and socioeconomic Street, MS–4024; Herndon, Virginia and beyond those which accrue to the consequences of the proposed project. 20170–4817. Please reference ICR 1014– public at large. A request for approval This analysis would inform BOEM’s NEW in your comment and include required in Subpart A is subject to cost decision to approve, approve with your name and return address. recovery, and BSEE regulations specify modification, or disapprove a lessee’s a service fee for this request. COP pursuant to 30 CFR 585.628. This FOR FURTHER INFORMATION CONTACT: Nicole Mason, Regulations Development This ICR covers 30 CFR 250, Subpart NEPA process also would provide A, General. This request also covers the additional opportunities for public Branch at (703) 787–1605 to request additional information about this ICR. related Notices to Lessees and Operators involvement pursuant to NEPA and the (NTLs) that BSEE issues to clarify and SUPPLEMENTARY INFORMATION: White House Council on Environmental provide additional guidance on some Title: 30 CFR part 250, Oil, Gas, and Quality’s regulations at 40 CFR Parts aspects of our regulations. To Sulphur Operations in the Outer 1500–1508. accommodate the split of regulations Continental Shelf, Subpart A, General. Dated: January 20, 2012. from the Bureau of Ocean Energy Form(s): BSEE–0132, BSEE–0143, and Management, Regulation and Walter D. Cruickshank, BSEE–1832. Deputy Director, Bureau of Ocean Energy OMB Control Number: 1014–NEW. Enforcement to BSEE, BSEE is Management. Abstract: The Outer Continental Shelf requesting OMB approval of the already [FR Doc. 2012–2494 Filed 2–2–12; 8:45 am] (OCS) Lands Act, as amended (43 U.S.C. approved burden hours that were BILLING CODE 4310–VH–P 1331 et seq. and 43 U.S.C. 1801 et seq.), previously under 1010–0114 to reflect authorizes the Secretary of the Interior BSEE’s new 1014 numbering system. to prescribe rules and regulations Frequency: On occasion; monthly, or DEPARTMENT OF THE INTERIOR necessary for the administration of the varies by section. leasing provisions of the Act related to Description of Respondents: Potential Bureau of Safety and Environmental respondents comprise Federal OCS Enforcement mineral resources on the OCS. Such rules and regulations will apply to all lessees and/or operators. [Docket ID No. BSEE–2011–0006; OMB operations conducted under a lease, Estimated Reporting and Control Number 1014–NEW] right-of-way, or a right-of-use and Recordkeeping Hour Burden: We easement. Operations on the OCS must estimate that the reporting burden for Information Collection Activities: Oil, preserve, protect, and develop oil and this collection will be approximately Gas, and Sulphur Operations in the natural gas resources in a manner that 50,859 hours. The following chart Outer Continental Shelf, Subpart A, is consistent with the need to make such details the individual components and General; Submitted for Office of resources available to meet the Nation’s respective hour burden estimates of this Management and Budget (OMB) energy needs as rapidly as possible; to ICR. In calculating the burdens, we Review; Comment Request balance orderly energy resource assumed that respondents perform ACTION: 60-day Notice. development with protection of human, certain requirements in the normal marine, and coastal environments; to course of their activities. We consider SUMMARY: To comply with the ensure the public a fair and equitable these to be usual and customary and Paperwork Reduction Act of 1995 return on the resources of the OCS; and took that into account in estimating the (PRA), BSEE is inviting comments on a to preserve and maintain free enterprise burden.

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Citation Hour burden 30 CFR 250 subpart A and related Reporting or recordkeeping requirement Non-hour forms/NTLs cost burden

Authority and Definition of Terms

104; Form BSEE–1832 ...... Appeal orders or decisions; appeal INCs [exempt under 5 CFR 1320.4(a)(2), (c)] ...... 0

Performance Standards

109(a); 110 ...... Submit welding, burning, and hot tapping plans ...... 2 118; 121; 124 ...... Apply for injection of gas; use BSEE-approved formula to determine original gas from injected/ 10 stored.

Cost Recovery Fees

125; 126 ...... Cost Recovery Fees; confirmation receipt etc; verbal approvals pertaining to fees [cost recovery 0 fees and related items are covered individually throughout this subpart].

Forms

130–133 ...... Submit ‘‘green’’ response copy of Form BSEE–1832 indicating date violations (INCs) corrected .... 2 145 ...... Submit designation of agent and local agent for Regional Supervisor’s and/or Regional Director’s 1 approval. 186(a)(3); NTL ...... Apply to receive administrative entitlements to eWell (electronic/digital form submittals) [not con- 0 sidered information collection under 5 CFR 1320.3(h)(1)]. 192 ...... Daily report of evacuation statistics for natural occurrence/hurricane (GOMR Form BSEE–0132 1.5 (form takes 1 hour)) when circumstances warrant; inform BSEE when you resume production. 192(b) ...... Use Form BSEE–0143 to submit an initial damage report to the Regional Supervisor ...... 3 192(b) ...... Use Form BSEE–0143 to submit subsequent damage reports on a monthly basis until damaged 1 structure or equipment is returned to service; immediately when information changes; date item returned to service must be in final report.

Inspection of Operations

130–133 ...... Request reconsideration from issuance of an INC ...... 2 Request waiver of 14-day response time ...... 1 Notify BSEE before returning to operations if shut-in ...... 1 133 ...... Request reimbursement for food, quarters, and transportation provided to BSEE representatives 1.5 (no requests received in many years; minimal burden).

Disqualification

135 BSEE internal process Submit PIP under BSEE implementing procedures for enforcement actions ...... 40

Special Types of Approval

140 ...... Request various oral approvals not specifically covered elsewhere in regulatory requirements ...... 1 140(c) ...... Submit letter when stopping approved flaring with required information ...... 0 141; 198 ...... Request approval to use new or alternative procedures, along with supporting documentation if 20 applicable, including BAST not specifically covered elsewhere in regulatory requirements. 142; 198 ...... Request approval of departure from operating requirements not specifically covered elsewhere in 2.5 regulatory requirements, along with supporting documentation if applicable.

Naming and Identifying Facilities and Wells (Does Not Include MODUs)

150; 151; 152; 154(a) ...... Name and identify facilities, artificial islands, MODUs, helo landing facilities etc., with signs ...... 3 150; 154(b) ...... Name and identify wells with signs ...... 2

Suspensions

168; 170; 171; 172; 174; Request suspension of operation or production; submit schedule of work leading to commence- 10 175; 177; 180(b), (d). ment; supporting information; include pay.gov confirmation receipt. $1,968 fee Submit progress reports on SOO or SOP as condition of approval ...... 3 172(b); 177(a) ...... Conduct site-specific study; submit results; request payment by another party. No instances re- 100 quiring this study in several years—could be necessary if a situation occurred such as severe damage to a platform or structure caused by a hurricane or a vessel collision. 177(b), (c), (d) ...... Various references to submitting new, revised, or modified exploration plan, development/produc- 0 tion plan, or development operations coordination document [burden covered under BOEM’s 30 CFR 550, subpart B, 1010–0151].

Primary Lease Requirements, Lease Term Extensions, and Lease Cancellations

180(a), (h), (i), ...... Notify and submit report on various leaseholding operations and lease production activities ...... 2

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Citation Hour burden 30 CFR 250 subpart A and related Reporting or recordkeeping requirement Non-hour forms/NTLs cost burden

180(f), (g), (h), (i) ...... Submit various operations and production data to demonstrate production in paying quantities to 2 maintain lease beyond primary term; notify BSEE when you begin conducting operations be- 0.5 yond its primary term. 180(e), (j) ...... Request more than 180 days to resume operations; notify BSEE if operations do not begin within 4 180 days. 0.5

Information and Reporting Requirements

186; NTL ...... Submit information and reports as BSEE requires ...... 10 187; 188(a–b); 189; 190(a– Report to the District Manager immediately via oral communication and written follow-up within 15 Oral 0.5 c); 192; NTL. calendar days, incidents pertaining to: fatalities; injuries; LoWC; fires; explosions; all collisions resulting in property or equipment damage >$25K; structural damage to an OCS facility; Written 2.5 cranes; incidents that damage or disable safety systems or equipment (including firefighting systems); include hurricane reports such as platform/rig evacuation, rig damage, P/L damage, and platform damage; operations personnel to muster for evacuation not related to weather or drills; any additional information required. If requested, submit copy marked as public information. 187(d) ...... Report all spills of oil or other liquid pollutants [burden covered under 30 CFR 254, 1014–0007] ... 0 188(a)(5) ...... Report to District Manager hydrogen sulfide (H2S) gas releases immediately by oral communica- 0 tion [burden covered under 30 CFR 250, subpart D, 1014–0018]. 191 ...... Submit written statement/Request compensation mileage and services for testimony re: accident 0 investigation [exempt under 5 CFR 1320.4(a)(2), (c)]. 193 ...... Report apparent violations or non-compliance ...... 1.5 194(c) ...... Report archaeological discoveries ...... 2 195 ...... Notify District Manager within 5 workdays of putting well in production status (usually oral). Fol- 1 low-up with either fax/email within same 5 day period (burden includes oral and written). 196 ...... Submit data/information for post-lease G&G activity and request reimbursement [burden covered 0 under BOEM’s 30 CFR 551, 1010–0048]. 197(c) ...... Submit confidentiality agreement ...... 1 101–199 ...... General departure or alternative compliance requests not specifically covered elsewhere in Sub- 2 part A.

Recordkeeping

108(e) ...... Retain records of design and construction for life of crane, including installation records for any 1.5 anti-two block safety devices; all inspection, testing, and maintenance for at least 4 years; crane operator and all rigger personnel qualifications for at least 4 years. 109(b); 113(c) ...... Retain welding plan and drawings of safe-welding areas at site; designated person advises in 1 writing that it is safe to weld. 132(b)(3) ...... During inspections make records available as requested by inspectors ...... 2

Estimated Reporting and collection of information * * *’’. We will summarize written responses Recordkeeping Non-Hour Cost Burden: Agencies must specifically solicit to this notice and address them in our We have identified one non-hour cost comments to: (a) Evaluate whether the submission for OMB approval. As a burden. Section 250.171 requests a cost collection is necessary or useful; (b) result of your comments, we will make recovery fee for either a Suspension of evaluate the accuracy of the burden of any necessary adjustments to the burden Operations or Production Request the proposed collection of information; in our submission to OMB. (SOO/SOP) for $1,968 per request. We (c) enhance the quality, usefulness, and Public Comment Procedures: Before estimate a total reporting non-hour cost clarity of the information to be including your address, phone number, burden of $3,268,848. We have not collected; and (d) minimize the burden identified any other non-hour on the respondents, including the use of email address, or other personal paperwork cost burdens associated with technology. identifying information in your this collection. Agencies must also estimate the non- comment, you should be aware that Public Disclosure Statement: The PRA hour paperwork cost burdens to your entire comment—including your (44 U.S.C. 3501, et seq.) provides that an respondents or recordkeepers resulting personal identifying information—may agency may not conduct or sponsor a from the collection of information. be made publicly available at any time. collection of information unless it Therefore, if you have other than hour While you can ask us in your comment displays a currently valid OMB control burden costs to generate, maintain, and to withhold your personal identifying number. Until OMB approves a disclose this information, you should information from public review, we collection of information, you are not comment and provide your total capital cannot guarantee that we will be able to obligated to respond. and startup cost components or annual do so. Comments: Before submitting an ICR operation, maintenance, and purchase Dated: January 19, 2012. to OMB, PRA section 3506(c)(2)(A) of service components. For further Douglas W. Morris, requires each agency ‘‘* * * to provide information on this burden, refer to 5 notice * * * and otherwise consult CFR 1320.3(b)(1) and (2), or contact the Chief, Office of Offshore Regulatory Programs. with members of the public and affected Bureau representative listed previously [FR Doc. 2012–2363 Filed 2–2–12; 8:45 am] agencies concerning each proposed in this notice. BILLING CODE 4310–MR–P

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DEPARTMENT OF THE INTERIOR Tehachapi Upland Draft MSHCP/SEIS incidental to, and not the purpose of, Comments. carrying out an otherwise lawful Fish and Wildlife Service Hard bound copies of the SDEIS, TU activity. Regulations governing permits MSHCP, and IA are available for for threatened species and endangered [FWS–R8–2011–N270; FF08E00000– viewing at the following locations: species, respectively, are at 50 CFR FXES11120800000F2–112] 1. U.S. Fish and Wildlife Service, 17.32 and 50 CFR 17.22. Tehachapi Uplands Multiple Species 2493 Portola Road, Suite B, Ventura, CA Although take of listed plant species Habitat Conservation Plan; Kern 93003. is not prohibited under the Act, and County, CA 2. Kern County Library, Frazier Park therefore cannot be authorized by an Branch, 3732 Park Drive, Frazier Park, incidental take permit, plant species AGENCY: Fish and Wildlife Service, CA 93225. may be included on a permit in Interior. FOR FURTHER INFORMATION CONTACT: recognition of the conservation benefits ACTION: Notice of availability of Steve Kirkland, Fish and Wildlife provided to them by a habitat Supplemental Draft Environmental Biologist, U.S. Fish and Wildlife conservation plan. All species included Impact Statement. Service, at 805–644–1766. on an incidental take permit would receive assurances under the Service’s SUPPLEMENTARY INFORMATION: SUMMARY: The Fish and Wildlife Service ‘‘No Surprises’’ regulation [50 CFR (Service) announces the availability of a Introduction 17.22(b)(5) and 17.32(b)(5)]. Supplemental Draft Environmental The Applicant seeks a 50-year We have received an application for Impact Statement (SDEIS) for the incidental take permit for covered an incidental take permit covering 27 Tehachapi Uplands Multiple Species activities within 141,886 acres of listed and unlisted species that may be Habitat Conservation Plan (TU MSHCP) covered lands on Tejon Ranch lands in taken or otherwise affected by on-going and the draft TU MSHCP and Kern County, California. Activities ranch activities and future low density Implementing Agreement (IA), for covered by the permit would include residential and commercial public review and comment. The SDEIS ongoing activities that have historically development activities on a portion of updates the analysis presented in the occurred at the Ranch, such as grazing the Tejon Ranch. The Applicant has 2009 Draft EIS on the TU MSHCP, and film production, as well as planned prepared the plan to satisfy the which we released for public comment future community development of requirements for a section 10(a)(1)(B) on February 4, 2009. Specifically, the approximately 5,533 acres within and permit (‘‘permit’’) under the Act (16 SDEIS addresses comments on the 2009 adjacent to the Interstate-5 corridor in U.S.C. 1531 et seq.). The permit is Draft EIS, and considers a 2010 analysis the Tejon Mountain Village Planning requested to authorize the incidental by the U.S. Geological Survey on Area and the Lebec/Existing take of species that could potentially occurrence of California condor in and Headquarters area, and take result from plan-wide activities around the TU MSHCP Covered Lands. minimization, mitigation and occurring throughout the 141,886 acres We are considering the issuance of a conservation measures provided under of lands proposed to be covered by the 50-year incidental take permit (permit) the TU MSHCP. The permit would not permit (‘‘covered lands’’), and from for 27 species in response to receipt of cover hunting or mineral extraction. approximately 5,533 acres of mountain an application prepared by Tejon Ranch Species proposed for coverage in the resort and other development within Corporation (Tejon or Applicant) TU MSHCP are species that are and adjacent to the Interstate 5 corridor pursuant to the Endangered Species Act currently listed as federally threatened and Lebec community within the of 1973, as amended (Act). or endangered or have the potential to covered lands in Kern County, become listed during the term of the DATES: Written comments must be California. The TU MSHCP proposes a permit and have some likelihood to received by on or before May 3, 2012. conservation strategy to minimize and occur within the plan area. Should any ADDRESSES: Obtaining Documents: You mitigate to the maximum extent of the unlisted covered wildlife species may download copies of the SDEIS, TU practicable any impacts that could occur become listed under the Act during the MSHCP and IA on the Internet at to covered species as the result of the term of the permit, take authorization http://www.fws.gov/ventura/. covered activities. for those species would become Alternatively, you may use one of the effective upon listing. Twenty-one Background methods below to request hard copies or animal species and six plant species are a CD–ROM of the documents. Section 9 of the Act and Federal known or have the potential to occur Submitting Comments: You may regulations prohibit the ‘‘take’’ of within the plan area and are proposed submit comments or requests for copies wildlife species listed as endangered or to be covered by the permit (Covered or more information by one of the threatened (16 U.S.C. 1538). The Act Species). The permit would include the following methods. defines the term ‘‘take’’ as to harass, following federally listed animal • Email: [[email protected]]. harm, pursue, hunt, shoot, wound, kill, species: California condor (Gymnogyps Include ‘‘Tehachapi Upland Draft trap, capture, or collect listed species, or californianus—federally listed as MSHCP/SEIS Comments’’ in the subject to attempt to engage in such conduct (16 endangered and state listed as line of the message. U.S.C. 1532). Harm includes significant endangered and fully protected), least • U.S. Mail: Roger Root, Assistant habitat modification or degradation that Bell’s vireo (Vireo bellii pusillus— Field Supervisor, U.S. Fish and Wildlife actually kills or injures listed wildlife federally listed as endangered), Service, 2493 Portola Road, Suite B, by significantly impairing essential southwestern willow flycatcher Ventura, CA 93003. behavioral patterns, including breeding, (Empidonax traillii extimus—federally • In-Person Drop-off, Viewing, or feeding, and sheltering [50 CFR 17.3(c)]. listed as endangered), and Valley Pickup: Call (805) 644–1766 to make an Pursuant to section 10(a)(1)(B) of the elderberry longhorn beetle (Democerus appointment during regular business Act, the Service may issue permits to californicus dimorphus—federally listed hours at the above address. authorize ‘‘incidental take’’ of listed as threatened). The permit would also • Fax: Roger Root, Assistant Field animal species. ‘‘Incidental Take’’ is include the following species currently Supervisor, (805) 644–3958, Attn.: defined by the Act as take that is unlisted under the Act: western yellow-

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billed cuckoo (Coccyzus americanus general and species-specific take in the 2009 Draft EIS. The alternative occidentalis—Federal candidate for avoidance, minimization, and has been updated to reflect the TMV listing); Tehachapi slender salamander mitigation measures to reduce potential Project Approvals, including approved (Batrachoseps stebbinsi ), bald eagle impacts to the covered species. With mitigation measures required by the (Haliaeetus leucocephalus), American regard to the California condor, the plan County, to reflect clarifications made to peregrine falcon (Falco peregrinus requires the ongoing monitoring of the California condor mitigation anatum), little willow flycatcher covered activities by a qualified measures proposed in the applicant’s (Empidonax traillii brewsteri), golden biologist to reduce the potential for any revised MSCHP, and to reflect that the eagle (Aquila chrysaetos), white-tailed human/condor interactions and the options to purchase easements over the kite (Elanus leucurus), ringtail permanent enforcement of covenants, areas formerly referred to as Potential (Bassariscus astutus), tricolored conditions, and restrictions on Open Space have been recorded per the blackbird (Agelaius tricolor), Tehachapi residential development to minimize terms of the Ranchwide Agreement pocket mouse (Perognathus alticola any impacts to condors. The plan also (referred to as Existing Conservation inexpectatus), burrowing owl (Athene provides funding for condor capture, Easement Areas). Where appropriate, we cunicularia), yellow-blotched care, and relocation in the unlikely added information or required salamander (Ensatina eschscholtzii event that a condor becomes habituated mitigation measures associated with the croceater), western spadefoot (Spea to human activities. No lethal take of TMV Project approvals to the SDEIS. hammondii), purple martin (Progne condors would be authorized under the The Condor Only HCP Alternative subis), yellow warbler (Dendroica permit. continues to represent a species petechia brewsteri), coast horned lizard) National Environmental Policy Act management approach that addresses (Phrynosoma coronatum (both frontale Compliance only the California condor; the and blainvillii populations), two-striped protection measures for the other The Service’s proposed issuance of an garter snake (Thamnophis hammondii), federally listed species would be incidental take permit is a Federal round-leaved filaree (Erodium determined as a result of project-specific action and triggers the need for macrophyllum), Fort Tejon woolly review and approval processes triggered compliance with the National sunflower (Eriophyllum lanatum var. by applicant requests. Like the Proposed Environmental Policy Act (NEPA). The hallii), Kusche’s sandwort (Arenaria TU MSHCP Alternative, the Condor Service has prepared a SDEIS that macradenia var. kuschei), Tehachapi Only HCP Alternative has been updated buckwheat (Eriogonum callistum), evaluates the impacts of proposed issuance of the permit and to reflect the TMV Project Approvals striped adobe lily (Fritillaria striata), and to include the land conservation and Tejon poppy (Eschscholzia implementation of the TU MSHCP, and also evaluates the impacts of a requirements contained in the lemmonii ssp. kernensis). Ranchwide Agreement. Under the The TU MSHCP includes a reasonable range of alternatives. Ranchwide Agreement, general plan conservation strategy intended to avoid, The SDEIS analyzes four alternatives development areas previously identified minimize, and mitigate to the maximum in addition to the proposed TU MSHCP, for the Condor Only HCP Alternative extent practicable any impacts that summarized above. The Service has become Established Open Space Areas. would occur to covered species as the identified the proposed TU MSHCP as Therefore, the development area under result of the covered activities. Under the Preferred Alternative. Additional the Condor Only HCP Alternative is the plan, and consistent with the Tejon alternatives are described below. Ranch Conservation and Land Use The No Action Alternative (referred to now the same as the development area Agreement between Tejon and the as the No Action/No MSCHP under the Proposed TU MSHCP Sierra Club, National Audubon Society, Alternative in the 2009 Draft EIS) has Alternative. Natural Resources Defense Council, been revised. For the purposes of A new alternative, the Condor Critical Endangered Habitats League, and analysis, this alternative now assumes Habitat (CCH) Avoidance MSHCP Planning and Conservation League, no that the Ranchwide Agreement would Alternative, has been added to this land development would be allowed remain in effect, that development of SDEIS to address several public within approximately 93,522 acres of the TMV Project and other future comments that proposed development Covered Lands, including the commercial or residential development areas be reconfigured to avoid federally approximately 37,100 acre Tunis and allowed within the Covered Lands designed critical habitat for California Winters ridge area, which is designated under the Ranchwide Agreement would condor. Under this alternative, no as the Condor Study Area under the not occur, and that Existing Ranch Uses commercial or residential development plan and is the area of the ranch most would continue at current levels into would occur in any designated critical likely to be frequented by condors. An the future. The conditions of approval habitat for California condor. The TMV additional 23,001 acres would be for the TMV Project by Kern County Project would not occur, as that project preserved as open space within the identify certain actions to be undertaken would extend into California condor Tejon Mountain Village planning area, by the Service, including directing the critical habitat. Instead, development resulting in the permanent conservation operation of a feeding station and would follow Kern County General Plan of approximately 82 percent of the capture of condors that have become designations and would cluster most Covered Lands (TU MSHCP Mitigation habituated. The No Action Alternative commercial and residential Lands). does not assume future action on the development in the southwestern Upon initiation of construction of the part of the Service, including future portion of the Covered Lands, in the Tejon Mountain Village development, action identified as a condition of Kern portion of the TMV Planning Area the TU MSCHP requires that the County’s approval of the TMV Project. nearest to Interstate 5 (I–5), and in areas Mitigation Lands be permanently Instead, it is assumed the Service would outside condor critical habitat. The CCH protected by phased recordation of continue to provide technical assistance Avoidance MSHCP Alternative also conservation easements or equivalent to Tejon regarding the California assumes implementation of the legal restrictions over all such lands by condor. Ranchwide Agreement, where the end of the permit term. The TU The proposed TU MSHCP Alternative development boundaries outside critical MSCHP also requires implementation of generally remains the same as described habitat conform to the development

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setbacks and general boundaries Decision Dated: January 26, 2012. provided in that agreement. Larry Echo Hawk, The Kern County General Plan The Service will evaluate the Assistant Secretary—Indian Affairs. application, associated documents, and Buildout Alternative (referred to as the [FR Doc. 2012–2441 Filed 2–2–12; 8:45 am] comments submitted before preparing a MSHCP General Plan Buildout BILLING CODE 4310–4N–P Alternative in the 2009 Draft EIS) has final EIS. A permit decision will be also been revised. While the Ranchwide made no sooner than 30 days after the Agreement has resulted in the final EIS is filed with EPA, published DEPARTMENT OF THE INTERIOR recordation of conservation easements and the Record of Decision is on 12,795 acres of the Covered Lands completed. Bureau of Land Management (Existing Conservation Easement Areas), This notice is provided pursuant to [LLNMP02000 L71220000.EX0000 the remainder of the Covered Lands to section 10(a) of the Act and pursuant to LVTFGX9G4200] be precluded from development under implementing regulations for NEPA the Ranchwide Agreement do not (40 CFR 1506.6). Notice of Availability of the Final EIS currently have conservation easements for the HB In-Situ Solution Mine Dated: January 19, 2012. recorded. As noted above, because the Project, Eddy County, New Mexico Ranchwide Agreement is a private Alexandra Pitts, AGENCY: Bureau of Land Management, agreement between parties and Service Deputy Regional Director, Pacific Southwest Interior. is not a party to and has no contractual Region, Sacramento, California. standing under the agreement, it can be [FR Doc. 2012–2294 Filed 2–2–12; 8:45 am] ACTION: Notice of Availability. amended (or even terminated) by BILLING CODE: P SUMMARY: In accordance with the mutual agreement of the parties such National Environmental Policy Act of that the land preservation outcome of 1969, as amended, and the Federal Land DEPARTMENT OF THE INTERIOR the Ranchwide Agreement on Covered Policy and Management Act of 1976, as Lands may not be realized. While the Bureau of Indian Affairs amended, the Bureau of Land Service considers the likelihood remote Management (BLM) has prepared a that the Ranchwide Agreement would Indian Gaming Final Environmental Impact Statement be terminated, for purposes of (Final EIS) for the HB In-Situ Solution comprehensive NEPA analysis, this AGENCY: Bureau of Indian Affairs, Mine Project, and by this notice is alternative does not assume announcing its availability. continuation of the Ranchwide Interior. DATES: The BLM will not issue a final Agreement except for the permanent ACTION: Notice of Tribal—State Class III decision on the proposal for a minimum protection of the already-recorded Gaming Compact Taking Effect. conservation easements on the Existing of 30 days after the date that the Conservation Easement Lands. Environmental Protection Agency SUMMARY: This publishes notice of the publishes its Notice of Availability of Under the Kern County General Plan Tribal-State Compact between the State the Final EIS in the Federal Register. Buildout Alternative, development is of California and the Pinoleville Pomo ADDRESSES: Copies of the HB In-Situ assumed to proceed in accordance with Nation Taking Effect. the Kern County General Plan, Solution Mining EIS are available for including implementation of the TMV DATES: Effective Date: February 3, 2012. public inspection at the Carlsbad Field Office, 620 E. Greene St., Carlsbad, New Project (per the TMV Project FOR FURTHER INFORMATION CONTACT: Approvals). Development of the Mexico 88220. Interested persons may Paula L. Hart, Director, Office of Indian also review the Final EIS on the Internet Covered Lands would require Kern Gaming, Office of the Deputy Assistant County approval, and the SDEIS at http://www.nm.blm.gov/cfo/HBIS/ Secretary—Policy and Economic index.html. assumes that it would proceed on a Development, Washington, DC 20240, FOR FURTHER INFORMATION CONTACT: For project-by-project basis and that the (202) 219–4066. Service would issue incidental take further information contact David authorization as appropriate through SUPPLEMENTARY INFORMATION: Under Alderman, Project Manager; telephone either the ESA Section 7 or Section 10 section 11 of the Indian Gaming 575–234–6232; address 620 E. Greene process. Regulatory Act of 1988 (IGRA) Public St. Carlsbad, New Mexico 88220; email Law 100–497, 25 U.S.C. 2710, the [email protected]. Persons who Public Comments Secretary of the Interior shall publish in use a telecommunications device for the If you wish to comment on the permit the Federal Register notice of approved deaf (TDD) may call the Federal application, SDEIS, TU MSHCP, or draft Tribal—State compacts for the purpose Information Relay Service (FIRS) at 1– IA, you may submit your comments to of engaging in Class III gaming activities (800) 877–8339 to contact the above the address listed in ADDRESSES. Before on Indian lands. The Compact allows individual during normal business including your address, phone number, for one gaming facility and authorizes hours. The FIRS is available 24 hours a email address, or other personal up to 900 gaming devices, any banking day, 7 days a week, to leave a message identifying information in your or percentage card games, and any or question with the above individual. comment, you should be aware that devices or games authorized under State You will receive a reply during normal your entire comment—including your law to the State lottery. The Compact business hours. personal identifying information—may also authorizes limited annual payments SUPPLEMENTARY INFORMATION: Intrepid be made publicly available at any time. to the State for statewide exclusivity. Potash, Inc. (Intrepid) is proposing to While you may ask us in your comment Finally, the term of the compact is until extract the potash, a potassium to withhold your personal identifying December 31, 2031. This Compact is compound commonly used for fertilizer, information from public review, we considered to have been approved, but remaining in inactive underground cannot guarantee that we will be able to only to the extent that the Compact is mine workings using the solution do so. consistent with the provisions of IGRA. mining method. Intrepid proposes to

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construct and operate a solution mine an EIS would be required for the Authority: 40 CFR 1506.6, 40 CFR project in an existing deep mine located proposed project. The Notice of Intent 1506.10. approximately 20 miles northeast of (NOI) to prepare an EIS for the HB In- Jim Stovall, Situ Solution Mine Project was Carlsbad in Eddy County, New Mexico, Field Manager, Carlsbad Field Office. in the Secretary’s Potash Area. published in the Federal Register on The remaining potash left in the January 12, 2010, and two public [FR Doc. 2012–2375 Filed 2–2–12; 8:45 am] underground pillars and walls of the scoping meetings were conducted on BILLING CODE 4310–OX–P inactive workings is no longer January 26, 2010. A scoping report was accessible through conventional mining compiled and published on April 1, DEPARTMENT OF THE INTERIOR methods. The proposed action is to 2010. Major issues identified for this inject saline water into the mine project include water use, ground Bureau of Land Management workings and extract a mineral-rich subsidence, and the concurrent solution. This mineral-rich solution development of oil and gas resources in [LLES956000–L19100000–BK0000– would be pumped to the surface and the same area. LRCMM0E0015P] transported through a series of surface Alternatives developed include the pipelines to evaporation ponds. Once proposed action (Alternative A), which Eastern States: Filing of Plat of Survey, the solution evaporates in the ponds, utilizes non-potable water supplied by North Carolina seven wells in the Rustler Formation. the potassium-bearing salts would be AGENCY: Bureau of Land Management, Alternative B includes six of the seven harvested from the ponds and Interior. transported to a newly constructed mill wells from the proposed action but also ACTION: for ore refinement. assumes that a substantial portion of the Notice. water needed for the project would be The project area includes portions of SUMMARY: The Bureau of Land supplied from fresh water wells in the the following: Management (BLM) will file the plat of Caprock Formation (Ogallala Aquifer) New Mexico Principal Meridian survey of the land described below in 30 miles northeast of the project area. the BLM—Eastern States office in T. 19 S., R. 30 E., T. 19 S., R. 31 E., T. 20 An alternate routing of pipelines to the Springfield, Virginia, 30 calendar days S., R. 29 E., T. 20 S., R. 30 E., T. 20 S., Caprock is also being considered under R. 31 E., T. 21 S., R. 29 E., T. 21 S., R. from the date of publication in the Alternative B. Alternative C buries the 30 E. Federal Register. Containing 38,453 acres more or less. pipelines to reduce surface impacts. The Notice of Availability for the Draft EIS FOR FURTHER INFORMATION CONTACT: Eighty-two percent of the project area was published on April 15, 2011, Bureau of Land Management-Eastern is on public lands managed by the BLM. starting a 60-day public comment States, 7450 Boston Boulevard, There are 4,330 acres of open mine period. Public scoping meetings were Springfield, Virginia 22153. Attn: workings that are targeted for flooding held in Carlsbad on May 10, 2011, and Dominica Van Koten. Persons who use and the total surface footprint of the in Hobbs on May 11, 2011. Briefings a telecommunications device for the project would range from 822 acres to were also held for several cooperating deaf (TDD) may call the Federal 962 acres, depending on the alternative agencies. The comment period was Information Relay Service (FIRS) at 1– chosen. The surface footprint for the extended by 2 weeks at the request of (800) 877–8339 to contact the above alternatives described in the draft EIS one of the cooperating agencies. Two individual during normal business ranged from 822 acres to 907 acres. The hundred and seventeen unique hours. The FIRS is available 24 hours a 962-acre footprint evaluated in the final comments were received and analyzed. day, 7 days a week, to leave a message EIS is associated with Alternative D, the After considering the comments or question with the above individual. preferred alternative. Although it received on the Draft EIS, the BLM You will receive a reply during normal includes 55 more acres than Alternative designed a preferred alternative, business hours. B, evaluated in the draft and final EIS, Alternative D, consisting of elements SUPPLEMENTARY INFORMATION: The this is not a substantial change relevant from the existing action alternatives. survey was requested by the Bureau of to environmental concerns because it The preferred alternative includes: Indian Affairs. does not result in substantially Using water from the southern Rustler The land surveyed is: increased impacts to the environment. wells only, with any shortfall made up The surface disturbance for Alternative with water from the Caprock well field; Swain County, North Carolina D represents an increase of only 6 building the alternate Caprock pipeline The plat of survey represents the percent over the proposed surface from Alternative B to minimize impacts dependent resurvey of a portion of the disturbance evaluated for Alternative B to sand dune lizard habitat; burying 68 3200 acre tract, lands held in trust for in the draft EIS and would not lead to percent of the pipelines in the project the Eastern Band of Cherokee Indians, any substantial change in impacts on area including all the pipelines in the Swain County, in the State of North water resources, ground subsidence, Hackberry Lake Special Recreation Carolina, and was accepted December wildlife, vegetation, or any other Management Area; increasing the size of 30, 2011. environmental resource. the evaporation ponds by 60 acres; and We will place copies of the plats we The BLM initiated the National incorporating minor changes to the described in the open files. They will be Environmental Policy Act (NEPA) power and pipeline routes to protect available to the public as a matter of process for the HB In-Situ Solution resources and improve efficiency. information. Mine Project by preparing an Comments on the Draft EIS were If BLM receives a protest against a environmental assessment (EA) in 2008. considered and incorporated as survey, as shown on the plat, prior to Two public scoping meetings were held appropriate into the proposed Final EIS. the date of the official filing, we will on September 16, 2008, to receive Public comments resulted in the stay the filing pending our public input and comments on the addition of clarifying text and a consideration of the protest. proposed project. During development preferred alternative consisting of We will not officially file the plat of the EA and prior to publication, the elements from the other alternatives but until the day after we have accepted or BLM determined that the preparation of did not significantly change the EIS. dismissed all protests and they have

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become final, including decisions on above individual. You will receive a at http://elips.doi.gov/app_dm/ appeals. reply during normal business hours. act_getfiles.cfm?relnum=3889). Dated: January 30, 2012. SUPPLEMENTARY INFORMATION: The ROD DATES: Written comments will be Dominica Van Koten, covered by this Notice of Availability is accepted until April 3, 2012. Chief Cadastral Surveyor. for the North Hilight Field Coal Tract ADDRESSES: Draft Director’s Order #79 is and addresses leasing Federal coal in [FR Doc. 2012–2424 Filed 2–2–12; 8:45 am] available on the Internet at http:// Campbell County, Wyoming, BILLING CODE 4310–GJ–P www.nps.gov/policy/DO–79draft.pdf. administered by the BLM Wyoming Requests for copies of, and written High Plains District Office. The BLM comments on, the draft Director’s Order DEPARTMENT OF THE INTERIOR approves Alternative 2, the preferred should be sent to Dr. Gary Machlis, alternative for this LBA in the Wright Science Advisor to the Director, 1849 C Bureau of Land Management Area Coal Final EIS. Under Alternative Street NW., Washington DC 20240, or to 2, the BLM will offer to lease the North his Internet address: [LLWYP00000–L13200000–EL0000; Hilight Field Coal LBA area, as modified WYW164812] [email protected]. by the BLM. The LBA area includes FOR FURTHER INFORMATION CONTACT: Notice of Availability of the Record of approximately 4,530 acres. The BLM Gary Decision for the Wright Area North estimates that it contains approximately Machlis at (202) 219–8933 or John G. 467,596,000 tons of mineable Federal Dennis at (202) 513–7174 (or Hilight Field Coal Lease-by-Application _ and Environmental Impact Statement, coal reserves under the selected john [email protected]). Wyoming configuration. SUPPLEMENTARY INFORMATION: Draft The BLM will announce a competitive Director’s Order #79 addresses Code of AGENCY: Bureau of Land Management, coal lease sale in the Federal Register at Scientific and Scholarly Conduct; Interior. a later date. The Environmental reporting and resolving allegations ACTION: Notice of availability. Protection Agency published a Federal regarding loss of scientific and scholarly Register notice announcing the Final integrity; whistleblower protections; SUMMARY: In accordance with the EIS was publicly available on July 30, ombudsman responsibilities; National Environmental Policy Act of 2010 (75 FR 44951). participation of NPS employees as 1969, as amended, the Bureau of Land This decision is subject to appeal to officers or members on the board of Management (BLM) announces the the Interior Board of Land Appeals directors of professional societies or availability of the Record of Decision (IBLA), as provided in 43 CFR part 4, other non–federal organizations; (ROD) for the North Hilight Field Coal within thirty (30) days from the date of participation by non-NPS employees on Lease-by-Application (LBA) included in publication of this NOA in the Federal NPS scientific and scholarly boards, the Wright Area Coal Lease Register. The ROD contains instructions panels, and advisory groups; and Applications Environmental Impact for filing an appeal with the IBLA. maintenance of a reference manual Statement (EIS). Donald A. Simpson, regarding integrity of scientific and ADDRESSES: The document is available scholarly activities. electronically on the following Web site: State Director. http://www.blm.gov/wy/st/en/info/ [FR Doc. 2012–2360 Filed 2–2–12; 8:45 am] Public Availability of Comments NEPA/HighPlains/Wright-Coal.html. BILLING CODE 4310–22–P Before including your address, phone Paper copies of the ROD are also number, email address, or other available at the following BLM office personal identifying information in your DEPARTMENT OF THE INTERIOR locations: comment, you should be aware that • Bureau of Land Management, National Park Service your entire comment—including your Wyoming State Office, 5353 personal identifying information—may Yellowstone Road, Cheyenne, Wyoming be made publicly available at any time. 82009; and [NPS–WASO–DPOL–1111–8900; 0004–SYM] While you can ask us in your comment • Bureau of Land Management, to withhold your personal identifying Wyoming High Plains District Office, Notice of Availability of Draft Director’s Order #79 Concerning National Park information from public review, we 2987 Prospector Drive, Casper, cannot guarantee that we will be able to Wyoming 82604. Service Policies and Procedures Governing Integrity of Scientific and do so. FOR FURTHER INFORMATION CONTACT: Scholarly Activities Kathy Muller Ogle, Coal Program Gary Machlis, Coordinator, at (307) 775–6206, or Sarah AGENCY: Department of the Interior, Science Advisor to the Director. Bucklin, EIS Project Manager, at (307) National Park Service. [FR Doc. 2012–2437 Filed 2–2–12; 8:45 am] 261–7541. Ms. Ogle’s office is located at ACTION: Notice of availability. BILLING CODE P the BLM Wyoming State Office, 5353 Yellowstone Road, Cheyenne, Wyoming SUMMARY: The National Park Service 82009. Ms. Bucklin’s office is located at (NPS) is proposing to adopt a Director’s INTERNATIONAL TRADE the BLM High Plains District Office, Order setting forth policies and COMMISSION 2987 Prospector Drive, Casper, procedures that guide NPS practices to Wyoming 82604. Persons who use a ensure the integrity of NPS scientific [Investigation No. 337–TA–777] telecommunications device for the deaf and scholarly activities. This NPS Certain Muzzle-Loading Firearms and (TDD) may call the Federal Information guidance will ensure proper application Components Thereof Determination Relay Service (FIRS) at 1 (800) 877–8339 in the NPS of Department of the Interior Not To Review an Initial Determination to contact the above individual during guidance on Integrity of Scientific and Terminating the Investigation normal business hours. The FIRS is Scholarly Activities, which is found in available 24 hours a day, 7 days a week, Part 305, Chapter 3, of the Department AGENCY: U.S. International Trade to leave a message or question with the of the Interior Manual (on the Internet Commission.

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ACTION: Notice. Traditions Sporting Firearms of Old DEPARTMENT OF JUSTICE Saybrook, Connecticut (‘‘Traditions’’). SUMMARY: Notice is hereby given that On August 31, 2011, the ALJ issued an Notice of Lodging of Settlement the U.S. International Trade ID denying temporary relief. On Agreement Under the Clean Air Act, Commission has determined not to November 10, 2011, the Commission Comprehensive Environmental review an initial determination (‘‘ID’’) Response, Compensation, and Liability (Order No. 29) issued by the presiding determined to review the denial of temporary relief. 76 FR 71354 Act and the Resource Conservation administrative law judge (‘‘ALJ’’) on and Recovery Act January 10, 2012, granting a joint (November 17, 2011). On review the motion to terminate the investigation as Commission affirmed the denial of Notice is hereby given that on January to the last remaining respondents. temporary relief based on the ALJ’s 30, 2012, a proposed Consent Decree FOR FURTHER INFORMATION CONTACT: Jean finding of no irreparable harm and took and Settlement Agreement (the ‘‘Non- H. Jackson, Esq., Office of the General no position on the other temporary Owned Site Settlement Agreement’’) in Counsel, U.S. International Trade relief factors. Id. the bankruptcy matter, Motors Commission, 500 E Street SW., On November 29, 2011, complainants Liquidation Corp, et al., f/k/a General Washington, DC 20436, telephone (202) and respondents Ardesa and Traditions Motors Corp., et al., Jointly 205–3104. Copies of non-confidential filed a joint motion to terminate the Administered Case No. 09–50026 (REG), was lodged with the United States documents filed in connection with this investigation based on a settlement Bankruptcy Court for the Southern investigation are or will be available for agreement. On December 12, 2011, the District of New York. The Parties to the inspection during official business ALJ granted the motion in Order 26, and hours (8:45 a.m. to 5:15 p.m.) in the Non-Owned Site Settlement Agreement the Commission did not review. Notice Office of the Secretary, U.S. are the estates of debtors Motors of Commission Determination Not To International Trade Commission, 500 E Liquidation Corporation, formerly Street SW., Washington, DC 20436, Review (January 9, 2012). known as General Motors Corporation, telephone (202) 205–2000. General On December 23, 2011, complainants Remediation and Liability Management information concerning the Commission and the BPI respondents jointly filed a Company, Inc., and Environmental may also be obtained by accessing its motion to terminate the investigation Corporate Remediation Company, Inc. Internet server (http://www.usitc.gov). with respect to the BPI respondents (collectively, the ‘‘Debtors’ Estates’’), the The public record for this investigation based on a settlement agreement based Motors Liquidation General Unsecured may be viewed on the Commission’s on licensing. The Commission Creditors Trust (collectively with the electronic docket (EDIS) at http:// investigative attorney supported the Debtors’ Estates, ‘‘Old GM’’), and the edis.usitc.gov. Hearing-impaired motion. The ALJ granted the joint United States of America. The persons are advised that information on motion on January 10, 2012, finding that Settlement Agreement resolves claims this matter can be obtained by the motion met all the requirements of and causes of action of the contacting the Commission’s TDD Commission rule 210.21(b) and that Environmental Protection Agency terminal on (202) 205–1810. termination of the investigation with (‘‘EPA’’) against Old GM under the Comprehensive Environmental SUPPLEMENTARY INFORMATION: The respect to the BPI respondents did not Response, Compensation, and Liability Commission instituted this investigation impose any burdens on the public on June 17, 2011, based on a complaint Act (‘‘CERCLA’’), 42 U.S.C. 9601–9675, interest. No petitions for review of the filed by Thompson/Center Arms with respect to the following sites: ID were received. There being no other Company, Inc. and Smith & Wesson 1. The Diamond Alkali Superfund Corp. (‘‘complainants’’). 76 FR 35469 respondents remaining in the Site in New Jersey (the ‘‘Diamond Alkali (Jun. 17, 2011). The Commission’s investigation, this ID terminates the Site’’); Notice of Investigation names seven investigation in its entirety. 2. The Kane & Lombard Street Drum respondents, including Blackpowder No petitions for review of this ID were Superfund Site in Maryland (the ‘‘Kane Products Inc., Connecticut Valley Arms, received, and the Commission has & Lombard Site’’); and and Bergara Barrels North America, all determined not to review the ID. 3. The Hayford Bridge Road of Duluth Georgia, and Dikar Sociedad Groundwater Superfund Site in The authority for the Commission’s Cooperativa Limitada and Bergara Missouri (the ‘‘Hayford Bridge Site’’). determination is contained in Section Barrels Europe, both of Bergara, Spain Under the Non-Owned Site (collectively ‘‘the BPI respondents’’). 337 of the Tariff Act of 1930, as Settlement Agreement, EPA will receive The complaint alleges violations of amended, (19 U.S.C. 1337), and in an allowed general unsecured claim of section 337 by reason of infringement of section 210.42 of the Commission’s $19,500,000 for the Diamond Alkali Site U.S. Patent Nos. 7,908,781 (‘‘the ‘781 Rules of Practice and Procedure (19 CFR and an allowed general unsecured claim patent’’); 7,814,694; 7,140,138 (‘‘the ‘138 210.42). of $1,402,000 for the Hayford Bridge patent’’); 6,604,311; 5,782,030; and Issued: January 31, 2012. Site. EPA will also receive work up to 5,639,981. On July 8, 2011, the ALJ the amount of $448,000 in accordance By order of the Commission. granted complainants’ motion to with bond requirements at the Hayford terminate the investigation as to the ‘781 James R. Holbein, Bridge Site, and work up to the amount and ‘138 patents. Order No. 7 (July 8, Secretary to the Commission. of $2,448,334 in accordance with bond 2011). The Commission did not review [FR Doc. 2012–2447 Filed 2–2–12; 8:45 am] requirements at the Kane & Lombard this determination. Notice of BILLING CODE 7020–02–P Site. Determination Not to Review (July 22, The Department of Justice will 2011). receive, for a period of thirty (30) days The complainants also filed a motion from the date of this publication, for temporary relief directed to only comments relating to the Non-Owned respondents Ardesa Firearms (Ardesa) Site Settlement Agreement. Comments of Zamudio-Vizcaya, Spain and should be addressed to the Assistant Traditional Sporting Goods, Inc., d/b/a Attorney General, Environment and

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Natural Resources Division, and either Decree amends the Consent Decree to ACTION: Notice of a new system of emailed to pubcomment- provide for construction of a Kaneohe- records and removal of five system of [email protected] or mailed to P.O. Kailua Tunnel and an associated records notices. Box 7611, U.S. Department of Justice, influent pump station instead of Washington, DC 20044–7611, and construction of the Kaneohe-Kailua SUMMARY: Pursuant to the Privacy Act of should refer to In re Motors Liquidation Force Main required by the Consent 1974, 5 U.S.C. 552a, and Office of Corp., et al., D.J. Ref. 90–11–3–09754. Decree. In addition, the proposed First Management and Budget (OMB) The Non-Owned Site Settlement Amended Consent Decree will eliminate Circular No. A–130, notice is hereby Agreement may be examined at the certain storage projects that will not be given that the Department of Justice Office of the United States Attorney, 86 needed following completion of the (Department or DOJ) proposes to Chambers Street, 3rd Floor, New York, tunnel project. establish a new Department-wide New York 10007, and at the U.S. The Department of Justice will system of records entitled, ‘‘Department Environmental Protection Agency, Ariel receive, for a period of thirty (30) days of Justice Employee Assistance Program Rios Building, 1200 Pennsylvania from the date of this publication, (EAP) Records,’’ JUSTICE/DOJ–015. The Avenue NW., Washington, DC 20460. comments relating to the First Amended purpose of publishing this Department- During the public comment period, the Consent Decree. Comments should be wide notice is to consolidate existing Non-Owned Site Settlement Agreement addressed to the Assistant Attorney EAP notices published by separate DOJ may also be examined on the following General, Environment and Natural components and provide a Department of Justice Web site, http:// Resources Division, and either emailed comprehensive notice to cover all www.usdoj.gov/enrd/ to [email protected] or Department EAP records, thereby _ Consent Decrees.html. Copies of the mailed to P.O. Box 7611, U.S. increasing administrative efficiency and Non-Owned Site Settlement Agreement Department of Justice, Washington, DC promoting consistent maintenance of may also be obtained by mail from the 20044–7611, and should refer to United DOJ EAP records. Accordingly, this Consent Decree Library, P.O. Box 7611, States and State of Hawaii v. City and Department-wide system notice U.S. Department of Justice, Washington, County of Honolulu, D.J. Ref. 90–5–1–1– replaces, and the Department hereby DC 20044–7611 or by faxing or emailing 3825. removes, the following system notices a request to ‘‘Consent Decree Copy’’ The First Amended Consent Decree previously published by individual DOJ ([email protected]), fax no. may be examined at U.S. EPA Region IX components: (202) 514–0097, phone confirmation at 75 Hawthorne Street, San Francisco, Executive Office for United States number (202) 514–5271. If requesting a California 94105. During the public Attorneys (EOUSA), ‘‘Employee copy from the Consent Decree Library comment period, the First Amended Assistance Program (EAP) Counseling by mail, please enclose a check in the Consent Decree may also be examined and Referral Records,’’ JUSTICE/USA– amount of $6.00 (25 cents per page on the following Department of Justice 020, 66 FR 15755 (Mar. 20, 2001); reproduction cost) payable to the U.S. Web site: http://www.usdoj.gov/enrd/ Federal Bureau of Investigation (FBI), Treasury or, if by email or fax, please Consent_Decrees.html. A copy of the ‘‘FBI Alcoholism Program,’’ JUSTICE/ forward a check in that amount to the First Amended Consent Decree may also FBI–014, 52 FR 47251 (Dec. 11, 1987); Consent Decree Library at the address be obtained by mail from the Consent Federal Bureau of Prisons (BOP), given above. Decree Library, P.O. Box 7611, U.S. ‘‘Employee Assistance Program Record Maureen Katz, Department of Justice, Washington, DC System,’’ JUSTICE/BOP–014, 65 FR Assistant Chief, Environmental Enforcement 20044–7611 or by faxing or emailing a 46739 (July 31, 2000); Section, Environment and Natural Resources request to ‘‘Consent Decree Copy’’ Justice Management Division (JMD), Division. ([email protected]), fax no. ‘‘Employee Assistance Program (EAP) [FR Doc. 2012–2471 Filed 2–2–12; 8:45 am] (202) 514–0097, phone confirmation Counseling and Referral Records,’’ JUSTICE/JMD–016, 65 FR 36718 (June 9, BILLING CODE 4410–15–P number (202) 514–5241. In requesting a copy from the Consent Decree Library, 2000); and please enclose a check in the amount of United States Marshals Service DEPARTMENT OF JUSTICE $25.50 (without appendices) or $38.75 (USMS), ‘‘U.S. Marshals Service (USMS) (with appendices) (25 cents per page Employee Assistance Program (EAP) Notice of Lodging of Consent Decree reproduction cost) payable to the U.S. Records,’’ JUSTICE/USM–015, 72 FR Under the Clean Water Act Treasury or, if by email or fax, forward 49015, (Aug. 27, 2007). Notice is hereby given that on January a check in that amount to the Consent DATES: In accordance with 5 U.S.C. 30, 2012, a proposed First Amended Decree Library at the stated address. 552a(e)(4) and (11), the public is given a 30-day period in which to comment. Consent Decree in United States of Henry Friedman, America and State of Hawaii v. City and Therefore, please submit any comments Assistant Chief, Environmental Enforcement by March 5, 2012. County of Honolulu, Civil No. 94–00765 Section, Environment and Natural Resources DAE–KSC (D. Hawaii), was lodged with Division. ADDRESSES: The public, Office of the United States District Court for the [FR Doc. 2012–2436 Filed 2–2–12; 8:45 am] Management and Budget (OMB) and District of Hawaii. Congress are invited to submit any BILLING CODE 4410–15–P On January 30, 2012, the United comments to the Department of Justice, States, the State of Hawaii, the City and ATTN: Privacy Analyst, Office of County of Honolulu, and three DEPARTMENT OF JUSTICE Privacy and Civil Liberties, Department Intervenors (Sierra Club, Hawai’i of Justice, National Place Building, 1331 Chapter, Hawai’i’s Thousand Friends, Pennsylvania Avenue NW., Suite 1000, [CPCLO Order No. 001–2012] and Our Children’s Earth Foundation) Washington, DC 20530–0001, or by filed a joint stipulation to amend the Privacy Act of 1974; System of facsimile at (202) 307–0693. To ensure Consent Decree that was entered by the Records proper handling, please reference the Court on December 17, 2010. The above CPCLO Order No. on your proposed First Amended Consent AGENCY: Department of Justice. correspondence.

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FOR FURTHER INFORMATION CONTACT: Dr. CATEGORIES OF RECORDS IN THE SYSTEM: crisis. Records are maintained to Leo Shea, Department of Justice, Justice Records may include any record, document and track a client’s Management Division, National Place written or electronic, which may assist participation in the EAP or community Building, 1331 Pennsylvania Avenue in diagnosing, evaluating, counseling, programs and the nature and effects of NW., Suite 1055, Washington, DC and/or treating an EAP client, or the employee’s personal problems. If an 20530, or by facsimile at (202) 514– resolving an EAP client’s complaint or EAP client so consents, these records 8797. management’s concerns (management may also be used to track compliance consultation) regarding the EAP client’s SUPPLEMENTARY INFORMATION: The with Abeyance or Last Chance records in this system of records performance, attendance, or conduct Agreements that include treatment document the work performed by the issues. Included are client identification options, in which the EAP is an integral EAP on behalf of the EAP client and data, such as name, home and/or work part of establishing and/or monitoring allow for the tracking of the EAP client’s address, email address, employee treatment compliance. identification numbers, job title/series, progress and the EAP client’s ROUTINE USES OF RECORDS MAINTAINED IN THE participation in the EAP or EAP related telephone numbers, date of birth, race, gender, marital status, relationship of SYSTEM, INCLUDING CATEGORIES OF USERS AND community programs. THE PURPOSES OF SUCH USES: family member to employee, and In accordance with 5 U.S.C. 552a(r), In addition to those disclosures the Department has provided a report to emergency contacts; the EAP counselor’s intake/termination and generally permitted under 5 U.S.C. OMB and Congress on this new system 552a(b), relevant records or information of records. outcome documents; case notes; pertinent personal, family, employment, in this system may be disclosed without Dated; January 12, 2012. disciplinary, financial, legal, EAP client consent as follows: Nancy C. Libin, psychosocial, medical, and/or (Note: To the extent that disclosure of Chief Privacy and Civil Liberties Officer, employment histories; medical tests or substance abuse patient records is more United States Department of Justice. screenings, including drug and alcohol restricted than disclosure of other EAP records, the EAP staff will follow such JUSTICE/DOJ–015 tests and information on positive drug tests generated by the staff of the Drug restrictions. See 42 U.S.C. 290dd–2; 42 SYSTEM NAME: Free Workplace Program or treatment CFR part 2. Similarly, nothing in these Department of Justice Employee facilities from which the EAP client may routine uses should be construed as Assistance Program (EAP) Records. be receiving treatment; treatment and authorizing a disclosure which is rehabilitation plans; insurance data; prohibited under State law; nor may any SECURITY CLASSIFICATION: behavioral improvement plans; and State law either authorize or compel any Unclassified. records of referrals. Referrals include disclosure of substance abuse patient those to community treatment resources records not encompassed by this notice SYSTEM LOCATION: and social service agencies that provide and governing EAP regulations. See 42 Employee Assistance Program (EAP) legal, financial, or other assistance not CFR 2.20.) records are located at the U.S. related to mental health or general (a) To appropriate State or local Department of Justice, 1331 medical services. Where clinical authorities to report, where required Pennsylvania Avenue NW., Washington, referrals have been made, records may under State law, incidents of suspected DC 20530, and other Department of include relevant information related to child, elder, or domestic abuse or Justice (DOJ) offices throughout the counseling, diagnosis, prognosis, neglect. country. For those components that treatment, and evaluation, together with (b) To any person or entity to the operate component-specific EAPs, follow-up data that may be generated by extent necessary to prevent an imminent records are located at the component’s the community program providing the crime which directly threatens loss of primary location and/or its field relevant services. Other records life or serious bodily injury. division sites. The main address for included in the system are the written (c) To contractors or authorized EAP each DOJ component is posted on the consent forms used to permit the community health care providers that DOJ Web site, www.justice.gov. EAP disclosure of information outside the provide counseling and other services records for components that utilize EAP. EAP client records may also through referrals from the EAP staff to contractors in providing EAP services include account information, such as the extent that it is appropriate, may also be maintained by such contractor billings and government relevant, and necessary to enable the contractors, on behalf of the payments, when EAP services are contractor or provider to perform his or Department, at the contractor’s location. provided by an EAP contractor to the her counseling, treatment, To determine the location of particular client. rehabilitation, and evaluation EAP records, contact the appropriate responsibilities. EAP Privacy Act system manager, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: whose contact information is listed 5 U.S.C. 3301, 7361, 7362, 7901, 7904; (d) To contractors, grantees, experts, below in the System Managers and 42 U.S.C. 290dd, 290dd–2; 44 U.S.C. consultants, students, and others Addresses section. 3101; 5 CFR part 792, subpart A; 42 CFR performing or working on a contract, part 2; Sec. 503, Pub. L. 100–71, 101 grant, cooperative agreement, or other CATEGORIES OF INDIVIDUALS COVERED BY THE Stat. 391, as amended; E.O. 12564, 51 assignment providing other services to SYSTEM: FR 32889; and DOJ Order No. 1200.1. an EAP program, when necessary to Current and former employees of the provide these services. In the case of Department, and in limited instances PURPOSE(S): substance abuse patient records, a their family members, who have sought The EAP is a voluntary program service provider must meet the counseling or have been referred for designed to assist EAP clients in qualifications established by 42 CFR counseling or treatment through the obtaining help in handling personal 2.11. EAP. The remainder of this notice will problems that may affect job (e) To any person who is responsible refer to these individuals as ‘‘EAP performance, and to provide emotional for the care of an EAP client when the client(s).’’ support and assistance during periods of EAP client to whom the records pertain

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is mentally incompetent or under legal Records in electronic format are kept in the EAP has actual notice of an disability. computerized databases and electronic administrative or judicial proceeding (f) To any person or entity to the media. specific to the client. In such cases, the extent necessary to meet a bona fide records are retained for six months after RETRIEVABILITY: medical emergency. the conclusion of the proceedings. (g) To law enforcement officers to Records in this system may be Destruction is by EAP personnel. Paper report information directly related to an indexed and retrieved by the name of records are destroyed through the use of EAP client’s commission of a crime on the EAP client or by an identifying case a high-grade shredder. Any electronic the premises of the EAP program or number or symbol that is cross-indexed storage device that was used to store against EAP program personnel or a to the EAP client’s name, in accordance sensitive EAP information is degaussed threat to commit such a crime, provided with policies and procedures outlined before it is discarded, transferred, or that the disclosure is limited to the in DOJ Order 1200.1. donated outside the EAP. circumstances of the incident, including SAFEGUARDS: the client status of the individual SYSTEM MANAGERS AND ADDRESSES: Internal EAP records are maintained committing or threatening to commit the EAP records are located at various by component EAP staff. In most cases, crime, that individual’s name and DOJ-operated and contractor-operated access to Department buildings is address, and that individual’s last facilities. Six components of the DOJ restricted by 24-hour guard service and known whereabouts. operate component-specific EAPs. The electronic identification. EAP records (h) To a former EAP employee of the primary Privacy Act system manager are secured in a GSA security-approved Department for purposes of: Responding and address for component-specific safe or equivalent as approved by the to an official inquiry by a federal, State, EAPs are as follows: component’s Security Program Office. or local government entity or ATF: EAP Administrator, Human Safes are locked when staff members are professional licensing authority, in Resources Division, Bureau of Alcohol, not in their offices. Access to these files accordance with applicable Tobacco, Firearms, and Explosives, 99 is strictly limited to approved EAP Departmental regulations; or facilitating New York Ave. NE., Washington, DC personnel only. Only the case number communications with the employee or 20226. appears on the file label. The file is contractor that may be necessary for DEA: EAP Administrator, Drug cross-referenced with a separately personnel-related or other official Enforcement Administration, 8701 secured list with corresponding name purposes where the Department requires Morrissette Drive Springfield, VA and case number. EAP case-sensitive information and/or consultation 22152. information in electronic format is only assistance from the employee or EOUSA: EAP Administrator, stored on a computer hard drive or contractor regarding a matter within that Executive Office for United States equivalent device if it is an approved person’s current or former area of Attorneys, 600 E St. NW., Room 2800, system with firewall and password responsibility. Washington, DC 20530. protection. Systems operating on a (i) To appropriate agencies, entities, FBI: EAP Administrator, Federal component’s LAN-based system encrypt and persons when (1) the Department Bureau of Investigation, 935 stored EAP sensitive data. Electronic suspects or has confirmed that the Pennsylvania Ave. NW., Room 10190, media are accessible only by a security or confidentiality of Washington, DC, 20535–0001. confidential password and secured in a information in the system of records has BOP: EAP Administrator, Federal safe as referenced above, within a been compromised; (2) the Department Bureau of Prisons, 320 First St. NW., locked room when not in use. has determined that as a result of the Room HOLC–871, Washington, DC Department contractors that maintain suspected or confirmed compromise 20534. EAP records are required to provide there is a risk of harm to economic or USMS: EAP Administrator, United adequate file security to prevent the property interests, identity theft or States Marshals Service, Room 750, CS– theft of client files or inadvertent release fraud, or harm to the security or 3, Washington, DC 20530. of personal health information. integrity of this system or other systems For all other DOJ components, the Adequate file security may include the or programs (whether maintained by the primary Privacy Act system manager removal of an EAP client’s personal Department or another agency or entity) and address is EAP Administrator, information in a payment voucher that rely upon the compromised Justice Management Division, U.S. prepared to effect payment for services information; and (3) the disclosure Department of Justice, 1331 rendered by the contractor in made to such agencies, entities, and Pennsylvania Ave. NW., Suite 1055, performance of the contract. Further, persons is reasonably necessary to assist Washington, DC 20530. contractor invoices or documents in in connection with the Department’s support of payment which do include NOTIFICATION PROCEDURE: efforts to respond to the suspected or specific EAP client information are If you wish to be notified if the system confirmed compromise and prevent, hand-carried by local contractors to the contains a record pertaining to you, minimize or remedy such harm. component’s EAP Administrator when please follow the Record Access DISCLOSURE TO CONSUMER REPORTING feasible. Procedures, below. AGENCIES: RETENTION AND DISPOSAL: RECORD ACCESS PROCEDURES: None. Records are retained during their You may request notice about or POLICIES AND PRACTICES FOR STORING, useful life in accordance with records access to any EAP records pertaining to RETRIEVING, ACCESSING, RETAINING, AND retention schedules approved by the you, request an accounting of any DOJ DISPOSING OF RECORDS IN THE SYSTEM: National Archives and Records disclosure of these records, or request STORAGE: Administration. All records regardless amendment or correction of these Information in this system may be of the storage medium are destroyed records as provided in the Department’s maintained in paper or electronic three years after the date of the last Privacy Act regulations set forth in 28 format. Records in paper format include counseling session, unless a longer CFR subpart D, Protection of Privacy hardcopy manual files and index cards. retention period is necessary because and Access to Individual Records Under

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the Privacy Act of 1974. EAP records are RECORD SOURCE CATEGORIES: Register pursuant to Section 6(b) of the located at various DOJ-operated and Records are generated by EAP Act on August 9, 2011 (76 FR 48884). contractor-operated facilities, and you personnel, the EAP client who is the may make your request by writing Patricia A. Brink, subject of the record, the personnel directly to the Privacy Act Office of the Director of Civil Enforcement, Antitrust office, employee relations/labor component that maintains your EAP Division. records. The appropriate address to use, relations counsel, the EAP client’s [FR Doc. 2012–2381 Filed 2–2–12; 8:45 am] supervisor, the EAP client’s co-workers, and any additional requirements for BILLING CODE M submitting a request to a given employee bargaining units, EAP component, are listed in Appendix I of contractors, referral counseling and 28 CFR part 16. Further details are treatment programs or individuals, and DEPARTMENT OF JUSTICE provided in Attachment B of the other outside sources. In the case of Department’s FOIA Reference Guide, drug abuse counseling, records may also Antitrust Division available on the Department’s Web site be generated by the staff of the Drug- here: http://www.justice.gov/oip/ Free Workplace Program and the Notice Pursuant to the National 04_3.html. If you cannot determine medical review officer. Cooperative Research and Production where within the Department to send Act of 1993—Portland Cement your request, you may send it to the EXEMPTIONS CLAIMED FOR THE SYSTEM: Association FOIA/PA Mail Referral Unit, Justice None. Management Division, U.S. Department Notice is hereby given that, on of Justice, Room 115, LOC Building, [FR Doc. 2012–2463 Filed 2–2–12; 8:45 am] January 6, 2012, pursuant to Section 6(a) Washington, DC 20530–0001, and the BILLING CODE 4410–CG–P of the National Cooperative Research Mail Referral Unit will forward your and Production Act of 1993, 15 U.S.C. request to the component(s) that it 4301 et seq. (‘‘the Act’’), Portland determines to be most likely to maintain DEPARTMENT OF JUSTICE Cement Association (‘‘PCA’’) has filed your records. written notifications simultaneously Antitrust Division For the quickest possible handling, with the Attorney General and the both the request letter and the envelope Federal Trade Commission disclosing Notice Pursuant to the National changes in its membership. The should be marked ‘‘Privacy Act Cooperative Research and Production Request.’’ The request should include a notifications were filed for the purpose Act of 1993— Institute of Electrical and of extending the Act’s provisions description of the records sought and Electronics Engineers must include sufficient information to limiting the recovery of antitrust plaintiffs to actual damages under verify your identity, including your full Notice is hereby given that, on name, current address, and date and specified circumstances. Specifically, January 10, 2012, pursuant to Section W. L. Gore, Newark, DE, has been added place of birth. You must sign and date 6(a) of the National Cooperative your request, and your signature must as a party to this venture. Also, Texas- Research and Production Act of 1993, either be notarized or submitted under Lehigh Cement Company, Buda, TX; 15 U.S.C. 4301 et seq. (‘‘the Act’’), the 28 U.S.C. 1746, a law that permits Arizona Cement Association, Phoenix, Institute of Electrical and Electronics statements to be made under penalty of AZ; Concrete Promotion Council of perjury as a substitute for notarization. Engineers (‘‘IEEE’’) has filed written Northern California, Roseville, CA; and (While no specific form is required, you notifications simultaneously with the Slag Cement Association, Sugar Land, may obtain a form (Form DOJ–361) for Attorney General and the Federal Trade TX, have withdrawn as parties to this use in certification of your identity from Commission disclosing additions or venture. changes to its standards development the FOIA/PA Mail Referral Unit at the No other changes have been made in activities. The notifications were filed address listed above, or on the either the membership or planned for the purpose of extending the Act’s Department’s Web site at http:// activity of the group research project. www.justice.gov/oip/forms/ provisions limiting the recovery of _ Membership in this group research cert ind.pdf.) If you desire to request antitrust plaintiffs to actual damages project remains open, and PCA intends amendment or correction of information under specified circumstances. to file additional written notifications maintained in your records, you should Specifically, 43 new standards have disclosing all changes in membership. also comply with the additional been initiated and 27 existing standards provisions in Contesting Record are being revised. More detail regarding On January 7, 1985, PCA filed its Procedures, below. these changes can be found at http:// original notification pursuant to Section standards.ieee.org/about/sba/ 6(a) of the Act. The Department of CONTESTING RECORD PROCEDURES: sep2011.html, http://standards.ieee.org/ Justice published a notice in the Federal If you desire to contest and request about/sba/oct2011.html, http:// Register pursuant to Section 6(b) of the amendment or correction of information standards.ieee.org/about/sba/ Act on February 5, 1985 (50 FR 5015). about you maintained in the system, dec2011.html. The last notification was filed with please follow the Record Access the Department on May 12, 2011. A On September 17, 2004, IEEE filed its Procedures, above. In addition, you notice was published in the Federal original notification pursuant to Section should also comply with the provisions Register pursuant to Section 6(b) of the 6(a) of the Act. The Department of of 28 CFR 16.46, which include Act on June 13, 2011 (76 FR 34252). requirements that you identify each Justice published a notice in the Federal particular record in question and state Register pursuant to Section 6(b) of the Patricia A. Brink, clearly and concisely what information Act on November 3, 2004 (69 FR 64105). Director of Civil Enforcement, Antitrust is being contested, the reasons for The last notification was filed with Division. contesting it, and the proposed the Department on July 1, 2011. A [FR Doc. 2012–2383 Filed 2–2–12; 8:45 am] amendment or correction that you want. notice was published in the Federal BILLING CODE P

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DEPARTMENT OF JUSTICE response have been published in the States Department of Justice (the Federal Register, pursuant to 15 U.S.C. ‘‘Department’’) conducted an extensive, Antitrust Division § 16(d). detailed investigation into the competitive effects of the proposed I. Procedural History United States v. Grupo Bimbo, S.A.B. transaction. As part of this investigation, de C.V., et al.; Public Comment and On October 21, 2011, the United the Department obtained and Response on Proposed Final States filed a civil antitrust lawsuit considered more than 30,000 Judgment against Defendants Grupo Bimbo S.A.B. documents. The Department deposed Pursuant to the Antitrust Procedures de C.V., BBU, Inc., and Sara Lee officials of BBU and Sara Lee and and Penalties Act, 15 U.S.C. 16(b)–(h), Corporation to enjoin Grupo Bimbo and interviewed retail store customers, the United States hereby publishes BBU’s proposed acquisition of Sara sliced bread manufacturers, and other below the comment received on the Lee’s North American Fresh Bakery individuals with knowledge of the proposed Final Judgment in United business. The Complaint alleged that sliced bread industry. States v. Grupo Bimbo, S.A.B. de C. V., the acquisition would substantially After conducting a detailed analysis et al., Civil Action No. 1:11–cv–01857, lessen competition in the market for of the acquisition, the Department which was filed in the United States sliced bread in eight geographic markets concluded that the combination of BBU and Sara Lee likely would substantially District Court for the District of in the United States in violation of lessen competition for the sale of sliced Columbia on January 23, 2012, together Section 7 of the Clayton Act, 15 U.S.C. bread in the metropolitan and with the response of the United States § 18, and result in higher prices for surrounding areas of San Francisco, San to the comment. consumers in these markets. Copies of the comment and the Simultaneously with the filing of the Diego, Sacramento, and Los Angeles, response are available for inspection at Complaint, the United States filed a California; Harrisburg/Scranton, the U.S. Department of Justice, Antitrust proposed Final Judgment and Pennsylvania; Kansas City, Kansas; Division, Antitrust Documents Group, Stipulation signed by the United States, Omaha, Nebraska; and Oklahoma City, Oklahoma. 450 Fifth Street NW., Suite 1010, Grupo Bimbo, BBU, and Sara Lee As more fully explained in the CIS, Washington, DC 20530 (telephone: (202) consenting to entry of the proposed the Amended Stipulation and proposed 514–2481); on the Department of Final Judgment after compliance with the requirements of the APPA, 15 U.S.C. Final Judgment in this case are designed Justice’s Web site at http:// to preserve competition in the sale of www.usdoj.gov/atr; and at the Office of § 16. The United States filed an Amended Stipulation signed by the sliced bread in the eight geographic the Clerk of the United States District areas set forth in the Complaint by Court for the District of Columbia. United States, Grupo Bimbo, BBU, and 1 requiring BBU to divest the following Copies of any of these materials may be Sara Lee on November 17, 2011. Pursuant to the requirements of the assets (‘‘Divestiture Assets’’). In Los obtained upon request and payment of Angeles, San Diego, San Francisco, and a copying fee. APPA, the United States (1) filed its Competitive Impact Statement (‘‘CIS’’) Sacramento, California, BBU is required Patricia A. Brink, with the Court on October 21, 2011; (2) to divest the Sara Lee family of brands Director of Civil Enforcement. published the proposed Final Judgment of sliced bread (which includes Sara and CIS in the Federal Register on Lee, Sara Lee Classic, Sara Lee Soft & United States District Court for the Smooth, Sara Lee Hearty & Delicious, District Of Columbia October 31, 2011 (see 76 Fed. Reg. 67209); and (3) had summaries of the and Sara Lee Delightful) and the terms of the proposed Final Judgment EarthGrains brand of sliced bread. In United States of America, Plaintiff, v. Harrisburg/Scranton, Pennsylvania, Grupo Bimbo, S.A.B. de C.V., et al. and CIS, together with directions for the Defendants. submission of written comments BBU is required to divest the Holsum and Milano brands of sliced bread. In CASE NO.: 1:11–cv–01857 (EGS) FILED: relating to the proposed Final Judgment, January 23, 2012 published in The Washington Post on Kansas City, Kansas, BBU is required to October 28, 2011, and for six days divest the EarthGrains and Mrs Baird’s Response of Plaintiff United States to beginning on October 31, 2011, and brands of sliced bread. In Omaha, Public Comment on the Proposed Final ending on November 5, 2011. The Nebraska, BBU is required to divest the Judgment Defendants filed the statement required EarthGrains and Healthy Choice brands of sliced bread. In Oklahoma City, Pursuant to the requirements of the by 15 U.S.C. § 16(g) on October 31, Oklahoma, BBU is required to divest the Antitrust Procedures and Penalties Act, 2011. The sixty-day public comment EarthGrains brand of sliced bread. See 15 U.S.C. § 16(b)–(h) (‘‘APPA’’ or period ended on January 4, 2012. One Sections II.E, H, and K of the Proposed ‘‘Tunney Act’’), plaintiff, the United comment was received, as described Final Judgment. States of America (‘‘United States’’) below and attached hereto. In addition to a perpetual, royalty- hereby files the public comment II. The Investigation and Proposed free, assignable, transferable, exclusive concerning the proposed Final Resolution license to use the particular brands of Judgment in this case and the United sliced bread, the proposed Final States’ response to that comment. After On November 9, 2010, Grupo Bimbo and BBU (collectively ‘‘BBU’’) agreed to Judgment requires with respect to each careful consideration of the comment relevant geographic market the acquire the North American Fresh submitted, the United States continues divestiture of related tangible assets, Bakery business of Sara Lee. The United to believe that the proposed Final including records, customer Judgment will provide an effective and information, and other assets related to appropriate remedy for the antitrust 1 On November 17, 2011, the United States filed a Notice of Amended Hold Separate Stipulation and the divested brands. Id. at II.D, G, and violations alleged in the Complaint. The Order to correct an inadvertent clerical error J. It also requires the divestiture of United States will move the Court for relating to the definition of ‘‘Central Pennsylvania related intangible assets, including the entry of the proposed Final Judgment Area’’ in the Hold Separate Stipulation and Order rights to trade dress, trademarks, trade after the public comment and this originally filed on October 21, 2011. The Court entered the Amended Hold Separate Stipulation secrets, and other intellectual property and Order on November 30, 2011. used in the research, development,

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production, marketing, servicing, standard under the Tunney Act); United settlement is in the public interest, a distribution, or sale of the brands being States v. InBev N.V./S.A., 2009–2 Trade district court ‘‘must accord deference to divested. Id. The proposed Final Cas. (CCH) the government’s predictions about the Judgment additionally requires the 76,736, 2009 U.S. Dist. LEXIS 84787, efficacy of its remedies, and may not divestiture of brand-related plants and No. 08–1965 (JR), at *3, (D.D.C. Aug. 11, require that the remedies perfectly plant-related assets, but it also provides 2009) (noting that the court’s review of match the alleged violations.’’ SBC that BBU need not divest those assets in a consent judgment is limited and only Commc’ns, 489 F. Supp. 2d at 17; see the event that (1) the acquirer does not inquires ‘‘into whether the government’s also Microsoft, 56 F.3d at 1461 (noting want those assets, and (2) the United determination that the proposed the need for courts to be ‘‘deferential to States determines in its sole discretion remedies will cure the antitrust the government’s predictions as to the that a divestiture of some or all of such violations alleged in the complaint was effect of the proposed remedies’’); assets is not reasonably necessary to reasonable, and whether the mechanism United States v. Archer-Daniels- enable the acquirer to replace the to enforce the final judgment are clear Midland Co., 272 F. Supp. 2d 1, 6 competition that otherwise would have and manageable.’’). (D.D.C. 2003) (noting that the court been lost pursuant to BBU’s acquisition As the United States Court of Appeals should grant due respect to the United of Sara Lee’s fresh bakery business. Id. for the District of Columbia Circuit has States’ ‘‘prediction as to the effect of In the Department’s judgment, the held, a court considers under the APPA, proposed remedies, its perception of the divestiture of the Divestiture Assets, among other things, the relationship market structure, and its views of the along with the other requirements between the remedy secured and the nature of the case’’). contained in the Amended Stipulation specific allegations set forth in the Courts have greater flexibility in and proposed Final Judgment, are United States’ complaint, whether the approving proposed consent decrees sufficient to remedy the anticompetitive decree is sufficiently clear, whether than in crafting their own decrees effects identified in the Complaint. enforcement mechanisms are sufficient, following a finding of liability in a and whether the decree may positively litigated matter. ‘‘[A] proposed decree III. Standard of Judicial Review harm third parties. See Microsoft, 56 must be approved even if it falls short The Tunney Act requires that F.3d at 1458–62. With respect to the of the remedy the court would impose proposed consent judgments in antitrust adequacy of the relief secured by the on its own, as long as it falls within the cases brought by the United States be decree, a court may not ‘‘engage in an range of acceptability or is ‘within the subject to a sixty-day comment period, unrestricted evaluation of what relief reaches of public interest.’ ’’ United after which the court shall determine would best serve the public.’’ United States v. Am. Tel & Tel. Co., 552 F. whether entry of the proposed Final States v. BNS, Inc., 858 F.2d 456, 462 Supp. 131, 151 (D.D.C. 1982) (citations Judgment ‘‘is in the public interest.’’ 15 (9th Cir. 1988) (citing United States v. omitted) (quoting United States v. U.S.C. § 16(e)(1). In making that Bechtel Corp., 648 F.2d 660, 666 (9th Gillette Co., 406 F. Supp. 713, 716 (D. determination, the court, in accordance Cir. 1981)); see also Microsoft, 56 F.3d Mass. 1975)), aff’d sub nom. Maryland with the statute as amended in 2004, is at 1460–62; United States v. Alcoa, Inc., v. United States, 460 U.S. 1001 (1983); required to consider: 152 F. Supp. 2d 37, 40 (D.D.C. 2001); see also United States v. Akan (A) the competitive impact of such InBev, 2009 U.S. Dist. LEXIS 84787, at Aluminum Ltd., 605 F. Supp. 619, 622 judgment, including termination of *3. Courts have held that: (W.D. Ky. 1985) (approving the consent alleged violations, provisions for [t]he balancing of competing social decree even though the court would enforcement and modification, duration and political interests affected by a have imposed a greater remedy). To of relief sought, anticipated effects of proposed antitrust consent decree must meet this standard, the United States alternative remedies actually be left, in the first instance, to the ‘‘need only provide a factual basis for considered, whether its terms are discretion of the Attorney General. The concluding that the settlements are ambiguous, and any other competitive court’s role in protecting the public reasonably adequate remedies for the considerations bearing upon the interest is one of insuring that the alleged harms.’’ United States v. Abitibi- adequacy of such judgment that the government has not breached its duty to Consolidated, Inc., 584 F. Supp. 2d 162, court deems necessary to a the public in consenting to the decree. 165 (D.D.C. 2008) (citing SBC determination of whether the consent The court is required to determine not Commc’ns, 489 F. Supp. 2d at 17). judgment is in the public interest; and whether a particular decree is the one Moreover, the court’s role under the (B) the impact of entry of such that will best serve society, but whether APPA is limited to reviewing the judgment upon competition in the the settlement is ‘‘within the reaches of remedy in relationship to the violations relevant market or markets, upon the the public interest.’’ More elaborate that the United States has alleged in its public generally and individuals requirements might undermine the complaint, and does not authorize the alleging specific injury from the effectiveness of antitrust enforcement by court to ‘‘construct [its] own violations set forth in the complaint consent decree. hypothetical case and then evaluate the including consideration of the public Bechtel, 648 F.2d at 666 (emphasis decree against that case.’’ Microsoft, 56 benefit, if any, to be derived from a added) (citations omitted).2 In F.3d at 1459; see also InBev, 2009 U.S. determination of the issues at trial. determining whether a proposed Dist. LEXIS 84787, at *20 (‘‘the ‘public 15 U.S.C. § 16(e)(1)(A) & (B). In interest’ is not to be measured by considering these statutory factors, the 2 Cf. BNS, 858 F.2d at 464 (holding that the comparing the violations alleged in the court’s inquiry is necessarily a limited court’s ‘‘ultimate authority under the [APPA] is complaint against those the court one as the United States is entitled to limited to approving or disapproving the consent believes could have, or even should decree’’); United States v. Gillette Co., 406 F. Supp. ‘‘broad discretion to settle with the 713, 716 (D. Mass. 1975) (noting that, in this way, have, been alleged’’). Because the defendant within the reaches of the the court is constrained to ‘‘look at the overall ‘‘court’s authority to review the decree public interest.’’ United States v. picture not hypercritically, nor with a microscope, depends entirely on the government’s Microsoft Corp., 56 F.3d 1448, 1461 (DC but with an artist’s reducing glass’’); see generally exercising its prosecutorial discretion by Microsoft, 56 F.3d at 1461 (discussing whether ‘‘the Cir. 1995). See also United States v. SBC remedies [obtained in the decree are] so bringing a case in the first place,’’ it Commc’ns, Inc., 489 F. Supp. 2d 1 inconsonant with the allegations charged as to fall follows that ‘‘the court is only (D.D.C. 2007) (assessing public interest outside of the ’reaches of the public interest’’). authorized to review the decree itself,’’

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and not to ‘‘effectively redraft the B. The United States’ Response Jaime M. Crowe, Esq., White & Case LLP, Washington, DC 20005. complaint’’ to inquire into other matters This action was brought in order to that the United States did not pursue. Telephone: (202) 626–3640 prevent a potential violation of Section Microsoft, 56 F.3d at 1459–60. As this Facsimile: (202) 639–9355 7 of the Clayton Act, which protects court recently confirmed in SBC Email: [email protected]. consumers from the economic Communications, courts cannot look consequences of anticompetitive For Defendant Sara Lee Corporation: beyond the complaint in making the mergers and acquisitions. The Clayton Marimichael O’Halloran Skubel, Esq., public interest determination unless the Kirkland & Ellis LLP 655 Fifteenth Street, NW Act seeks to prevent the higher prices, complaint is drafted so narrowly as to Washington, DC 20005–5793. lower quality, or reduced innovation make a mockery of judicial power.’’ SBC Telephone: (202) 879–5034 that may result from such transactions. Commc’ns, 489 F. Supp. 2d at 15. Facsimile: (202) 879–5200 In its 2004 amendments,3 Congress The Tunney Act, as amended in 2004, Email: [email protected]. made clear its intent to preserve the requires the Court to evaluate the effect of the proposed Final Judgment ‘‘upon /s/Michelle R. Seltzer practical benefits of utilizing consent Michelle R. Seltzer (DC Bar #475482), decrees in antitrust enforcement, stating competition’’ as alleged in the Complaint. The purpose of this Tunney Attorney. that ‘‘[n]othing in this section shall be Litigation I Section Act proceeding is to determine whether construed to require the court to Antitrust Division the proposed divestiture of the brands of conduct an evidentiary hearing or to U.S. Department of Justice, 450 Fifth Street sliced bread and related assets resolves require the court to permit anyone to NW., Suite 4100, Washington, DC 20530. the violation identified in the Complaint intervene.’’ 15 U.S.C. § 16(e)(2). This Telephone: (202) 353–3865 clause reflects what Congress intended in a manner that is within the reaches Facsimile: (202) 307–5802 when it enacted the Tunney Act in of the public interest. In his comment, Email: [email protected]. 1974. As Senator Tunney explained: Mr. Steinhauer does not criticize the ‘‘[t]he court is nowhere compelled to go efficacy of the relief contained in the November 16, 2011 to trial or to engage in extended proposed Final Judgment to remedy the To Whom It May Concern: proceedings which might have the effect competitive harm alleged in the On your ruling over the Grupo Bimbo of vitiating the benefits of prompt and Complaint. Accordingly, Mr. buyout of Sara Lee, I was stunned at this less costly settlement through the Steinhauer’s letter does not provide an consent decree process.’’ 119 Cong. Rec. appropriate rationale for rejecting the ruling that requires Bimbo to divest the 24,598 (1973) (statement of Senator proposed Final Judgment. Sara Lee and Earthgrains products in our area, Central California Do you Tunney). Rather, the procedure for the V. Conclusion public-interest determination is left to realize the job loss that will occur from the discretion of the court, with the After careful consideration of the this ruling over what you call ‘‘higher recognition that the court’s ‘‘scope of public comment, the United States prices’’ that people will pay for bread in review remains sharply proscribed by concludes that entry of the proposed the stores? If the consumer feels that precedent and the nature of Tunney Act Final Judgment will provide an effective specific bread is too high they will buy proceedings.’’ SBC Commc’ns, 489 F. and appropriate remedy for the antitrust another brand and would still have Supp. 2d at 11. violations alleged in the Complaint and other choices. is therefore in the public interest. IV. Summary of Public Comment and Accordingly, after the comment and this Knowing that this letter by no means the United States’ Response Response are published, the United will change the outcome of this ruling, I thought that jobs were the focal point During the 60-day comment period, States will move this Court to enter the the United States received one public proposed Final Judgment. of a lot decisions that are being made in comment, from Donald Steinhauer, a Dated: January 23, 2012. this administration. I hope for my family’s well-being that I won’t be one current BBU, and former Sara Lee, Respectfully submitted, employee in Central California.4 United States of America that loses out after being employed with Sara Lee for 20+ years. In respect for A. Summary of Comment /s/Michelle R. Seltzer Michelle R. Seltzer (DC Bar #475482), what the Department of Justice does to Mr. Steinhauer argues that requiring Attorney. stop immorality in American businesses the divestiture of the Sara Lee and Litigation I Section and individuals, in this case, job loss EarthGrains brands of sliced bread in Antitrust Division that will occur outweighs the concerns Central California will result in job U.S. Department of Justice, 450 Fifth Street that you have about Bimbo losses, and that concern for lost jobs NW., Suite 4100, Washington, DC 20530. Telephone: (202) 353–3865 monopolizing. I hope in the coming should outweigh any concerns the Facsimile: (202) 307–5802 months I could write you another letter Department has about the Email: [email protected]. apologizing to you about this letter. anticompetitive effects of BBU’s Respectfully, Donald Steinhauer. acquisition of Sara Lee’s fresh bakery Certificate of Service business. Redacted. I, Michelle R. Seltzer, hereby certify [FR Doc. 2012–2332 Filed 2–2–12; 8:45 am] 3 The 2004 amendments substituted ‘‘shall’’ for that on January 23, 2012, I electronically BILLING CODE 4410–11–M ‘‘may’’ in directing relevant factors for the court to filed the Response of Plaintiff United consider and amended the list of factors to focus on States to Public Comment on the competitive considerations and to address Proposed Final Judgment and the potentially ambiguous judgment terms. Compare 15 U.S.C. § 16(e) (2004), with 15 U.S.C. § 16(e)(1) attached Public Comment with the Clerk (2006); see also SBC Commc’ns, 489 F. Supp. 2d at of the Court using the CM/ECF system, 11 (concluding that the 2004 amendments ‘‘effected which will send a notice of electronic minimal changes’’ to Tunney Act review). filing to the following counsel: 4 Pursuant to a specific request, the Department has redacted Mr. Steinhauer’s mailing address from For Defendants Grupo Bimbo S.A.B. de C.V. his comment. and BBU Inc.:

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DEPARTMENT OF LABOR DEPARTMENT OF LABOR DEPARTMENT OF LABOR

Employment and Training Employment and Training Occupational Safety and Health Administration Administration Administration [Docket No. OSHA–2012–0003] 2002 Reopened—Previously Denied 2002 Reopened—Previously Denied Determinations; Notice of Negative Determinations; Notice of Revised Maritime Advisory Committee for Determinations on Reconsideration Denied Determinations on Occupational Safety and Health Under the Trade Adjustment Reconsideration Under the Trade (MACOSH) Assistance Extension Act of 2011 Adjustment Assistance Extension Act AGENCY: Occupational Safety and Health Regarding Eligibility To Apply for of 2011 Regarding Eligibility To Apply Administration (OSHA), Labor. Worker Adjustment Assistance for Worker Adjustment Assistance ACTION: Notice of MACOSH meeting. In accordance with Section 223 of the In accordance with Section 223 of the SUMMARY: This Federal Register notice Trade Act of 1974, as amended (19 Trade Act of 1974, as amended (19 announces meetings of the full U.S.C. 2273) (Act) the Department of U.S.C. 2273) (Act) the Department of Committee and the workgroups on Labor (Department) herein presents Labor (Department) herein presents February 22–23, 2012, in Washington, summaries of negative determinations summaries of revised determinations on DC. on reconsideration regarding eligibility reconsideration regarding eligibility to DATES: MACOSH meeting: MACOSH to apply for Trade Adjustment apply for Trade Adjustment Assistance will meet from 9 a.m. until Assistance for workers by case for workers by case (TA–W–) number approximately 5 p.m. on February 22 (TA–W–) number regarding negative regarding negative determinations and 23, 2012. determinations issued during the period issued during the period of February 13, Submission of written statements, of February 13, 2011 through October 2011 through October 21, 2011. Notices requests to speak, and requests for 21, 2011. Notices of negative of negative determinations were special accommodation: Written determinations were published in the published in the Federal Register and statements, requests to speak at the full Federal Register and on the on the Department’s Web site, as Committee meeting, and requests for Department’s Web site, as required by required by Section 221 of the Act (19 special accommodations for these Section 221 of the Act (19 U.S.C. 2271). U.S.C. 2271). As required by the Trade meetings must be submitted (postmarked, sent, or transmitted) by As required by the Trade Adjustment Adjustment Assistance Extension Act of February 15, 2012. Assistance Extension Act of 2011 2011 (TAAEA), all petitions that were ADDRESSES: (TAAEA), all petitions that were denied denied during this time period were The Committee and workgroups will meet at the U.S. during this time period were automatically reconsidered. The Department of Labor, 200 Constitution automatically reopened. The reconsideration investigation revealed that the following workers groups have Avenue NW., Washington, DC 20210. reconsideration investigation revealed Submission of written statements and met the certification criteria under the that the following workers groups have requests to speak: You may submit provisions of TAAEA. not met the certification criteria under written statements and requests to speak the provisions of TAAEA. After careful review of the additional at the MACOSH meetings, identified by After careful review of the additional facts obtained, the following revised the docket number for this Federal facts obtained, the following negative determinations on reconsideration have Register notice (Docket No. OSHA– determinations on reconsideration have been issued. 2012–0003), by one of the following been issued. methods: TA–W–80,089; Parkdale America, LLC, Electronically: You may submit TA–W–80,035; Ericsson Services, Inc., Galax, VA: May 31, 2010. comments and attachments Kentwood, MI TA–W–80,143; Globaltex, Inc., Hudson, electronically at http://www.regulations. TA–W–80,281; Priceline.Com, Inc., MA: April 29, 2010. gov, which is the Federal eRulemaking Grand Rapids, MI I hereby certify that the Portal. Follow the instructions online aforementioned revised determinations for submitting comments. I hereby certify that the Facsimile: If your comments, on reconsideration were issued on aforementioned negative determinations including attachments, are not longer January 20, 2012. These determinations on reconsideration were issued on than 10 pages, you may fax them to the are available on the Department’s Web January 20, 2012. These determinations _ _ OSHA Docket Office at (202) 693–1648. are available on the Department’s Web site at tradeact/taa/taa search form.cfm Regular mail, express mail, hand site at tradeact/taa/taa_search_form.cfm under the searchable listing of (courier) delivery, and messenger under the searchable listing of determinations or by calling the Office service: When using this method, you determinations or by calling the Office of Trade Adjustment Assistance toll-free must submit a copy of your comments of Trade Adjustment Assistance toll-free at (888) 365–6822. and attachments to the OSHA Docket at (888) 365–6822. Dated: January 24, 2012. Office, Docket No. OSHA–2012–0003, Del Min Amy Chen, U.S. Department of Labor, Occupational Dated: January 24, 2012. Safety and Health Administration, Del Min Amy Chen, Certifying Officer, Office of Trade Adjustment Room N–2625, 200 Constitution Avenue Assistance. Certifying Officer, Office of Trade Adjustment NW., Washington, DC 20210. Deliveries Assistance. [FR Doc. 2012–2370 Filed 2–2–12; 8:45 am] (express mail, hand (courier) delivery, [FR Doc. 2012–2371 Filed 2–2–12; 8:45 am] BILLING CODE 4510–FN–P and messenger service) are accepted BILLING CODE 4510–FN–P during the Department of Labor’s and Docket Office’s normal business hours, 8:15 a.m. to 4:45 p.m., e.t.

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Requests for special accommodations: Copies of this Federal Register notice: Interested parties also may submit Submit requests for special Electronic copies of this Federal written statements, including data and accommodations for MACOSH and its Register notice are available at http:// other information, using any one of the workgroup meetings by hard copy, www.regulations.gov. This notice, as methods listed in the ADDRESSES section telephone, or email to: Ms. Veneta well as news releases and other relevant above. OSHA will provide all Chatmon, OSHA, Office of information, are also available at submissions to MACOSH members prior Communications, Room N–3647, U.S. OSHA’s Web page at: http://www.osha. to the meeting. Individuals who need Department of Labor, 200 Constitution gov. special accommodations to attend the Avenue NW., Washington, DC 20210; SUPPLEMENTARY INFORMATION: All MACOSH meeting should contact Ms. telephone: (202) 693–1999; email MACOSH committee and workgroup Veneta Chatmon by one of the methods [email protected]. meetings are open to the public. listed in the ADDRESSES section. Instructions: All submissions must Interested persons may attend the full Authority and Signature include the Agency name and docket Committee and its workgroup meetings number for this Federal Register notice at the time and place listed above. The David Michaels, Ph.D., MPH, (Docket No. OSHA–2012–0003). tentative agenda will include Assistant Secretary of Labor for Because of security-related procedures, discussions on: Working safely around Occupational Safety and Health, submissions by regular mail may result radiation; person in water (man authorized the preparation of this notice in a significant delay in receipt. Please overboard); confined space ventilation; under the authority granted by Sections contact the OSHA Docket Office for safe entry and cleaning practices for 6(b)(1) and 7(b) of the Occupational information about security procedures vessel sewage tanks; best practices for Safety and Health Act of 1970 (29 U.S.C. for making submissions by express mail, eye injury reduction; hot work on 655, 656), the Federal Advisory hand (courier) delivery, and messenger hollow structures; injury and illness Committee Act (5 U.S.C. App. 2), service. prevention programs; container Secretary of Labor’s Order No. 1–2012 OSHA will place written statements (77 FR 3912), and 29 CFR part 1912. and requests to speak, including handling equipment; semi-tractor tip- personal information provided, in the over; top/side handler operation safety; Signed at Washington, DC, on January 30, 2012. public docket which may be available stay focused on safety while working on online. Therefore, OSHA cautions or around cargo handling equipment; David Michaels, interested parties about submitting safety zones between railcars and cargo Assistant Secretary of Labor for Occupational personal information such as Social handling equipment; and preventing Safety and Health. Security numbers and birthdates. chassis drivers from jostling in cabs. [FR Doc. 2012–2372 Filed 2–2–12; 8:45 am] Docket: To read or download The workgroups, which include BILLING CODE 4510–26–P documents in the public docket for this Longshoring and Shipyard, will meet MACOSH meeting, go to http:// from 9 a.m. until approximately 5 p.m. www.regulations.gov. All documents in on February 22, 2012, in Room S–4215. NATIONAL ARCHIVES AND RECORDS the public docket are listed in the index; The workgroups will discuss topics ADMINISTRATION however, some documents (e.g., listed in the previous paragraph, as well copyrighted material) are not publicly as other topics that may arise during the Founding Fathers Advisory Committee available to read or download through remainder of the current Committee http://www.regulations.gov. All charter. The full Committee will meet AGENCY: National Archives and Records submissions are available for inspection from 9 a.m. until about 5 p.m. on Administration. and, when permitted, copying, at the February 23, 2012, in Room N–3437 A, ACTION: Notice of meeting. OSHA Docket Office at the above B, and C. SUMMARY: In accordance with the address. For information on using Public Participation http://www.regulations.gov to make Federal Advisory Committee Act, as submissions or to access the docket, Any individual attending meetings at amended (5 U.S.C. Appendix 2), and the click on the ‘‘Help’’ tab at the top of the the U.S. Department of Labor must enter Presidential Historical Records Home page. Contact the OSHA Docket the building at the Visitors’ Entrance at Preservation Act of 2008 (Pub. L. 110– Office for information about materials 3rd and C Streets NW., and pass through 404), the National Archives and Records not available through that Web site and Building Security. Attendees must have Administration (NARA) announces a for assistance in using the Internet to valid government-issued photo meeting of the Founding Fathers locate submissions and other documents identification to enter the building. Advisory Committee. The Committee in the docket. Please contact Vanessa L. Welch at (202) will advise the Archivist of the United FOR FURTHER INFORMATION CONTACT: For 693–2080, email [email protected] States on the progress of the Founding press inquiries: Frank Meilinger, for additional information about Fathers editorial projects funded by the Director, OSHA Office of building security measures for attending National Historical Publications and Communications, U.S. Department of the Committee and workgroup meetings. Records Commission (NHPRC), the Labor, Room N–3647, 200 Constitution Interested parties may submit a request grant making arm of the National Avenue NW., Washington, DC 20210; to make an oral presentation to Archives. The meeting will discuss the telephone: (202) 693–1999; email MACOSH by any one of the methods Founders Online Initiative being [email protected]. listed in the ADDRESSES section above. undertaken through two cooperative For general information about The request must state the amount of agreements between NARA and the MACOSH and this meeting: Bill Perry, time requested to speak, the interest University of Virginia, and the Acting Director, Office of Maritime represented (e.g., organization name), if workflows and performance goals and Standards, OSHA, U.S. Department of any, and a brief outline of the targets of the Founding Fathers editorial Labor, Room N–3609, 200 Constitution presentation. Requests to address the projects. Avenue NW., Washington, DC 20210; full Committee may be granted as time DATES: The meeting will be held on telephone: (202) 693–2086; email perry. permits and at the discretion of the Tuesday, February 28, 2012 from 9 a.m. [email protected]. MACOSH Chair. to 2:30 p.m.

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ADDRESSES: National Archives and DATES: Requests for copies must be records are created and maintained. Records Administration, 700 received in writing on or before March Items included in schedules submitted Pennsylvania Avenue NW., Archivist’s 5, 2012. Once the appraisal of the to NARA on or after December 17, 2007, Board Room, Room 119, Washington, records is completed, NARA will send are media neutral unless the item is DC 20408. a copy of the schedule. NARA staff limited to a specific medium. (See 36 FOR FURTHER INFORMATION CONTACT: usually prepare appraisal CFR 1225.12(e).) Kathleen Williams, Executive Director memorandums that contain additional No Federal records are authorized for of the NHPRC, National Archives information concerning the records destruction without the approval of the Building, 700 Pennsylvania Avenue covered by a proposed schedule. These, Archivist of the United States. This NW., Room 116, Washington, DC 20408, too, may be requested and will be approval is granted only after a telephone number: (202) 357–5010, or at provided once the appraisal is thorough consideration of their [email protected]. completed. Requesters will be given 30 administrative use by the agency of origin, the rights of the Government and SUPPLEMENTARY INFORMATION: This days to submit comments. ADDRESSES: You may request a copy of of private persons directly affected by meeting will be open to the public. the Government’s activities, and However, due to space limitations and any records schedule identified in this notice by contacting Records whether or not they have historical or access procedures, the name, email other value. address, and telephone number of Management Services (ACNR) using one of the following means: Besides identifying the Federal individuals planning to attend must be agencies and any subdivisions submitted to the National Archives no Mail: NARA (ACNR), 8601 Adelphi Road, College Park, MD 20740–6001. requesting disposition authority, this later than Thursday, February 21st. public notice lists the organizational NARA staff will provide additional Email: [email protected]. FAX: (301) 837–3698. unit(s) accumulating the records or instructions for gaining access to the Requesters must cite the control indicates agency-wide applicability in location of the meeting. Please RSVP to: number, which appears in parentheses the case of schedules that cover records [email protected] or (202) after the name of the agency which that may be accumulated throughout an 357–5094. submitted the schedule, and must agency. This notice provides the control Dated: January 18, 2012. provide a mailing address. Those who number assigned to each schedule, the Mary Ann Hadyka, desire appraisal reports should so total number of schedule items, and the Committee Management Officer. indicate in their request. number of temporary items (the records [FR Doc. 2012–2366 Filed 2–2–12; 8:45 am] FOR FURTHER INFORMATION CONTACT: proposed for destruction). It also includes a brief description of the BILLING CODE 7515–01–P Margaret Hawkins, Director, National Records Management Program (ACNR), temporary records. The records National Archives and Records schedule itself contains a full NATIONAL ARCHIVES AND RECORDS Administration, 8601 Adelphi Road, description of the records at the file unit ADMINISTRATION College Park, MD 20740–6001. level as well as their disposition. If Telephone: (301) 837–1799. Email: NARA staff has prepared an appraisal Records Schedules; Availability and [email protected]. memorandum for the schedule, it too Request for Comments includes information about the records. SUPPLEMENTARY INFORMATION: Each year Further information about the AGENCY: National Archives and Records Federal agencies create billions of disposition process is available on Administration (NARA). records on paper, film, magnetic tape, request. ACTION: Notice of availability of and other media. To control this proposed records schedules; request for accumulation, agency records managers Schedules Pending comments. prepare schedules proposing retention 1. Department of Agriculture, Farm periods for records and submit these Service Agency (N1–145–09–2, 31 SUMMARY: The National Archives and schedules for NARA’s approval, using items, 31 temporary items.) Master files Records Administration (NARA) the Standard Form (SF) 115, Request for of electronic information systems used publishes notice at least once monthly Records Disposition Authority. These in production adjustments, compliance, of certain Federal agency requests for schedules provide for the timely transfer disaster assistance, and risk records disposition authority (records into the National Archives of management support for crops and schedules). Once approved by NARA, historically valuable records and livestock. records schedules provide mandatory authorize the disposal of all other 2. Department of the Army, Agency- instructions on what happens to records records after the agency no longer needs wide (N1–AU–10–97, 1 item, 1 when no longer needed for current them to conduct its business. Some temporary item). Master files of an Government business. They authorize schedules are comprehensive and cover electronic information system that the preservation of records of all the records of an agency or one of its contains information used to continuing value in the National major subdivisions. Most schedules, substantiate benefits for Non- Archives of the United States and the however, cover records of only one Appropriated Fund employees. destruction, after a specified period, of office or program or a few series of 3. Department of Energy, Federal records lacking administrative, legal, records. Many of these update Energy Regulatory Commission (N1– research, or other value. Notice is previously approved schedules, and 138–11–2, 2 items, 1 temporary item). published for records schedules in some include records proposed as Reports on historic and prehistoric sites which agencies propose to destroy permanent. for land regulated by the Commission. records not previously authorized for The schedules listed in this notice are 4. Department of Homeland Security, disposal or reduce the retention period media neutral unless specified Transportation Security Administration of records already authorized for otherwise. An item in a schedule is (N1–560–11–8, 1 item, 1 temporary disposal. NARA invites public media neutral when the disposition item). Master files of an electronic comments on such records schedules, as instructions may be applied to records information system containing required by 44 U.S.C. 3303a(a). regardless of the medium in which the information on canine handler teams,

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such as personal information, contact ACTION: Notice and request for education, and create bonds between information, biographies, and training, comments. learning and inquiry so that discovery used to identify, locate, and manage and creativity more fully support the mobilization for operations and training SUMMARY: The National Science learning process. STCs capitalize on activities. Foundation (NSF) is announcing plans diversity through participation in center 5. Department of Justice, Civil Rights to request clearance of this collection. In activities and demonstrate leadership in Division (DAA–0060–2011–22, 2 items, accordance with the requirement of the involvement of groups 2 temporary items). Master files and Section 3506(c)(2)(A) of the Paperwork underrepresented in science and outputs for an electronic information Reduction Act of 1995 (Pub. L. 104–13), engineering. we are providing opportunity for public system used to track contact information Centers selected will be required to comment on this action. After obtaining for potential claimants in the US vs. submit annual reports on progress and and considering public comment, NSF City of New York class action suit. plans, which will be used as a basis for will prepare the submission requesting 6. Department of Justice, Federal performance review and determining that OMB approve clearance of this Bureau of Investigation (N1–65–11–14, the level of continued funding. To collection for no longer than three years. 4 items, 4 temporary items). Records support this review and the relating to the language quality program, DATES: Written comments on this notice management of a Center, STCs will be including reviews, certifications, and must be received by April 3, 2012 to be required to develop a set of management training. assured of consideration. Comments and performance indicators for 7. Department of Transportation, received after that date will be submission annually to NSF via an NSF Federal Railroad Administration (N1– considered to the extent practicable. evaluation technical assistance 399–08–10, 10 items, 10 temporary FOR FURTHER INFORMATION CONTACT: contractor. These indicators are both items). Master files of electronic Suzanne H. Plimpton, Reports Clearance quantitative and descriptive and may information systems containing track Officer, National Science Foundation, include, for example, the characteristics survey data used to determine rail safety 4201 Wilson Boulevard, Suite 295, of center personnel and students; violations. Arlington, Virginia 22230; telephone 8. Department of the Treasury, sources of financial support and in-kind (703) 292–7556; or send email to Internal Revenue Service (N1–58–10– support; expenditures by operational [email protected]. Individuals who use 23, 1 item, 1 temporary item). Records component; characteristics of industrial a telecommunications device for the consist of evidence collected but not and/or other sector participation; deaf (TDD) may call the Federal used during criminal investigations. research activities; education activities; 9. Department of the Treasury, Information Relay Service (FIRS) at 1 knowledge transfer activities; patents, Internal Revenue Service (N1–58–11– (800) 877–8339 between 8 a.m. and 8 licenses; publications; degrees granted 18, 3 items, 3 temporary items). Master p.m., Eastern time, Monday through to students involved in Center activities; files, audit data, and documentation for Friday. You also may obtain a copy of descriptions of significant advances and an electronic information system used the data collection instrument and other outcomes of the STC effort. Part of to capture tax information on foreign instructions from Ms. Plimpton. this reporting will take the form of a partners. SUPPLEMENTARY INFORMATION: database which will be owned by the 10. Department of the Treasury, Title of Collection: Grantee Reporting institution and eventually made Internal Revenue Service (N1–58–11– Requirements for Science and available to an evaluation contractor. 19, 3 items, 3 temporary items). Master Technology Centers (STC): Integrative This database will capture specific files, audit data, and documentation for Partnerships. information to demonstrate progress an electronic information system used OMB Number: 3145–0194. toward achieving the goals of the to capture tax information on foreign Expiration Date of Approval: May 31, program. Such reporting requirements individuals and entities. 2012. will be included in the cooperative 11. Commodities Futures Trading Type of Request: Intent to seek agreement which is binding between the Commission, Agency-wide (N1–180– approval to extend an information academic institution and the NSF. 11–1, 3 items, 3 temporary items). Non- collection. Each Center’s annual report will policy intranet records and Web site Abstract address the following categories of operations records. activities: (1) Research, (2) education, 12. Commodities Futures Trading Proposed Project: (3) knowledge transfer, (4) partnerships, Commission, Agency-wide (N1–180– The Science and Technology Centers (5) diversity, (6) management and (7) 11–2, 2 items, 2 temporary items). (STC): Integrative Partnerships Program budget issues. Reports and working files for lost, supports innovation in the integrative For each of the categories the report stolen, or destroyed government and conduct of research, education and will describe overall objectives for the personal property. knowledge transfer. Science and year, problems the Center has Dated: January 30, 2012. Technology Centers build intellectual encountered in making progress toward and physical infrastructure within and Paul M. Wester, Jr., goals, anticipated problems in the between disciplines, weaving together following year, and specific outputs and Chief Records Officer for the U.S. knowledge creation, knowledge Government. outcomes. integration, and knowledge transfer. [FR Doc. 2012–2432 Filed 2–2–12; 8:45 am] STCs conduct world-class research Use of the Information: NSF will use BILLING CODE 7515–01–P through partnerships of academic the information to continue funding of institutions, national laboratories, the Centers, and to evaluate the progress industrial organizations, and/or other of the program. NATIONAL SCIENCE FOUNDATION public/private entities. New knowledge Estimate of Burden: 100 hours per thus created is meaningfully linked to center for seventeen centers for a total Notice of Intent To Seek Approval To of 1700 hours. Extend an Information Collection society. STCs enable and foster excellent Respondents: Non-profit institutions; AGENCY: National Science Foundation. education, integrate research and Federal Government.

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Estimated Number of Responses per proposed collection of information, OFFICE OF PERSONNEL Report: One from each of the seventeen including the validity of the MANAGEMENT centers. methodology and assumptions used; Submission for Review: Financial Comments: Comments are invited on 3. Enhance the quality, utility, and (a) whether the proposed collection of Resources Questionnaire (RI 34–1, RI clarity of the information to be information is necessary for the proper 34–17) and Notice of Amount Due collected; and performance of the functions of the Because of Annuity Overpayment (RI Agency, including whether the 4. Minimize the burden of the 34–3, RI 34–19) information shall have practical utility; collection of information on those who AGENCY: (b) the accuracy of the Agency’s are to respond, including through the U.S. Office of Personnel estimate of the burden of the proposed use of appropriate automated, Management. collection of information; (c) ways to electronic, mechanical, or other ACTION: 30-Day notice and request for enhance the quality, utility, and clarity technological collection techniques or comments. of the information on respondents, other forms of information technology, SUMMARY: The Retirement Services, e.g., permitting electronic submissions including through the use of automated Office of Personnel Management (OPM) of responses. collection techniques or other forms of offers the general public and other information technology; and (d) ways to DATES: Comments are encouraged and federal agencies the opportunity to minimize the burden of the collection of will be accepted until April 3, 2012. comment on a revised information information on those who are to collection request (ICR) 3206–0167, respond, including through the use of This process is conducted in accordance Financial Resources Questionnaire (RI appropriate automated, electronic, with 5 CFR 1320.1. 34–1 and RI 34–17) and Notice of mechanical, or other technological ADDRESSES: Interested persons are Amount Due Because of Annuity collection techniques or other forms of invited to submit written comments on Overpayment (RI 34–3 and RI 34–19). information technology. the proposed information collection to As required by the Paperwork Dated: January 31, 2012. the Federal Investigative Services, U.S. Reduction Act of 1995 (Pub. L. 104–13, Suzanne H. Plimpton, Office of Personnel Management, 1900 E 44 U.S.C. chapter 35) as amended by the Reports Clearance Officer, National Science Street NW., Washington, DC 20415, Clinger-Cohen Act (Pub. L. 104–106), Foundation. Attention: Donna McLeod or sent via OPM is soliciting comments for this [FR Doc. 2012–2402 Filed 2–2–12; 8:45 am] electronic mail to collection. The information collection BILLING CODE 7555–01–P [email protected]. was previously published in the Federal Register on August 16, 2011 at Volume FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with applicable 76 FR 50770 allowing for a 60-day OFFICE OF PERSONNEL supporting documentation, may be public comment period. No comments MANAGEMENT obtained by contacting the Federal were received for this information Investigative Services, U.S. Office of collection. The Office of Management Submission for Review: Information and Budget is particularly interested in Collection; Interview Survey Form (INV Personnel Management, 1900 E Street NW., Washington, DC 20415, Attention: comments that: 10) 1. Evaluate whether the proposed Donna McLeod or sent via electronic collection of information is necessary AGENCY: U.S. Office of Personnel mail to [email protected]. for the proper performance of functions Management. SUPPLEMENTARY INFORMATION: OPM of the agency, including whether the ACTION: 60-Day Notice and request for mails the INV 10 questionnaire to a information will have practical utility; comments. random sampling of record and personal 2. Evaluate the accuracy of the SUMMARY: Federal Investigative Services sources contacted during background agency’s estimate of the burden of the (FIS), U.S. Office of Personnel investigations when investigators have proposed collection of information, Management (OPM) offers the general performed fieldwork. The INV 10 is including the validity of the public and other federal agencies the used as a quality control instrument methodology and assumptions used; opportunity to comment on an designed to ensure the accuracy and 3. Enhance the quality, utility, and information collection request (ICR), integrity of the investigative product, as clarity of the information to be Office of Management and Budget it inquires of the sources about the collected; and (OMB) Control No. 3206–0106, investigative procedure employed by 4. Minimize the burden of the Interview Survey Form (INV 10). As the investigator, the investigator’s collection of information on those who required by the Paperwork Reduction professionalism, and the information are to respond, including through the Act of 1995, (Pub. L. 104–13, 44 U.S.C. discussed and reported. In addition to use of appropriate automated, chapter 35) as amended by the Clinger- the preformatted response options, OPM electronic, mechanical, or other Cohen Act (Pub. L. 104–106), OPM is invites the recipients to respond with technological collection techniques or soliciting comments for this collection. any other relevant comments or other forms of information technology, The Office of Management and Budget suggestions. It is estimated that 63,869 e.g., permitting electronic submissions is particularly interested in comments individuals will respond annually. The of responses. that: INV 10 takes approximately 6 minutes DATES: Comments are encouraged and 1. Evaluate whether the proposed to complete. The estimated annual will be accepted until March 5, 2012. collection of information is necessary burden is 6,387 hours. This process is conducted in accordance with 5 CFR 1320.1. for the proper performance of the U.S. Office of Personnel Management. functions of the agency, including ADDRESSES: Interested persons are John Berry, whether the information will have invited to submit written comments on practical utility; Director. the proposed information collection to 2. Evaluate the accuracy of the [FR Doc. 2012–2473 Filed 2–2–12; 8:45 am] the Office of Information and Regulatory agency’s estimate of the burden of the BILLING CODE 6325–53–P Affairs, Office of Management and

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Budget, 725 17th Street NW., ACTION: Scheduling of Council Meeting. DATES: Deadline for Petitioner’s Form Washington, DC 20503, Attention: Desk 61: March 1, 2012, 4:30 p.m., eastern Officer for the Office of Personnel SUMMARY: The Hispanic Council on time; deadline for answering brief in Management or sent via electronic mail Federal Employment will hold its third support of the Postal Service: March 21, to [email protected] or meeting on Thursday, February 16, 2012, 4:30 p.m., eastern time. See the faxed to (202) 395–6974. 2012, at the time and location shown Procedural Schedule in the below. The Council is an advisory FOR FURTHER INFORMATION CONTACT: A SUPPLEMENTARY INFORMATION section for committee composed of representatives copy of this ICR, with applicable other dates of interest. from Hispanic organizations and senior supporting documentation, may be ADDRESSES: Submit comments government officials. Along with its obtained by contacting the Office of electronically by accessing the ‘‘Filing other responsibilities, the Council shall Information and Regulatory Affairs, Online’’ link in the banner at the top of advise the Director of the Office of Office of Management and Budget, 725 the Commission’s Web site (http:// Personnel Management on matters 17th Street NW., Washington, DC 20503, www.prc.gov) or by directly accessing involving the recruitment, hiring, and Attention: Desk Officer for the Office of the Commission’s Filing Online system advancement of Hispanics in the Personnel Management or sent via at https://www.prc.gov/prc-pages/filing- Federal workforce. The Council is co- electronic mail to online/login.aspx. Commenters who chaired by the Chief of Staff of the [email protected] or faxed cannot submit their views electronically Office of Personnel Management and the to (202) 395–6974. should contact the person identified in Assistant Secretary for Human SUPPLEMENTARY INFORMATION: Financial the FOR FURTHER INFORMATION CONTACT Resources and Administration at the section as the source for case-related Resources Questionnaire (RI 34–1), Department of Veterans Affairs. Financial Resources Questionnaire— information for advice on alternatives to The meeting is open to the public. electronic filing. Federal Employees’ Group Life Please contact the Office of Personnel FOR FURTHER INFORMATION CONTACT: Insurance Premiums Underpaid (RI 34– Management at the address shown Stephen L. Sharfman, General Counsel, 17), collects detailed financial below if you wish to present material to at (202) 789–6820 (case-related information for use by OPM to the Council at the meeting. The manner information) or [email protected] determine whether to agree to a waiver, and time prescribed for presentations (electronic filing assistance). compromise, or adjustment of the may be limited, depending upon the collection of erroneous payments from number of parties that express interest SUPPLEMENTARY INFORMATION: Notice is the Civil Service Retirement and in presenting information. hereby given that, pursuant to 39 U.S.C. Disability Fund. Notice of Amount Due 404(d), the Commission received a DATES: February 16th, 2012 from 2–4 Because Of Annuity Overpayment (RI petition for review of the Postal p.m. 34–3) and Notice of Amount Due Service’s determination to close the Location: U.S. Office of Personnel Because of FEGLI Premium Balm post office in Balm, Florida. The Management, Theodore Roosevelt Underpayment (RI 34–19), informs the petition for review received January 26, Building, the Pendleton, 5th Floor, 1900 annuitant about the overpayment and 2012, was filed by George and Marilyn E St. NW., Washington, DC 20415. collects information from the annuitant Fears and is postmarked January 4, about how repayment will be made. FOR FURTHER INFORMATION CONTACT: 2012. Veronica E. Villalobos, Director for the The Commission hereby institutes a Analysis Office of Diversity and Inclusion, Office proceeding under 39 U.S.C. 404(d)(5) Agency: Retirement Operations, of Personnel Management, 1900 E St. and establishes Docket No. A2012–124 Retirement Services, Office of Personnel NW., Suite 5H35, Washington, DC to consider Petitioners’ appeal. If Management. 20415. Phone (202) 606–0040, Fax (202) Petitioners would like to further explain Title: Financial Resources 606–2183, or email at their position with supplemental Questionnaire and Amount Due Because [email protected]. information or facts, Petitioners may of Annuity Overpayment. U.S. Office of Personnel Management. either file a Participant Statement on OMB Number: 3206–0167. John Berry, PRC Form 61 or file a brief with the Frequency: On occasion. Director. Commission no later than March 1, Affected Public: Individuals or 2012. [FR Doc. 2012–2389 Filed 2–2–12; 8:45 am] Households. Issues apparently raised. Petitioners Number of Respondents: 2,081. BILLING CODE 6325–46–P contend that: (1) The Postal Service Estimated Time per Respondent: 60 failed to consider the effect of the minutes. closing on the community (see 39 U.S.C. Total Burden Hours: 2,081. POSTAL REGULATORY COMMISSION 404(d)(2)(A)(i)); and (2) the Postal Service failed to adequately consider the U.S. Office of Personnel Management. [Docket No. A2012–124; Order No. 1180] John Berry, economic savings resulting from the Post Office Closing closure (see 39 U.S.C. 404(d)(2)(A)(iv)). Director. After the Postal Service files the [FR Doc. 2012–2475 Filed 2–2–12; 8:45 am] AGENCY: Postal Regulatory Commission. administrative record and the BILLING CODE 6325–38–P ACTION: Notice. Commission reviews it, the Commission may find that there are more legal issues SUMMARY: This document informs the than those set forth above, or that the OFFICE OF PERSONNEL public that an appeal of the closing of Postal Service’s determination disposes MANAGEMENT the Balm, Florida post office has been of one or more of those issues. The Hispanic Council on Federal filed. It identifies preliminary steps and deadline for the Postal Service to file the Employment provides a procedural schedule. applicable administrative record with Publication of this document will allow the Commission is February 10, 2012. AGENCY: Office of Personnel the Postal Service, petitioners, and See 39 CFR 3001.113. In addition, the Management. others to take appropriate action. due date for any responsive pleading by

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the Postal Service to this Notice is 3001.10(a). Instructions for obtaining an SECURITIES AND EXCHANGE February 10, 2012. account to file documents online may be COMMISSION Notwithstanding the Postal Service’s found on the Commission’s Web site or determination to close this post office, by contacting the Commission’s docket Proposed Collection; Comment on December 15, 2011, the Postal section at [email protected] or via Request Service advised the Commission that it telephone at (202) 789–6846. Upon Written Request, Copies Available ‘‘will delay the closing or consolidation 1 The Commission reserves the right to From: Securities and Exchange of any Post Office until May 15, 2012’’ . Commission, Office of Investor The Postal Service further indicated that redact personal information which may infringe on an individual’s privacy Education and Advocacy, it ‘‘will proceed with the Washington, DC 20549–0213. discontinuance process for any Post rights from documents filed in this Office in which a Final Determination proceeding. Extension: was already posted as of December 12, Rule 17g–1 and Form NRSRO, SEC File No. Intervention. Persons, other than 270–563, OMB Control No. 3235–0625. 2011, including all pending appeals.’’ Petitioners and respondent, wishing to Id. It stated that the only ‘‘Post Offices’’ be heard in this matter are directed to Notice is hereby given that pursuant subject to closing prior to May 16, 2012 file a notice of intervention. See 39 CFR to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities are those that were not in operation on, 3001.111(b). Notices of intervention in and Exchange Commission and for which a Final Determination this case are to be filed on or before was posted as of, December 12, 2011. It (‘‘Commission’’) is soliciting comments February 21, 2012. A notice of on the existing collection of information affirmed that it ‘‘will not close or intervention shall be filed using the consolidate any other Post Office prior provided for in Rule 17g–1, Form Internet (Filing Online) at the NRSRO and Instructions to Form to May 16, 2012.’’ Id. Lastly, the Postal Commission’s Web site unless a waiver Service requested the Commission ‘‘to NRSRO under the Securities Exchange is obtained for hardcopy filing. See 39 1 continue adjudicating appeals as Act of 1934 (15 U.S.C. 78a et seq.). The CFR 3001.9(a) and 3001.10(a). provided in the 120-day decisional Commission plans to submit this schedule for each proceeding.’’ Id. Further procedures. By statute, the existing collection of information to the The Postal Service’s Notice outlines Commission is required to issue its Office of Management and Budget for the parameters of its newly announced decision within 120 days from the date extension and approval. discontinuance policy. Pursuant to the it receives the appeal. See 39 U.S.C. Rule 17g–1, Form NRSRO and the Postal Service’s request, the 404(d)(5). A procedural schedule has Instructions to Form NRSRO contain certain recordkeeping and disclosure Commission will fulfill its appellate been developed to accommodate this responsibilities under 39 U.S.C. requirements for NRSROs. Currently, statutory deadline. In the interest of there are nine credit rating agencies 404(d)(5). expedition, in light of the 120-day Availability; Web site posting. The registered as NRSROs with the decision schedule, the Commission may Commission. The Commission estimates Commission has posted the appeal and request the Postal Service or other supporting material on its Web site at that the total burden for respondents to participants to submit information or comply with Rule 17g–1 and Form http://www.prc.gov. Additional filings memoranda of law on any appropriate in this case and participants’ NRSRO is 838 hours, which includes issue. As required by the Commission submissions also will be posted on the one-time reporting burdens for new rules, if any motions are filed, responses Commission’s Web site, if provided in registration applications, registration for are due 7 days after any such motion is electronic format or amenable to additional categories of credit ratings, conversion, and not subject to a valid filed. See 39 CFR 3001.21. withdrawals of NRSRO applications, protective order. Information on how to It is ordered: and withdrawals of NRSRO registration. Written comments are invited on: (a) use the Commission’s Web site is 1. The Postal Service shall file the Whether the proposed collection of available online or by contacting the applicable administrative record information is necessary for the proper Commission’s webmaster via telephone regarding this appeal no later than performance of the functions of the at (202) 789–6873 or via electronic mail February 10, 2012. Commission, including whether the at [email protected]. The appeal and all related documents 2. Any responsive pleading by the information shall have practical utility; are also available for public inspection Postal Service to this notice is due no (b) the accuracy of the Commission’s in the Commission’s docket section. later than February 10, 2012. estimates of the burden of the proposed collection of information; (c) ways to Docket section hours are 8 a.m. to 4:30 3. The procedural schedule listed enhance the quality, utility, and clarity p.m., eastern time, Monday through below is hereby adopted. Friday, except on Federal government of the information on respondents; and 4. Pursuant to 39 U.S.C. 505, Kenneth holidays. Docket section personnel may (d) ways to minimize the burden of the E. Richardson is designated officer of be contacted via electronic mail at prc- collection of information on [email protected] or via telephone at the Commission (Public Representative) respondents, including through the use (202) 789–6846. to represent the interests of the general of automated collection techniques or Filing of documents. All filings of public. other forms of information technology. documents in this case shall be made 5. The Secretary shall arrange for Consideration will be given to using the Internet (Filing Online) publication of this notice and order in comments and suggestions submitted in pursuant to Commission rules 9(a) and the Federal Register. writing within 60 days of this 10(a) at the Commission’s Web site, publication. By the Commission. http://www.prc.gov, unless a waiver is The Commission may not conduct or obtained. See 39 CFR 3001.9(a) and Shoshana M. Grove, sponsor a collection of information Secretary. unless it displays a currently valid 1 United States Postal Service Notice of Status of [FR Doc. 2012–2429 Filed 2–2–12; 8:45 am] control number. No person shall be the Moratorium on Post Office Discontinuance BILLING CODE 7710–FW–P Actions, December 15, 2011, (Notice). 1 See 17 CFR 240.17g–1 and 17 CFR 249b.300.

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subject to any penalty for failing to includes a one-time cost for and serving the relevant applicant with comply with a collection of information recordkeeping software. a copy of the request, personally or by subject to the PRA that does not display Written comments are invited on: (a) mail. Hearing requests should be a valid Office of Management and Whether the proposed collection of received by the SEC by 5:30 p.m. on Budget (OMB) control number. information is necessary for the proper February 21, 2012, and should be Please direct your written comments performance of the functions of the accompanied by proof of service on the to: Thomas Bayer, Director/Chief Commission, including whether the applicant, in the form of an affidavit or, Information Officer, Securities and information shall have practical utility; for lawyers, a certificate of service. Exchange Commission, c/o Remi Pavlik- (b) the accuracy of the Commission’s Hearing requests should state the nature Simon, 6432 General Green Way, estimates of the burden of the proposed of the writer’s interest, the reason for the Alexandria, Virginia 22312 or send an collection of information; (c) ways to request, and the issues contested. email to: [email protected]. enhance the quality, utility, and clarity Persons who wish to be notified of a Dated: January 30, 2012. of the information on respondents; and hearing may request notification by Kevin M. O’Neill, (d) ways to minimize the burden of the writing to the Secretary, U.S. Securities collection of information on and Exchange Commission, 100 F Street Deputy Secretary. respondents, including through the use NE., Washington, DC 20549–1090. [FR Doc. 2012–2397 Filed 2–2–12; 8:45 am] of automated collection techniques or For Further Information Contact: BILLING CODE 8011–01–P other forms of information technology. Diane L. Titus at (202) 551–6810, SEC, Consideration will be given to Division of Investment Management, comments and suggestions submitted in Office of Investment Company SECURITIES AND EXCHANGE writing within 60 days of this Regulation, 100 F Street NE., COMMISSION publication. Washington, DC 20549–8010. The Commission may not conduct or Proposed Collection; Comment ABT Utility Income Fund Inc. Request sponsor a collection of information unless it displays a currently valid [File No. 811–2533] Upon Written Request, Copies Available control number. No person shall be ABT Growth and Income Trust From: Securities and Exchange subject to any penalty for failing to Commission, Office of Investor comply with a collection of information [File No. 811–1482] Education and Advocacy, subject to the PRA that does not display Summary: Each applicant seeks an Washington, DC 20549–0213. a valid OMB control number. order declaring that it has ceased to be an investment company. On or about Extension: Please direct your written comments Rule 17g–2, SEC File No. S7–04–07, OMB to: Thomas Bayer, Director/Chief June 30, 1995, and July 1, 1995, Control No. 3235–0628. Information Officer, Securities and respectively, each applicant transferred Exchange Commission, c/o Remi Pavlik- its assets to a series of First Union Notice is hereby given that pursuant Simon, 6432 General Green Way, Funds, based on net asset value. to the Paperwork Reduction Act of 1995 Alexandria, Virginia 22312 or send an Records are not available concerning the (44 U.S.C. 3501 et seq.), the Securities email to: [email protected]. expenses incurred in connection with and Exchange Commission Dated: January 30, 2012. the reorganizations. (‘‘Commission’’) is soliciting comments Filing Date: The applications were on the existing collection of information Kevin M. O’Neill, filed on January 3, 2012. provided for in Rule 17g–2 (17 CFR Deputy Secretary. Applicants’ Address: 200 Berkeley St., 240.17g–2) under the Securities [FR Doc. 2012–2398 Filed 2–2–12; 8:45 am] Boston, MA 02116. Exchange Act of 1934 (15 U.S.C. 78a et BILLING CODE 8011–01–P seq.) (‘‘Exchange Act’’). The PayPal Funds Commission plans to submit this [File No. 811–9381] existing collection of information to the SECURITIES AND EXCHANGE Summary: Applicant seeks an order Office of Management and Budget COMMISSION declaring that it has ceased to be an (‘‘OMB’’) for extension and approval. [Release No. IC–29938] investment company. On August 1, Rule 17g–2, ‘‘Records to be made and 2011, applicant made a liquidating retained by nationally recognized Notice of Applications for distribution to its shareholders, based statistical rating organizations,’’ Deregistration Under Section 8(f) of the on net asset value. Substantially all of implements the Commission’s Investment Company Act of 1940 the $65,000 in expenses incurred in recordkeeping rulemaking authority connection with the liquidation were under Section 17(a) of the Exchange January 27, 2012. paid by PayPal Asset Management, Inc., Act.1 The rule requires a Nationally The following is a notice of applicant’s investment adviser. Recognized Statistical Rating applications for deregistration under Filing Date: The application was filed Organization to make and retain certain section 8(f) of the Investment Company on December 29, 2011. records relating to its business and to Act of 1940 for the month of January Applicant’s Address: 2211 North First retain certain other business records, if 2012. A copy of each application may be St., San Jose, CA 95131. such records are made. The rule also obtained via the Commission’s Web site prescribes the time periods and manner by searching for the file number, or an DWS RREEF Real Estate Fund, Inc. in which all these records must be applicant using the Company name box, [File No. 811–21172] retained. The Commission estimates at http://www.sec.gov/search/search. DWS RREEF Real Estate Fund II, Inc. that the burden associated with Rule htm or by calling (202) 551–8090. An 17g–2 is 2,987, which includes one-time order granting each application will be [File No. 811–21340] reporting burdens for processing issued unless the SEC orders a hearing. Summary: Each applicant seeks an reports, and a cost of $5,933, which Interested persons may request a order declaring that it has ceased to be hearing on any application by writing to an investment company. On December 1 15 U.S.C 78q. the SEC’s Secretary at the address below 16, 2011, each applicant made its final

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liquidating distribution to its and Schooner Investment Group, LLC, Keystone America Fund of Growth shareholders, based on net asset value. investment adviser to the acquiring Stock Expenses of $175,623 and $321,286, fund. [File No. 811–5310] respectively, incurred in connection Filing Date: The application was filed Summary: Applicant seeks an order with the liquidations were paid by each on December 20, 2011. declaring that it has ceased to be an applicant. investment company. On or about Filing Date: The applications were Applicant’s Address: 8040 Excelsior August 28, 1992, applicant transferred filed on December 28, 2011. Dr., Suite 401, Madison, WI 53717. its assets to Keystone America Omega Applicants’ Address: 345 Park Ave., BlackRock International Value Trust Fund, based on net asset value. Records New York, NY 10154. [File No. 811–4182] are not available concerning the BlackRock Healthcare Fund, Inc. expenses incurred in connection with Summary: Applicant seeks an order [File No. 811–3595] the reorganization. declaring that it has ceased to be an Filing Date: The application was filed BlackRock Global Growth Fund, Inc. investment company. On August 15, on January 3, 2012. 2011, applicant transferred its assets to Applicant’s Address: 200 Berkeley St., [File No. 811–8327] BlackRock International Fund, a series Boston, MA 02116. Summary: Each applicant seeks an of BlackRock Series, Inc., based on net order declaring that it has ceased to be asset value. Expenses of approximately Continental Assurance Company an investment company. On September $616,476 incurred in connection with Separate Account B 12, 2011, the applicants transferred their the reorganization were paid by [File No. 811–1402] assets to BlackRock Health Sciences BlackRock Advisors, LLC, applicant’s Summary: Applicant seeks an order Opportunities Portfolio and BlackRock investment adviser. declaring that it has ceased to be an Global Opportunities Portfolio, Filing Date: The application was filed investment company. On June 28, 2011, respectively, each a series of BlackRock on December 22, 2011. the Applicant’s governing body Funds, based on net asset value. approved the termination of its Applicant’s Address: 100 Bellevue Expenses of $430,722 incurred in Investment Advisory Agreement (IAA) Parkway, Wilmington, DE 19809. connection with the reorganization of effective November 1, 2011. The BlackRock Healthcare Fund, Inc. were BlackRock Focus Value Fund, Inc. termination of the IAA required the paid by applicant and BlackRock liquidation of the Applicant, an Advisors, LLC, its investment adviser. [File No. 811–3450] insurance company management Expenses of $351,814 incurred in Summary: Applicant seeks an order separate account. Shareholder approval connection with the reorganization of declaring that it has ceased to be an of the liquidation was not required. BlackRock Global Growth Fund, Inc. investment company. On September 12, Applicant distributed all its assets to were paid by BlackRock Advisors, LLC, 2011, applicant transferred its assets to shareholders on or about November 1, applicant’s investment adviser. BlackRock Basic Value Fund, Inc., based 2011. Total expenses of the liquidation Filing Date: The applications were on net asset value. Of approximately were $9,467.60. Continental Assurance filed on December 22, 2011. $182,755 in expenses incurred in Company, the investment adviser of the Applicants’ Address: 100 Bellevue connection with the reorganization, Applicant, either paid these expenses Parkway, Wilmington, DE 19809. $141,006 was paid by applicant and directly or reimbursed the Applicant for Short-Term Bond Master LLC $41,749 was paid by BlackRock these expenses. Advisors, LLC, applicant’s investment Filing Date: The application was filed [File No. 811–10089] adviser. on November 4, 2011 and amended on Summary: Applicant seeks an order December 29, 2011. Filing Date: The application was filed declaring that it has ceased to be an Applicant’s Address: 333 South on December 22, 2011. investment company. On July 18, 2011, Wabash Avenue, Chicago IL 60604. applicant made a liquidating Applicant’s Address: 100 Bellevue For the Commission, by the Division of distribution to its sole shareholder, Parkway, Wilmington, DE 19809. Investment Management, pursuant to based on net asset value. Applicant BlackRock Utilities and delegated authority. incurred no expenses in connection Telecommunications Fund, Inc. Kevin M. O’Neill, with the liquidation. Deputy Secretary. [File No. 811–6180] Filing Date: The application was filed [FR Doc. 2012–2399 Filed 2–2–12; 8:45 am] on December 22, 2011. Summary: Applicant seeks an order BILLING CODE 8011–01–P Applicant’s Address: 55 East 52nd St., declaring that it has ceased to be an New York, NY 10055. investment company. On September 12, Nakoma Mutual Funds 2011, applicant transferred its assets to SECURITIES AND EXCHANGE BlackRock Equity Dividend Fund, based COMMISSION [File No. 811–21865] on net asset value. Of approximately Summary: Applicant seeks an order [Investment Company Act Release No. $158,715 in expenses incurred in 29939; File No. 812–13982] declaring that it has ceased to be an connection with the reorganization investment company. On November 4, $137,046 was paid by applicant and Northwestern Mutual Series Fund, Inc. 2011, applicant transferred its assets to $21,669 was paid by BlackRock and Mason Street Advisors, LLC; Schooner Global Absolute Return Fund, Advisors, LLC, applicant’s investment Notice of Application a series of Trust for Professional adviser. Managers, based on net asset value. January 30, 2012. Expenses of $91,982 incurred in Filing Date: The application was filed AGENCY: Securities and Exchange connection with the reorganization were on December 22, 2011. Commission (‘‘Commission’’). paid by Nakoma Capital Management, Applicant’s Address: 100 Bellevue ACTION: Notice of an application under LLC, applicant’s investment adviser, Parkway, Wilmington, DE 19809. section 6(c) of the Investment Company

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Act of 1940 (‘‘Act’’) for an exemption Advisers Act of 1940, as amended (the securities, together with the securities of from rule 12d1–2(a) under the Act. ‘‘Advisers Act’’) and currently serves as other investment companies, represent investment adviser to each existing more than 10% of the acquiring SUMMARY: Summary of Application: Applicant Series (as defined below). company’s total assets. Section Applicants request an order to permit Applicants request the exemption to 12(d)(1)(B) of the Act provides that no open-end management investment the extent necessary to permit any registered open-end investment companies relying on rule 12d1–2 under existing or future series of the Company company may sell its securities to the Act to invest in certain financial and any other existing or future another investment company if the sale instruments. registered open-end investment will cause the acquiring company to Applicants: Northwestern Mutual company or series thereof that (i) is own more than 3% of the acquired Series Fund, Inc. (‘‘Company’’) and advised by MSA or any person now or company’s voting stock, or cause more Mason Street Advisors, LLC (‘‘MSA’’). in the future controlling, controlled by than 10% of the acquired company’s DATES: Filing Dates: The application was or under common control with MSA voting stock to be owned by investment filed on November 30, 2011. Applicants (any such adviser or MSA, an companies and companies controlled by have agreed to file an amendment ‘‘Adviser’’) 1; (ii) invests in other them. during the notice period, the substance registered open-end investment Section 12(d)(1)(G) of the Act of which is reflected in this notice. companies (‘‘Underlying Funds’’) in provides, in part, that section 12(d)(1) Hearing or Notification of Hearing: An reliance on section 12(d)(1)(G) of the will not apply to securities of an order granting the application will be Act; and (iii) is also eligible to invest in acquired company purchased by an issued unless the Commission orders a securities (as defined in section 2(a)(36) acquiring company if: (i) The acquired hearing. Interested persons may request of the Act) in reliance on rule 12d1–2 company and acquiring company are a hearing by writing to the under the Act (each an ‘‘Applicant part of the same group of investment Commission’s Secretary and serving Series’’), to also invest, to the extent companies; (ii) the acquiring company applicants with a copy of the request, consistent with its investment holds only securities of acquired personally or by mail. Hearing requests objectives, policies, strategies and companies that are part of the same should be received by the Commission limitations, in financial instruments that group of investment companies, by 5:30 p.m. on February 24, 2012, and may not be securities within the government securities, and short-term should be accompanied by proof of meaning of section 2(a)(36) of the Act paper; (iii) the aggregate sales loads and service on applicants, in the form of an (‘‘Other Investments’’).2 Applicants also distribution-related fees of the acquiring affidavit or, for lawyers, a certificate of request that the order exempt any entity, company and the acquired company are service. Hearing requests should state including any entity controlled by or not excessive under rules adopted the nature of the writer’s interest, the under common control with an Adviser, pursuant to section 22(b) or section reason for the request, and the issues that now or in the future acts as 22(c) of the Act by a securities contested. Persons who wish to be principal underwriter, or broker or association registered under section 15A notified of a hearing may request dealer (if registered under the Securities of the Exchange Act, or by the notification by writing to the Exchange Act of 1934, as amended Commission; and (iv) the acquired Commission’s Secretary. (‘‘Exchange Act’’)), with respect to the company has a policy that prohibits it ADDRESSES: Elizabeth M. Murphy, transactions described in the from acquiring securities of registered Secretary, Securities and Exchange application. open-end investment companies or Commission, 100 F Street NE., Consistent with its fiduciary registered unit investment trusts in Washington, DC 20549–1090; obligations under the Act, each reliance on section 12(d)(1)(F) or (G) of Applicants, 720 East Wisconsin Avenue, Applicant Series’ board of directors will the Act. Milwaukee, Wisconsin 53202. review the advisory fees charged by the Rule 12d1–2 under the Act permits a registered open-end investment FOR FURTHER INFORMATION CONTACT: Applicant Series’ Adviser to ensure that company or a registered unit investment Barbara T. Heussler, Senior Counsel, at the fees are based on services provided that are in addition to, rather than trust that relies on section 12(d)(1)(G) of (202) 551–6990, or Jennifer L. Sawin, the Act to acquire, in addition to Branch Chief, at (202) 551–6821 duplicative of, services provided pursuant to the advisory agreement of securities issued by another registered (Division of Investment Management, investment company in the same group Office of Investment Company any investment company in which the Applicant Series may invest. of investment companies, government Regulation). securities, and short-term paper: (i) SUPPLEMENTARY INFORMATION: The Applicants’ Legal Analysis Securities issued by an investment following is a summary of the Section 12(d)(1)(A) of the Act company that is not in the same group application. The complete application provides that no registered investment of investment companies, when the may be obtained via the Commission’s company (‘‘acquiring company’’) may acquisition is in reliance on section Web site by searching for the file acquire securities of another investment 12(d)(1)(A) or 12(d)(1)(F) of the Act; (ii) number, or an applicant using the company (‘‘acquired company’’) if such securities (other than securities issued Company name box, at http://www.sec. securities represent more than 3% of the by an investment company); and (iii) gov/search/search.htm or by calling acquired company’s outstanding voting securities issued by a money market (202) 551–8090. stock or more than 5% of the acquiring fund, when the investment is in reliance company’s total assets, or if such on rule 12d1–1 under the Act. For the Applicants’ Representations purposes of rule 12d1–2, ‘‘securities’’ The Company is organized as a 1 Any other Adviser will also be registered under means any security as defined in section Maryland corporation and is registered the Advisers Act. 2(a)(36) of the Act. under the Act as an open-end 2 Every existing entity that currently intends to Section 6(c) of the Act provides that management investment company. rely on the requested order is named as an the Commission may exempt any applicant. Any existing or future entity that relies MSA, a Delaware limited liability on the requested order will do so only in person, security, or transaction from any company, is an investment adviser accordance with the terms and condition in the provision of the Act, or from any rule registered under the Investment application. under the Act, if such exemption is

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necessary or appropriate in the public have been prepared by the Exchange. 2011, ISE Rule 2101 was once again interest and consistent with the The Commission is publishing this amended to extend the pilot to January protection of investors and the purposes notice to solicit comments on the 31, 2012.6 fairly intended by the policies and proposed rule change from interested On September 10, 2010, ISE Rule provisions of the Act. persons. 2102 was amended to expand the pilot Applicants state that the Applicant rule to apply to the Russell 1000® Index Series will comply with rule 12d1–2 I. Self-Regulatory Organization’s Statement of the Terms of Substance of and other specified exchange traded under the Act, but for the fact that the 7 the Proposed Rule Change products. On June 23, 2011, ISE Rule Applicant Series may invest a portion of 2102 was amended again to expand the their assets in Other Investments. The Exchange proposes to amend pilot rule to apply to all NMS Stocks.8 Applicants request an order under Rule 2102 (Hours of Business) to extend The Exchange now proposes to extend section 6(c) of the Act for an exemption the expiration of the pilot rule. the date by which this pilot rule will from rule 12d1–2(a) to allow the The text of the proposed rule change expire to July 31, 2012. Extending this Applicant Series to invest in Other is available on the Exchange’s Internet pilot program will provide the Investments while investing in Web site at http://www.ise.com, at the exchanges with a continued opportunity Underlying Funds. Applicants assert principal office of the Exchange, and at to assess the effect of this rule proposal that permitting the Applicant Series to the Commission’s Public Reference on the markets. invest in Other Investments as described Room. 2. Statutory Basis in the application would not raise any II. Self-Regulatory Organization’s of the concerns that the requirements of Statement of the Purpose of, and The statutory basis for the proposed section 12(d)(1) were designed to Statutory Basis for, the Proposed Rule rule change is Section 6(b)(5) of the address. Change Act,9 which requires the rules of an exchange to promote just and equitable Applicants’ Condition In its filing with the Commission, the principles of trade, to remove Exchange included statements Applicants agree that any order impediments to and perfect the concerning the purpose of and basis for granting the requested relief will be mechanism of a free and open market the proposed rule change and discussed subject to the following condition: and a national market system and, in any comments it received on the Applicants will comply with all general, to protect investors and the proposed rule change. The text of these provisions of rule 12d1–2 under the Act, public interest. The proposed rule statements may be examined at the except for paragraph (a)(2) to the extent change also is designed to support the places specified in Item IV below. The that it restricts any Applicant Series principles of Section 11A(a)(1) 10 of the Exchange has prepared summaries, set from investing in Other Investments as Act in that it seeks to assure fair forth in Sections A, B, and C below, of described in the application. competition among brokers and dealers the most significant parts of such For the Commission, by the Division of and among exchange markets. The statements. Investment Management, under delegated Exchange believes that the proposed authority. A. Self-Regulatory Organization’s rule meets these requirements in that it Kevin M. O’Neill, Statement of the Purpose of, and promotes uniformity across markets Deputy Secretary. Statutory Basis for, the Proposed Rule concerning decisions to pause trading in [FR Doc. 2012–2433 Filed 2–2–12; 8:45 am] Change a security when there are significant BILLING CODE 8011–01–P 1. Purpose price movements. The Exchange proposes to amend ISE B. Self-Regulatory Organization’s SECURITIES AND EXCHANGE Rule 2102 to extend the expiration of Statement on Burden on Competition COMMISSION the pilot rule. Initial amendments to ISE The proposed rule change does not [Release No. 34–66271; File No. SR–ISE– Rule 2102 to allow the Exchange to impose any burden on competition that 2012–05] pause trading in an individual stock is not necessary or appropriate in when the primary listing market for furtherance of the purposes of the Act. Self-Regulatory Organizations; such stock issues a trading pause were International Securities Exchange, approved by the Securities and C. Self-Regulatory Organization’s LLC; Notice of Filing and Immediate Exchange Commission (‘‘Commission’’) Statement on Comments on the Effectiveness of Proposed Rule on June 10, 2010 on a pilot basis to end Proposed Rule Change Received From Change To Extend the Pilot Program on December 10, 2010.3 The pilot was Members, Participants, or Others Relating to Individual Securities Circuit then extended to expire on April 11, The Exchange has not solicited, and Breakers 2011.4 On March 21, 2011, ISE Rule does not intend to solicit, comments on 2101 was amended to state that the pilot this proposed rule change. The January 30, 2012. would expire on the earlier of August Exchange has not received any Pursuant to Section 19(b)(1) of the 11, 2011 or the date on which a limit unsolicited written comments from Securities Exchange Act of 1934 (the up/limit down mechanism to address members or other interested parties. 1 2 ‘‘Act’’), and Rule 19b–4 thereunder, extraordinary market volatility, if notice is hereby given that on January 5 adopted, would apply. On August 9, 6 See Securities Exchange Act Release No. 65072 24, 2012, the International Securities (August 9, 2011), 76 FR 50513 (August 15, 2011) Exchange, LLC (the ‘‘Exchange’’ or the 3 See Securities Exchange Act Release No. 62252 (SR–ISE–2011–52). ‘‘ISE’’) filed with the Securities and (June 10, 2010), 75 FR 34186 (June 16, 2010) (SR– 7 See Securities Exchange Act Release No. 62884 Exchange Commission (‘‘Commission’’) ISE–2010–48). (September 10, 2010), 75 FR 56618 (September 16, the proposed rule change as described 4 See Securities Exchange Act Release No. 63506 2010) (SR–ISE–2010–66). (December 9, 2010), 75 FR 78301 (December 15, 8 See Securities Exchange Act Release No. 64735 in Items I and II below, which Items 2010) (SR–ISE–2010–117). (June 23, 2011), 76 FR 38243 (June 29, 2011) (SR– 5 See Securities Exchange Act Release No. 64193 ISE–2011–028). 1 15 U.S.C. 78s(b)(1). (April 5, 2011), 76 FR 20062 (April 11, 2011) (SR– 9 15 U.S.C. 78f(b)(5). 2 17 CFR 240.19b–4. ISE–2011–17). 10 15 U.S.C. 78k–1(a)(1).

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III. Date of Effectiveness of the public interest, for the protection of For the Commission, by the Division of Proposed Rule Change and Timing for investors, or otherwise in furtherance of Trading and Markets, pursuant to delegated Commission Action the purposes of the Act. authority.18 Kevin M. O’Neill, The Exchange has filed the proposed IV. Solicitation of Comments rule change pursuant to Section Deputy Secretary. 19(b)(3)(A)(iii) of the Act 11 and Rule Interested persons are invited to [FR Doc. 2012–2392 Filed 2–2–12; 8:45 am] 19b–4(f)(6) thereunder.12 Because the submit written data, views, and BILLING CODE 8011–01–P proposed rule change does not: (i) arguments concerning the foregoing, Significantly affect the protection of including whether the proposed rule SECURITIES AND EXCHANGE investors or the public interest; (ii) change is consistent with the Act. COMMISSION impose any significant burden on Comments may be submitted by any of competition; and (iii) become operative the following methods: [Release No. 34–66273; File No. SR–BATS– prior to 30 days from the date on which Electronic Comments 2012–003] it was filed, or such shorter time as the Commission may designate, if • Use the Commission’s Internet Self-Regulatory Organizations; BATS consistent with the protection of comment form (http://www.sec.gov/ Exchange, Inc.; Notice of Filing and investors and the public interest, the rules/sro.shtml); or Immediate Effectiveness of Proposed proposed rule change has become • Send an email to Rule Change Related to Fees for Use effective pursuant to Section 19(b)(3)(A) [email protected]. Please include of BATS Exchange, Inc. 13 of the Act and Rule 19b–4(f)(6)(iii) File No. SR–ISE–2012–05 on the subject January 30, 2012. thereunder.14 line. A proposed rule change filed under Pursuant to Section 19(b)(1) of the Rule 19b–4(f)(6) 15 normally does not Paper Comments Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 become operative for 30 days after the • Send paper comments in triplicate notice is hereby given that on January date of filing. However, pursuant to to Elizabeth M. Murphy, Secretary, 16 24, 2012 BATS Exchange, Inc. (the Rule 19b–4(f)(6)(iii) the Commission Securities and Exchange Commission, ‘‘Exchange’’ or ‘‘BATS’’) filed with the may designate a shorter time if such 100 F Street NE., Washington, DC Securities and Exchange Commission action is consistent with the protection 20549–1090. of investors and the public interest. The (‘‘Commission’’) the proposed rule Exchange has asked the Commission to All submissions should refer to File No. change as described in Items I, II, and waive the 30-day operative delay so that SR–ISE–2012–05. This file number III below, which Items have been the proposal may become operative should be included on the subject line prepared by the Exchange. The immediately upon filing. if email is used. To help the Exchange has designated the proposed The Commission believes that Commission process and review your rule change as one establishing or waiving the 30-day operative delay is comments more efficiently, please use changing a member due, fee, or other consistent with the protection of only one method. The Commission will charge imposed by the Exchange under investors and the public interest, as it post all comments on the Commission’s Section 19(b)(3)(A)(ii) of the Act 3 and will allow the pilot program to continue Internet Web site (http://www.sec.gov/ Rule 19b–4(f)(2) thereunder,4 which uninterrupted, thereby avoiding the rules/sro.shtml). Copies of the renders the proposed rule change investor confusion that could result submission, all subsequent effective upon filing with the from a temporary interruption in the amendments, all written statements Commission. The Commission is pilot program. For this reason, the with respect to the proposed rule publishing this notice to solicit Commission designates the proposed change that are filed with the comments on the proposed rule change rule change to be operative upon Commission, and all written from interested persons. 17 communications relating to the filing. I. Self-Regulatory Organization’s At any time within 60 days of the proposed rule change between the Commission and any person, other than Statement of the Terms of Substance of filing of the proposed rule change, the the Proposed Rule Change Commission summarily may those that may be withheld from the temporarily suspend such rule change if public in accordance with the The Exchange proposes [sic] amend it appears to the Commission that such provisions of 5 U.S.C. 552, will be the fee schedule applicable to 5 action is necessary or appropriate in the available for Web site viewing and Members and non-members of the printing in the Commission’s Public Exchange pursuant to BATS Rules 11 15 U.S.C. 78s(b)(3)(A)(iii). Reference Room, 100 F Street NE., 15.1(a) and (c). Changes to the fee 12 17 CFR 240.19b–4(f)(6). Washington, DC 20549, on official schedule pursuant to this proposal will 13 15 U.S.C. 78s(b)(3)(A). business days between the hours of 10 be effective upon filing. 14 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– a.m. and 3 p.m. Copies of such filing The text of the proposed rule change 4(f)(6)(iii) requires the Exchange to give the also will be available for inspection and is available at the Exchange’s Web site Commission written notice of the Exchange’s intent to file the proposed rule change along with a brief copying at the principal office of the at http://www.batstrading.com, at the description and text of the proposed rule change, Exchange. All comments received will principal office of the Exchange, and at at least five business days prior to the date of filing be posted without change; the the Commission’s Public Reference of the proposed rule change, or such shorter time Commission does not edit personal Room. as designated by the Commission. The Exchange has satisfied this requirement. identifying information from 18 15 17 CFR 240.19b–4(f)(6). submissions. You should submit only 17 CFR 200.30–3(a)(12). 1 16 17 CFR 240.19b–4(f)(6)(iii). information that you wish to make 15 U.S.C. 78s(b)(1). 2 17 For purposes only of waiving the 30-day available publicly. All submissions 17 CFR 240.19b–4. 3 operative delay, the Commission has also should refer to File No. SR–ISE–2012– 15 U.S.C. 78s(b)(3)(A)(ii). considered the proposed rule’s impact on 4 17 CFR 240.19b–4(f)(2). efficiency, competition, and capital formation. See 05 and should be submitted on or before 5 A Member is any registered broker or dealer that 15 U.S.C. 78c(f). February 24, 2012. has been admitted to membership in the Exchange.

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II. Self-Regulatory Organization’s Close (‘‘LLOC’’) 10 orders as defined in venues if they deem fee levels at a Statement of the Purpose of, and BZX Exchange Rule 11.23(a). particular venue to be excessive. Statutory Basis for, the Proposed Rule Accordingly, excluding LLOOs and The Exchange believes that the Change LLOCs, the Exchange will assess fees of proposed fees for executions of Eligible In its filing with the Commission, the either $0.0005 per share or $0.0010 per Auction Orders that occur in Exchange Exchange included statements share (depending on the applicable Auctions (other than LLOOs and concerning the purpose of and basis for Exchange Auction) for all ‘‘Eligible LLOCs) are reasonable in that they are the proposed rule change and discussed Auction Orders,’’ which term includes equivalent to the fees charged by at least any comments it received on the Market-On-Open,11 Limit-On-Open,12 one of the Exchange’s competitors, as proposed rule change. The text of these Market-On-Close,13 Limit-On-Close,14 described above. The Exchange also statements may be examined at the any Regular Hours Only 15 order prior to believes that the proposed fees are fair places specified in Item IV below. The the Opening Auction, and any limit or and equitable and not unreasonably Exchange has prepared summaries, set market order not designated to discriminatory in that they apply forth in Sections A, B, and C below, of exclusively participate in the Opening equally to all Exchange participants. the most significant parts of such Auction or Closing Auction entered The Exchange believes that excluding statements. during the Quote-Only Period 16 of an Continuous Book orders from fee A. Self-Regulatory Organization’s IPO Auction or Halt Auction. liability in Exchange Auctions is Statement of the Purpose of, and 2. Statutory Basis reasonable because such orders, if Statutory Basis for, the Proposed Rule already posted to the Exchange’s order Change The Exchange believes that the book, would be eligible for rebates 1. Purpose proposed rule change is consistent with provided by the Exchange, and would not be assessed fees. Accordingly, while The Exchange recently proposed and the requirements of the Act and the the Exchange does not propose to received approval of rules governing rules and regulations thereunder that auctions conducted on the Exchange for are applicable to a national securities provide a rebate for any execution that securities listed on the Exchange exchange, and, in particular, with the occurs in an Exchange Auction, the (‘‘Exchange Auctions’’).6 Specifically, requirements of Section 6 of the Act.17 Exchange believes it is reasonable to the Exchange adopted rules for Specifically, the Exchange believes that provide executions of Continuous Book conducting an opening auction on the the proposed rule change is consistent orders free of charge. Similarly, the Exchange (‘‘Opening Auction’’), a with Section 6(b)(4) of the Act,18 in that Exchange believes that excluding closing auction on the Exchange it provides for the equitable allocation LLOOs and LLOCs from fee liability in (‘‘Closing Auction’’), an auction in the of reasonable dues, fees and other Exchange Auctions is reasonable event of an initial public offering charges among members and other because such orders are late arriving (‘‘IPO’’) or a halt of trading in the persons using any facility or system orders that are likely to improve the security (‘‘IPO Auction’’ or ‘‘Halt which the Exchange operates or execution quality received by other Auction,’’ respectively). In preparation controls. The Exchange notes that it orders submitted to the Auction. for commencement of its listings operates in a highly competitive market Accordingly, the Exchange believes that business, and in turn, the in which market participants can the proposal is not unfairly commencement of Exchange Auctions, readily direct order flow to competing discriminatory because it is consistent the Exchange proposes pricing for with the overall goals of enhancing executions that occur in Exchange ‘‘User’’ is defined in Rule 1.5(cc) as any Member or market quality. As is true for the fees to Auctions, as set forth below. sponsored participant with access to the Exchange. be assessed on executions that occur in The Exchange proposes to charge fees 10 The term ‘‘Late-Limit-On-Close’’ or ‘‘LLOC’’ is Exchange Auctions, the exclusion of of $0.0005 per share that executes in an defined in Rule 11.23(a) as a ‘‘BATS limit order that fees for Continuous Book orders, LLOOs Opening Auction, IPO Auction or Halt is designated for execution only in the Closing Auction.’’ Users may only submit LLOC orders and LLOCs is fair and equitable and not Auction and $0.0010 per share that between 3:55 p.m. and 4 p.m. Eastern Time. unreasonably discriminatory because executes in a Closing Auction. These 11 A ‘‘Market-On-Open’’ order is defined in Rule this fee treatment is equally available to rates are equivalent to the fees assessed 11.23(a) as a ‘‘BATS market order that is designated all Exchange Users. by the NASDAQ Stock Market LLC for execution only in the Opening Auction.’’ (‘‘NASDAQ’’) for executions that occur 12 A ‘‘Limit-On-Open’’ order is defined in Rule The Exchange notes that NASDAQ in crosses on NASDAQ.7 11.23(a) as a ‘‘BATS limit order that is designated also excludes its equivalent of for execution only in the Opening Auction.’’ Continuous Book orders from fee Also similar to NASDAQ, the 13 A ‘‘Market-On-Close’’ order is defined in Rule Exchange proposes to exempt certain 11.23(a) as a ‘‘BATS market order that is designated liability in the NASDAQ opening and executions from fees, specifically any for execution only in the Closing Auction.’’ closing crosses.19 While the Exchange executions in an Exchange Auction of 14 A ‘‘Limit-On-Close’’ order is defined in Rule does not have a direct equivalent to the 8 11.23(a) as a ‘‘BATS limit order that is designated NASDAQ ‘‘imbalance only’’ order, any Continuous Book, Late-Limit-On- for execution only in the Closing Auction.’’ 9 which are also executed free of charge Open (‘‘LLOO’’) or Late-Limit-On- 15 A ‘‘Regular Hours Only’’ order is defined in Rule 11.23(a) as a ‘‘BATS order that is designated by NASDAQ in the NASDAQ opening 6 See Securities Exchange Act Release No. 65619 for execution only during Regular Trading Hours, and closing crosses,20 the Exchange’s (October 25, 2011), 76 FR 67238 (October 31, 2011) which includes the Opening Auction, the Closing LLOOs and LLOCs are analogous in (SR–BATS–2011–032). Auction, and IPO/Halt Auctions.’’ ‘‘Regular Trading some ways in that LLOOs and LLOCs 7 See NASDAQ Rule 7018(d)–(f). Hours’’ is defined in Rule 1.5(w) as ‘‘the time 8 A ‘‘Continuous Book Order’’ is defined in Rule between 9:30 a.m. and 4 p.m. Eastern Time.’’ are late arriving limit orders that are 11.23(a) as all orders on the Exchange’s order book 16 The ‘‘Quote Only Period’’ is defined in Rule likely to provide additional liquidity that are not Eligible Auction Orders. 11.23(a) as ‘‘a designated period of time prior to a against which Eligible Auction Orders 9 The term ‘‘Late-Limit-On-Open’’ or ‘‘LLOO’’ is Halt Auction or an IPO during which Users may will be able to execute. defined in Rule 11.23(a) as a ‘‘BATS limit order that submit orders to the Exchange for participation in is designated for execution only in the Opening the auction.’’ Auction.’’ Users may only submit LLOO orders 17 15 U.S.C. 78f. 19 See NASDAQ Rule 7018(d) and (e). between 9:28 a.m. and 9:30 a.m. Eastern Time. A 18 15 U.S.C. 78f(b)(4). 20 Id.

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B. Self-Regulatory Organization’s post all comments on the Commission’s Fee Schedule of the Boston Options Statement on Burden on Competition Internet Web site (http://www.sec.gov/ Exchange Group, LLC (‘‘BOX’’) to The Exchange does not believe that rules/sro.shtml). Copies of the increase the credits and fees for certain the proposed rule change imposes any submission, all subsequent transactions in the BOX Price burden on competition. amendments, all written statements Improvement Period (‘‘PIP’’).3 The with respect to the proposed rule proposed rule change was immediately C. Self-Regulatory Organization’s change that are filed with the effective upon filing with the Statement on Comments on the Commission, and all written Commission pursuant to Section Proposed Rule Change Received From communications relating to the 19(b)(3)(A) of the Act.4 Notice of filing Members, Participants, or Others proposed rule change between the of the proposed rule change was Commission and any person, other than No written comments were solicited published in the Federal Register on or received. those that may be withheld from the 5 public in accordance with the August 3, 2011. The Commission III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be received four comment letters on the 6 7 Proposed Rule Change and Timing for available for Web site viewing and Notice and a response from BOX. Commission Action printing in the Commission’s Public On September 13, 2011, the Pursuant to Section 19(b)(3)(A)(ii) of Reference Room, 100 F Street NE., Commission temporarily suspended the Act 21 and Rule 19b–4(f)(2) Washington, DC 20549, on official BOX’s proposal and simultaneously thereunder,22 the Exchange has business days between the hours of 10 instituted proceedings to determine designated this proposal as establishing a.m. and 3 p.m. Copies of the filing will whether to approve or disapprove the or changing a due, fee, or other charge also be available for inspection and proposed rule change.8 On September applicable to the Exchange’s Members copying at the principal office of the 20, 2011, the Commission received and non-members, which renders the Exchange. All comments received will notice of BOX’s intention to petition for proposed rule change effective upon be posted without change; the review of the Division’s action by filing. Commission does not edit personal delegated authority to suspend its PIP identifying information from At any time within 60 days of the fee filing, which triggered a stay of the submissions. You should submit only filing of the proposed rule change, the suspension order. On September 27, Commission summarily may information that you wish to make 2011, the Commission received BOX’s temporarily suspend such rule change if available publicly. All submissions petition to review the Division of it appears to the Commission that such should refer to File Number SR–BATS– 2012–003 and should be submitted on Trading and Markets’ suspension by action is necessary or appropriate in the 9 public interest, for the protection of or before February 24, 2012. delegated authority. On October 19, 2011, the Commission issued an order investors, or otherwise in furtherance of For the Commission, by the Division of the purposes of the Act. Trading and Markets, pursuant to delegated denying BOX’s petition, lifting the authority.23 IV. Solicitation of Comments 3 Kevin M. O’Neill, The PIP is a mechanism in which a BOX Interested persons are invited to Options Participant submits an agency order on Deputy Secretary. behalf of a customer for price improvement, paired submit written data, views, and [FR Doc. 2012–2393 Filed 2–2–12; 8:45 am] with a contra-order guaranteeing execution of the arguments concerning the foregoing, BILLING CODE 8011–01–P agency order at or better than the National Best Bid including whether the proposed rule or Offer (‘‘NBBO’’). The contra-order could be for change is consistent with the Act. the account of the Options Participant, or an order solicited from someone else. The agency order is Comments may be submitted by any of SECURITIES AND EXCHANGE exposed for a one-second auction in which other the following methods: COMMISSION BOX Options Participants (‘‘Initiating Participant’’) may submit competing interest at the same price or Electronic Comments [Release No. 34–66278; File No. SR–BX– better. The initiating BOX Options Participant is • Use the Commission’s Internet 2011–046] guaranteed 40% of the order (after public customers) at the final price for the PIP order, comment form (http://www.sec.gov/ Self-Regulatory Organizations; assuming it is at the best price. See Chapter V, rules/sro.shtml); or NASDAQ OMX BX, Inc.; Notice of Filing Section 18 of the BOX Rules. • Send an email to 4 of Amendment No. 1, and Order 15 U.S.C. 78s(b)(3)(A). [email protected]. Please include 5 See Securities Exchange Act Release No. 64981 Granting Accelerated Approval of File Number SR–BATS–2012–003 on (July 28, 2011), 76 FR 46858 (‘‘Notice’’). Proposed Rule Change as Modified by 6 the subject line. See Letters to Elizabeth Murphy, Secretary, Amendment No. 1, To Amend the BOX Commission, from John C. Nagel, Managing Director Paper Comments Fee Schedule With Respect to Credits and General Counsel, Citadel Securities LLC and Fees for Transactions in the BOX (‘‘Citadel’’), dated August 12, 2011 (‘‘Citadel • Send paper comments in triplicate Letter’’); Andrew Stevens, Legal Counsel, IMC to Elizabeth M. Murphy, Secretary, PIP Financial Markets (‘‘IMC’’), dated August 15, 2011 Securities and Exchange Commission, (‘‘IMC Letter’’); Michael J. Simon, Secretary, January 30, 2012. International Securities Exchange (‘‘ISE’’), dated 100 F Street NE., Washington, DC On July 15, 2011, NASDAQ OMX BX, August 22, 2011 (‘‘ISE Letter’’), and Christopher 20549–1090. Inc. (the ‘‘Exchange’’) filed with the Nagy, Managing Director Order Strategy, TD All submissions should refer to File Securities and Exchange Commission Ameritrade, Inc. (‘‘TD Ameritrade’’), dated Number SR–BATS–2012–003. This file September 12, 2011 (‘‘TD Ameritrade Letter’’). (the ‘‘Commission’’), pursuant to 7 See Letter to Elizabeth Murphy, Secretary, number should be included on the Section 19(b)(1) of the Securities Commission, from Anthony D. McCormick, Chief subject line if email is used. To help the Exchange Act of 1934 (‘‘Exchange Act’’ Executive Officer, BOX, dated September 9, 2011 Commission process and review your or ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 (‘‘BOX Letter’’). comments more efficiently, please use a proposed rule change to amend the 8 See Securities Exchange Act Release No. 65330 (September 13, 2011), 76 FR 58065 (September 19, only one method. The Commission will 2011) (‘‘Suspension Order’’). 23 17 CFR 200.30–3(a)(12). 9 Petition for Review of Action by Delegated 21 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). Authority from BOX, dated September 27, 2011 22 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4. (‘‘BOX Petition’’).

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automatic stay, and designating a longer whether such order is the contra order Act.16 Specifically, the Commission comment period for the proceedings.10 submitted by the Initiating Participant finds that the proposal, as modified by The Commission thereafter received or an order submitted by another BOX Amendment No. 1, is consistent with an additional four comment letters on Options Participant in response to the Section 6(b)(5) of the Act,17 which, the proposal.11 The Exchange submitted PIP auction (‘‘Responding Participant’’). among other things, requires that rules a response letter to the comments on The credits and fees are in addition to of a national securities exchange be December 9, 2011.12 The Exchange also any applicable trading fees, as described designed to promote just and equitable submitted data for the Commission’s in Sections 1 through 3 of the BOX Fee principles of trade, to remove consideration under separate cover.13 Schedule.14 impediments to and perfect the On January 30, 2012, the Exchange In addition, on January 30, 2012, BOX mechanism of a free and open market submitted Amendment No. 1 to the submitted Amendment No. 1 to the and a national market system, to protect proposed rule change. In Amendment proposed rule change, which added investors and the public interest, and to No. 1, the Exchange proposed to put its language to make the proposed rule not permit unfair discrimination fee change on a formal pilot and change, subject to Commission between customers, issuers, brokers, or undertook to provide the Commission approval, operative on a pilot basis dealers, and Section 6(b)(8) of the Act, with data during the course of such beginning February 1, 2012, and 18 which requires that the rules of a pilot. The Commission is publishing continuing until February 28, 2013. national securities exchange not impose this notice to solicit comments on Further, BOX agreed to submit to the any burden on competition not Amendment No. 1 from interested Commission on a quarterly basis during necessary or appropriate in furtherance persons and is approving the proposed the pilot period certain monthly PIP of the purposes of the Act. In addition, rule change, as modified by Amendment transaction data in series traded in the Commission finds that the proposal, No. 1, on an accelerated basis. penny increments compared to series as modified by Amendment No. 1, is I. Description of the Proposal traded in nickel increments, subdivided consistent with Section 6(b)(4) of the by when BOX is at the NBBO and when Act,19 The Exchange proposes to increase which requires that an exchange BOX is not at the NBBO, including: (1) have rules that provide for the equitable the credits and fees for certain Volume by number of contracts traded; transactions in the PIP by modifying allocation of reasonable dues, fees, and (2) number of contracts executed by the other charges among its members and Section 7d of the BOX Fee Schedule. Initiating Participant as compared to Specifically, the Exchange proposes to: issuers and other persons using its others (‘‘retention rate’’); (3) percentage facilities. Further, as discussed below, (1) Increase both the credits and the fees of contracts receiving price for PIP transactions in classes that are in approving this proposed rule change, improvement when the Initiating the Commission considered the not subject to the Penny Pilot (‘‘Non- Participant is the contra party and when Penny classes’’) from $0.30 to $0.75 per proposal’s impact on efficiency, others are the contra party; (4) average 20 contract; and (2) increase both the competition, and capital formation. number of participants responding in As noted above, the Exchange’s credits and the fees for PIP transactions the PIP; (5) average price improvement in Penny Pilot classes (other than in proposal increased: (1) Both the credits amount when the Initiating Participant and the fees for PIP transactions in QQQQ, SPY, and IWM) where the trade is the contra party; (6) average price price is equal to or greater than $3.00 classes that are not subject to the Penny improvement amount when others are Pilot from $0.30 to $0.75 per contract; per contract from $0.30 to $0.75 per the contra party; and (7) percentage of contract. The credits and the fees for PIP and (2) both the credits and the fees for contracts receiving price improvement PIP transactions in Penny Pilot classes transactions QQQQ, SPY, and IWM and greater than $0.01, $0.02 and $0.03 in all other Penny Pilot classes where where the trade price is equal to or when the Initiating Participant is the greater than $3.00 per contract (other the trade price is less than $3.00 per contra party and when others are the contract will remain at $0.30 per 15 than transactions in QQQQ, SPY, and contra party. BOX also agreed to make IWM) from $0.30 to $0.75 per contract. contract. The credits are paid by the such data publicly available. Exchange on the agency order that is In other words, the Exchange’s proposal submitted to the PIP auction on behalf II. Discussion applies only to options with a minimum of a customer. The fees are charged by After careful review of the proposal price variation larger than one cent. The the Exchange to the order that is and consideration of the comment Exchange’s proposal did not modify its executed against the agency order, letters, the Commission finds that the existing PIP-related fees that apply to proposed rule change to amend the BOX transactions in series that have a 10 See Securities Exchange Act Release No. 65592, Fee Schedule to increase the credits and minimum pricing variation of one cent. 76 FR 66103 (October 25, 2011). fees for certain transactions in the PIP Accordingly, the issue before the 11 See Letters to Elizabeth Murphy, Secretary, is consistent with the requirements of Commission in this filing is whether the Commission, from Anthony J. Saliba, Chief PIP fee changes applicable to options Executive Officer, LiquidPoint, LLC the Act and the rules and regulations (‘‘LiquidPoint’’), dated October 10, 2011 thereunder applicable to a national quoting in an increment larger than a (‘‘LiquidPoint Letter’’); Christopher Nagy, Managing securities exchange and, in particular, penny are consistent with the Act. Director Order Strategy, TD Ameritrade, dated Prior to the institution of proceedings, November 14, 2011 (‘‘TD Ameritrade Letter II’’); the requirements of Section 6 of the Michael J. Simon, Secretary, ISE, dated November the Commission received four comment 17, 2011 (‘‘ISE Letter II’’); and John C. Nagel, 14 Sections 1 through 3 of the BOX Fee Schedule letters on the Exchange’s proposed rule Managing Director and General Counsel, Citadel, include a $0.25 per contract transaction fee for change.21 Three commenters dated November 17, 2011 (‘‘Citadel Letter II’’). contracts traded in the PIP. Depending on its 12 See Letter to Elizabeth Murphy, Secretary, average daily volume (‘‘ADV’’), a Participant who 16 15 U.S.C. 78f. Commission, from Anthony D. McCormick, Chief initiates PIP auctions may be charged a lower per 17 Executive Officer, BOX, dated December 9, 2011 contract fee. See Section 7d. of the BOX Fee 15 U.S.C. 78f(b)(5). (‘‘BOX Response Letter’’). Schedule. 18 15 U.S.C. 78f(b)(8). 13 See Letter to Heather Seidel, Associate 15 The data set forth in Amendment No. 1 to be 19 15 U.S.C. 78f(b)(4). Director, Division of Trading and Markets, provided during the pilot period includes 20 See 15 U.S.C. 78c(f). Commission, from Michael J. Burbach, Vice substantially the same information as the Order 21 See Citadel Letter, supra note 6, IMC Letter, President, Legal Affairs, BOX, dated December 9, Size Cumulative data provided by BOX in pages 26 supra note 6, ISE Letter, supra note 6, and TD 2011 (‘‘BOX Data Letter’’). through 30 of the BOX Data Letter. Ameritrade Letter, supra note 6.

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recommended that the Commission already seen significant benefits to its the disparity between the net fee temporarily suspend SR–BX–2011–046 retail investors.31 TD Ameritrade stated charged to competitive responders and and institute proceedings to disapprove that the BOX fee structure provides the initiators, BOX effectively is the filing.22 The fourth commenter incentives for market participants to discouraging competition in the PIP and supported the Exchange’s proposed rule submit customer order flow to BOX and is thereby encouraging internalization at change and urged the Commission not thus, creates a greater opportunity for worse prices for investors.44 Citadel to institute proceedings to disapprove retail customers to receive additional further argues that BOX’s PIP fees are the filing.23 price improvement.32 not equitably allocated and unfairly Citadel argued that the magnitude of In its response letter, BOX argued that discriminate in violation of the Act.45 the disparity between the fees an its market model and fee structure are Citadel claims that BOX’s PIP fees, initiator pays and the fees a competitive intended to benefit retail customers.33 which it believes have reduced responder pays, on a net basis,24 make BOX stated that its fee structure in the competition, have resulted in PIP it ‘‘economically prohibitive for anyone PIP is more transparent than payment auctions offering price improvement to other than the initiator to respond’’ to a for order flow (‘‘PFOF’’) arrangements fewer numbers of contracts and by PIP auction.25 Citadel also argued that and notes its belief that the credit to lower amounts.46 Likewise, LiquidPoint the fees proposed by SR–BX–2011–046 remove liquidity on BOX is generally maintains that the filing imposes a are ‘‘solely structured to benefit one less than what firms receive through burden on competition because of the group of BOX participants over PFOF.34 BOX stated that since the PIP higher net costs to a competitive another,’’ and thus are discriminatory began operating in 2004, customers have responder in a PIP auction, which it and an undue burden on competition.26 received more than $355 million in believes prevents responders from IMC also noted its belief that the BOX savings through better executions on competing on equal footing in the PIP fee structure unduly burdened BOX, including $7.3 million in August auction with the firm that submitted the competition and unreasonably 2011, and stated its belief that the original PIP order.47 ISE argues that discriminated amongst participants.27 It proposal is consistent with the public BOX’s PIP fees impose an unreasonable argued that the increase in fees is borne interest, and with the Exchange Act.35 burden on competition and that BOX solely by PIP competitive responders As noted above, the Commission appears to be using its PIP fees to and effectively bars certain participants received an additional four comment increase interaction rates, thereby from competing with initiators.28 letters on the proposal during the denying investors the opportunity to ISE challenged BOX’s assertion that proceedings,36 in addition to rebuttal receive the best possible prices for their the fees proposed in SR–BX–2011–046 comment from the Exchange 37 and a orders.48 ISE notes that BOX data shows have a uniform application across all separate data letter.38 Of these comment that only 15% of orders in penny classes members, noting that the differential in letters, one supported the proposal 39 in the PIP receive price improvement net fees between PIP initiator and and three opposed the proposal.40 over the NBBO and that BOX data competitive responders is between In support of the proposal, both BOX shows a 58% retention rate in the penny $0.75 and $0.90 per contract.29 ISE also and TD Ameritrade stated that they classes.49 argued that SR–BX–2011–046 was believed that the proposed fees did not deficient in that it failed to: Provide an inhibit competition or foster in this particular proposal. See, e.g., Citadel Letter 41 adequate basis to determine that the internalization. TD Ameritrade stated II, supra note 11, at 3 and ISE Letter II, supra note 11, at 1–2. proposed rule change is consistent with that its experience with the BOX PIP has shown ‘‘price improvement rates 44 See Citadel Letter II, supra note 11, at 2. the Act because it did not address the 45 superior to that available through other See Citadel Letter II, supra note 11, at 1. pricing differential for participants who 46 42 See Citadel Letter II, supra note 11, at 3. Citadel seek to compete with a PIP initiator; programs in the market.’’ provided statistics on the amount and percent of discuss the burden on competition The commenters opposed to the average price improvement per month for BOX’s PIP and compared it to similar price improvement imposed by the pricing structure; or proposal all expressed concern about the impact of the net fees on mechanisms on ISE, Phlx, and CBOE, for February provide support for its assertion that the to October 2011. Although these statistics provided fee change will allow it to compete with competition in the PIP, and thus on the do show a downward trend for price improvement other exchanges.30 opportunity for price improvement for on BOX’s PIP during the period covered by TD Ameritrade strongly supported the the customer order being exposed in the Citadel’s statistics, the Commission notes they are auction.43 Citadel argues that because of not broken out by penny and non-penny series, and proposed rule change, noting that it had thus do not show the statistics only for the specific options subject to the fee change in this proposed 31 See TD Ameritrade Letter, supra note 6, at 1. 22 See Citadel Letter, supra note 6, at 4; IMC rule change. 32 Letter, supra note 6, at 1 and 4; and ISE Letter, See id. Citadel also argues that other BOX fees, in supra note 6, at 5. 33 See BOX Letter, supra note 7, at 2. particular the fee to add liquidity to the BOX book, 23 See TD Ameritrade Letter, supra note 6, at 2. 34 See id. have increased quoted spreads on BOX and 35 amplified the negative impact of the PIP fee by 24 Under the proposed rule change, the Exchange See id. facilitating internalization at the NBBO through PIP would charge both the Initiating Participant and the 36 See TD Ameritrade Letter II, supra note 11, auctions. See Citadel Letter II, supra note 11, at 6– Responding Participant the same fee for executing LiquidPoint Letter, supra note 11, ISE Letter II, 7. Although the Commission has considered the an order in the PIP. However, if the Initiating supra note 11, and Citadel Letter II, supra note 11. proposed fee change that is the subject of this Participant also submits the agency order into the 37 See BOX Response Letter, supra note 12. proposed rule change in the context of these other 38 PIP, the Initiating Participant receives the rebate See BOX Data Letter, supra note 13. fees, the Commission notes that these other BOX paid to the agency order that is auctioned in the 39 See TD Ameritrade Letter II, supra note 11. fees are not within the scope of this proposed rule PIP. As a result, if the fee the Initiating Participant 40 See LiquidPoint Letter, supra note 11, ISE change. pays is aggregated with the rebate the Initiating Letter II, supra note 11, and Citadel Letter II, supra 47 See LiquidPoint Letter, supra note 11, at 2. Participant receives for the agency order (i.e., a note 11. 48 ‘‘net’’ fee), the Initiating Participant would pay a See ISE Letter II, supra note 11, at 2. 41 See BOX Response Letter, supra note 12, at 3– 49 lower net fee compared to Responding Participants. See ISE Letter II, supra note 11, at 1. ISE notes 5; TD Ameritrade Letter II, supra note 11, at 2. 25 See Citadel Letter, supra note 6, at 2. that this level of retention exceeds the 40% 42 TD Ameritrade Letter II, supra note 11, at 2. execution guarantee. In contrast, ISE notes that 81% 26 Id. at 3. 43 Some of the commenters opposed to the of the contracts executed through the ISE’s Price 27 See IMC Letter, supra note 6, at 1–2. proposal expressed concerns about the Improvement Mechanism received price 28 See id. competitiveness of the PIP in general and did not improvement over the NBBO during September 29 See ISE Letter, supra note 6, at 2. limit their comments to the fee change applicable 2011, whereas only 23% of PIP transactions were 30 See ISE Letter, supra note 6, at 5. to non-penny series that is before the Commission executed at a price that improved the NBBO in

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To assess the impact of the proposed was outside the NBBO (52%) and when emphasized low price improvement and fee change, the Commission’s review of BOX was at the NBBO (22%), it high retention rates, but their statistics the data focused on issues relating to the remained relatively stable within those focus on either penny classes, only part competitiveness of the PIP auction and categories during the period covered by of which are affected by the proposed extent of price improvement obtained the BOX Data Letter, varying no more rule change, or overall price for customers. In the BOX Data Letter, than 3%.51 improvement statistics, which are BOX provided monthly PIP execution For non-penny series, the price heavily influenced by the penny series quality statistics for the period of June improvement percentages declined because of the high volumes in the through October 2011, broken down by slightly for transactions when BOX was penny series in the BOX PIP.54 order size (1–10 contracts, 11–25 at the NBBO (despite the increase in the contracts, 26–50 contracts, 51–100 number of responders), and increased The Commission acknowledges that contracts, and 101 or more contracts). slightly when BOX was not at the NBBO data BOX provided is based on a sample BOX also provided summary data for (despite the decrease in the number of period that was both short and included the period when the fee was in effect responders). Overall, the data shows an anomalous month, August 2011, (August 1, 2011 to October 18, 2011, that BOX’s PIP provided very significant which was characterized by excluding September 13–20, 2011), as price improvement for non-penny series extraordinarily high volatility. This fact well as NBBO data for BOX for the both before and after the PIP fee was noted by Citadel, which stated that period of June through October 2011. change.52 As noted below in connection during periods of high volatility, The data provided by BOX covers the with BOX’s agreement to continue to spreads tend to widen, which in turn few months before and after the fee make publicly available PIP execution provides more opportunity for price change, and includes statistics on quality data during the pilot period, improvement.55 Citadel also provided percent and amount of price such data is relevant for the data showing spikes in price improvement, the number of responders consideration of broker-dealers when improvement in price improvement to a PIP auction, and the retention rates managing their best execution mechanisms on other exchanges during of Initiating Participants and those obligations. the month of August 2011.56 Two market makers who received PIP Thus, the data provided by BOX for commenters also cautioned that it takes directed orders. This data included the non-penny series do not suggest any time for the market to react to fee information on both penny and non- significant adverse impact of the changes.57 One noted that the full penny series, although, as noted, this proposed PIP fee change on the competitiveness of the PIP auction or proposed rule change only applies to In these series, the data show high retention rates PIP transactions in non-penny series. the extent of price improvement for by the Initiating Participant along with a low rate The data provided by BOX in the BOX orders executed in the PIP in those of price improvement. See BOX Data Letter, supra series.53 Both ISE and Citadel note 13, at 32. The retention rates in penny series Data Letter does not demonstrate a when BOX is not at the NBBO ranges from 62% to decline in the execution quality of 64% during the time period covered by the data. 51 See id. The Commission does recognize that, in orders executed in the PIP auction, in Further, the overall percentage of contracts the non-penny series, the number of responders receiving price improvement in the penny series series trading in an increment larger declined in auctions that were initiated when BOX ranges from 15% to 21% during the time period than a penny, during the period that the was quoting outside the NBBO and increased in covered by the data (with the highest percentage proposed rule change was in effect as auctions that were initiated when BOX was quoting being in August 2011). See id. ISE also notes high at the NBBO during this time period, as compared retention rates and low price improvement compared to the months immediately to the two months prior to the fee change. For percentages in the BOX PIP in the penny classes. example, in July 2011, the average number of preceding the proposed rule change. See ISE Letter II, supra note 11, at 1. The data does show that the nature of responders when BOX was at the NBBO was 1.31. In contrast, during the entire period that the This should be considered against the low the PIP auction and the execution of proposed fee change was in effect, the average percentage of time that BOX is at the NBBO, which orders within the auction varies number of responders when BOX was at the NBBO one commenter argued is a result of BOX’s overall significantly depending on whether the was 3.11. Further, in July 2011, the average number fee structure. See Citadel Letter II, supra note 11, at 8. BOX’s data show that the percentage of time auction relates to a penny series or of responders when BOX was not at the NBBO was 2.12. In contrast, during the entire period that the BOX was at the NBBO in all options classes ranges series with a larger increment, and on proposed fee change was in effect, the average from 30.00% to 32.70%. See BOX Data Letter, supra whether BOX is quoting at the NBBO or number of responders when BOX was not at the note 13, at 34. Citadel provided statistics for 60 outside the NBBO when the auction is NBBO was 1.75. See BOX Data Letter, supra note penny pilot symbols in September and October 2011 that calculate BOX’s percentage of time at the initiated. The following discussion of 13, at 29 and 31. However, as noted, even with these changes, the retention rate during these time NBBO at 18% for each month. See Citadel Letter II, the data focuses on the non-penny periods did not change significantly. supra note 11, at 8. series, which are the series affected by 52 See BOX Data Letter, supra note 13, at 32–33. The data suggests that some market participants the proposed rule change. The percentage of contracts receiving price may seek to route orders to BOX’s PIP when BOX improvement in non-penny series ranged from is not at the NBBO. We note that BOX established With respect to the non-penny series comparably structured PIP fees in the penny series that were affected by the PIP fee change, 55%–57% and the average price improvement amount ranged from $0.02 to $0.0269. See id. in August 2010 and subsequently increased the levels of in April 2011. See Securities Exchange Act the data show that the initiated order 53 Although the proposed rule change does not Release Nos. 62632 (August 3, 2010), 75 FR 47869 and directed order retention rate affect the PIP fee for options series in penny classes (August 9, 2010) (SR–BX–2010–049) (Notice of quoting in a penny increment, data for those series remained largely the same (both when Filing and Immediate Effectiveness of Proposed included in the BOX Data Letter does show that the BOX was outside the NBBO and when Rule Change) and 64198 (April 6, 2011), 76 FR majority of BOX’s PIP volume is in the series in 20426 (April 12, 2011) (SR–BX–2011–020) (Notice BOX was at the NBBO) during the penny classes quoting in penny increments when of Filing and Immediate Effectiveness of Proposed period the fee change was in effect as BOX is quoting outside the NBBO. See BOX Data Rule Change). compared to the two months prior.50 Letter, supra note 13, at 32. Commission staff 54 See BOX Data Letter, supra note 13, at 32. Specifically, although the retention rate examined the total number of contracts executed in the PIP compared to the total number of contracts During the period covered by the BOX data varied significantly between when BOX executed in penny series when BOX is not at the provided, the volume in the penny series ranged NBBO, as provided by BOX. Staff calculated that from 77% to 82% of total volume in the PIP. See September 2011. We note that the BOX PIP the following percentages of total monthly volume id. retention rate statistics cited by ISE refer to data on in the PIP occurred in penny series when BOX is 55 See Citadel Letter II, supra note 11, at 10. penny series, which are not affected by the fee outside the NBBO: June 2011, 66.3%; July 2011, 56 See Citadel Letter II, supra note 11, at 12. change in this proposed rule change. 63.0%; August 2011, 64.5%; September 2011, 57 See Citadel Letter II, supra note 11, at note 28 50 See BOX Data Letter, supra note 13, at 32. 67.0%; and October 2011, 70.9%. and ISE Letter II, supra note 11, at 1.

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impact of the proposal might not be the Commission has articulated that in communications relating to the reflected in recent data.58 meeting their best-execution proposed rule change between the In the BOX Response Letter, BOX obligations,61 broker-dealers should Commission and any person, other than offered to put the fee change on a regularly and rigorously examine those that may be withheld from the pilot.59 As noted above, BOX filed execution quality likely to be obtained public in accordance with the Amendment No. 1 to the proposed rule from different markets trading a provisions of 5 U.S.C. 552, will be change on January 30, 2012, which security.62 The Commission welcomes available for Web site viewing and amended the filing so that if the BOX’s willingness to make public data printing in the Commission’s Public Commission approved the changes to available, and notes that the data Reference Room, 100 F Street NE., the BOX Fee Schedule, although such assisted the Commission in evaluating Washington, DC 20549, on official changes would become effective upon the proposal. business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of such any such Commission approval, BOX III. Solicitation of Comments would make the changes operative on a filing also will be available for pilot basis beginning February 1, 2012, Interested persons are invited to inspection and copying at the principal and continuing until February 28, 2013. submit written data, views, and office of the Exchange. All comments BOX also represented that it will arguments concerning the foregoing, received will be posted without change; provide publicly-available data to the including whether Amendment No. 1 is the Commission does not edit personal Commission on a quarterly basis for the consistent with the Act. Comments may identifying information from duration of the pilot, which data would be submitted by any of the following submissions. You should submit only be substantially similar to that provided methods: information that you wish to make in the BOX Data Letter. This will allow Electronic Comments publicly available. All submissions the Commission to further evaluate the should refer to File Number SR–BX– • Use the Commission’s Internet effect of the fee structure on competition 2011–046 and should be submitted on comment form (http://www.sec.gov/ and the extent of price improvement for or before February 24, 2012. rules/sro.shtml); or orders executed in the PIP, in the • Send an email to rule- IV. Accelerated Approval of Proposed affected series, over a longer period of [email protected]. Please include File Rule Change, as Modified by time with a data set that should be more Number SR–BX–2011–046 on the Amendment No. 1 representative and less subject to the subject line. effect of potentially anomalous periods. Amendment No. 1 revised the In light of the data received, which Paper Comments proposed rule change to, among other things, specify that the proposed rule showed no adverse impact of the • Send paper comments in triplicate proposed rule change on the change will be operative on a pilot to Elizabeth M. Murphy, Secretary, basis, beginning February 1, 2012, and competitiveness of the PIP auction or Securities and Exchange Commission, the extent of price improvement in continuing until February 28, 2013. 100 F Street NE., Washington, DC Also in Amendment No. 1, BOX series that trade in non-penny 20549–1090. increments that are the subject of the committed to provide to the All submissions should refer to File Commission, on a quarterly basis, current proposal before the Number SR–BX–2011–046. This file certain monthly PIP transaction data in Commission, and the Exchange’s number should be included on the series traded in penny increments commitment to provide data during the subject line if email is used. To help the compared to series traded in nickel course of a pilot, which will allow the Commission process and review your increments, subdivided by when BOX is Commission to further evaluate the comments more efficiently, please use at the NBBO and when BOX is not at the impact of the fee during the course of only one method. The Commission will NBBO, including: (1) Volume by the pilot, the Commission finds that the post all comments on the Commission’s number of contracts traded; (2) retention proposed rule change, as modified by Internet Web site (http://www.sec.gov/ rate; (3) percentage of contracts Amendment No. 1, is consistent with rules/sro.shtml). Copies of the receiving price improvement when the the Act. submission, all subsequent Initiating Participant is the contra party Further, because BOX provided data amendments, all written statements and when others are the contra party; (4) to the Commission and agreed to make with respect to the proposed rule average number of participants the data publicly available, broker- change that are filed with the responding in the PIP; (5) average price dealers now have access to data on Commission, and all written improvement amount when the execution quality for BOX’s PIP that Initiating Participant is the contra party; they did not previously have, which is provide price improvement statistics to the (6) average price improvement amount Commission for their price improvement relevant for their consideration when when others are the contra party; and (7) managing their best execution mechanisms, the statistics are not made publicly available. percentage of contracts receiving price obligations.60 On numerous occasions, 61 See, e.g., Rule 2320 of the NASD’s Conduct improvement greater than $0.01, $0.02 Rules, NASD Notice to Members 06–58, Best 58 and $0.03 when the Initiating See Citadel Letter II, supra note 11, at note 28. Execution, http://www.finra.org/web/groups/ Participant is the contra party and when 59 See BOX Response Letter, supra note 12, at 6. industry/@ip/@reg/@notice/documents/notices/ 60 This proposal, the comment letters it has p017607.pdf (Oct. 2006) and NASD Notice to others are the contra party. The generated, and the proceedings the Commission has Members 01–22, Best Execution, http:// amendment addresses potential conducted, have highlighted the lack of visibility www.finra.org/web/groups/industry/@ip/@reg/ concerns that the data is based on a into publicly-available options execution quality @notice/documents/notices/p005080.pdf (April sample period that was both short and statistics across all of the exchanges, including for 2001). price improvement mechanisms. See also Citadel 62 See, e.g., Securities Exchange Release Nos. included an anomalous month (August Letter II, supra note 11, at note 7 (advocating the 37619A (September 6, 1996), 61 FR 48290, 2011), and will provide the Commission adoption of rules mandating publication of listed (September 12, 1996); 37046 (March 29, 1996), 61 with additional data with which to options execution quality metrics similar to FR 15322, (April 5, 1996) and 34902 (October 27, continue to assess the proposed rule Regulation NMS Rules 605 and 606) and TD 1994), 59 FR 55066 (November 22, 1994). See also Ameritrade Letter II, supra note 11, at 2–3 Securities Exchange Act Release No. 43590 change during the pilot period. (recommending expansion of Rule 605 to the (November 17, 2000), 65 FR 75414 (December 1, Accordingly, the Commission also finds options markets). Although certain exchanges 2000). good cause, pursuant to Section 19(b)(2)

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of the Act,63 for approving the proposed II. Self-Regulatory Organization’s listed products that the Exchange rule change, as modified by Amendment Statement of the Purpose of, and expended resources to develop. As No. 1, prior to the 30th day after the Statutory Basis for, the Proposed Rule such, the Exchange now proposes to date of publication of notice in the Change include the singly-listed products for Federal Register. In its filing with the Commission, the qualification towards the Liquidity Provider Sliding Scale along with their V. Conclusion self-regulatory organization included statements concerning the purpose of multiply-listed competitors, and only It is therefore ordered, pursuant to and basis for the proposed rule change exclude SPX, VIX or other volatility Section 19(b)(2) of the Act,64 that the and discussed any comments it received indexes, OEX and XEO from the proposed rule change (SR–BX–2011– on the proposed rule change. The text Liquidity Provider Sliding Scale. The 046), as modified by Amendment No. 1, of those statements may be examined at Exchange also proposes lowering the be, and hereby is, approved on an the places specified in Item IV below. tier levels in the Liquidity Provider accelerated basis. The Exchange has prepared summaries, Sliding Scale to reflect the exclusion of SPX, VIX or other volatility indexes, For the Commission, by the Division of set forth in sections A, B, and C below, of the most significant parts of such OEX and XEO. The Exchange also Trading and Markets, pursuant to delegated proposes amending the prepay amounts 65 statements. authority. relating to the Liquidity Provider Kevin M. O’Neill, A. Self-Regulatory Organization’s Sliding Scale that are listed in Footnote Deputy Secretary. Statement of the Purpose of, and 10 to reflect the changed tier levels. [FR Doc. 2012–2395 Filed 2–2–12; 8:45 am] Statutory Basis for, the Proposed Rule The Exchange proposes changing the BILLING CODE 8011–01–P Change name of the ‘‘Multiply-Listed Options 1. Purpose Fee Cap’’ to the ‘‘Clearing Trading Permit Holder Fee Cap in All Products SECURITIES AND EXCHANGE The Exchange proposes to make a Except SPX, VIX or other Volatility COMMISSION series of amendments to its Fees Indexes, OEX or XEO.’’ In actuality, the Schedule for 2012. First, the Exchange Multiply-Listed Options Fee Cap has [Release No. 34–66277; File No. SR–CBOE– proposes to eliminate the waiver for always applied to some singly-listed 2012–008] customer fees for transactions in options products, and only excluded the on the Nasdaq 100 Index Tracking Stock products listed above. As such, the Self-Regulatory Organizations; (‘‘QQQQ’’). Such transactions will now name has been somewhat inaccurate, Chicago Board Options Exchange, be assessed a fee of $0.18 per contract, and the Exchange hereby proposes to fix Incorporated; Notice of Filing and equivalent to the fee assessed for this issue in order to clear up any Immediate Effectiveness of a Proposed customer transactions in options on confusion. Rule Change To Amend the Fees other exchange-traded funds (‘‘ETFs’’), The Exchange also proposes, for Schedule exchange-traded notes (‘‘ETNs’’) and competitive reasons, to limit the HOLDRs. The purpose of this proposed Clearing Trading Permit Holder January 30, 2012. change is to make the fees for QQQQ (‘‘CTPH’’) Fee Cap in All Products Pursuant to Section 19(b)(1) of the options transactions equivalent to the Except SPX, VIX or other Volatility Securities Exchange Act of 1934 (the fees for transactions on other ETFs. Indexes, OEX or XEO (the ‘‘Cap’’) to ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 The Exchange also proposes to modify include only orders executed in open notice is hereby given that on January the Liquidity Provider Sliding Scale to outcry or the Exchange’s Automated 17, 2012, the Chicago Board Options exclude SPX, VIX or other volatility Improvement Mechanism (‘‘AIM’’), or as Exchange, Incorporated (the ‘‘Exchange’’ indexes, OEX and XEO. This scale offers qualified contingent cross (‘‘QCC’’) or or ‘‘CBOE’’) filed with the Securities consistently-lowering fees for market FLEXible Options (‘‘FLEX Options’’) and Exchange Commission participants who provide increasing transactions. NASDAQ OMX PHLX LLC (‘‘Commission’’) the proposed rule liquidity. The Exchange would have (‘‘PHLX’’) provides for a similar $75,000 change as described in Items I, II, and preferred to modify the Liquidity cap which also applies to firm open III below, which Items have been Provider Sliding Scale to include only outcry business, but does not apply to prepared by the Exchange. The multiply-listed products because the their PIXL mechanism, which, like AIM, Commission is publishing this notice to Exchange has expended considerable is a price improvement mechanism, and solicit comments on the proposed rule resources in developing its proprietary, does not apply to electronic transactions change from interested persons. singly-listed products. However, some in select symbols.3 The Exchange also CBOE singly-listed products are used to I. Self-Regulatory Organization’s proposes to include fees from QCCs and compete with multi-listed products that FLEX Options transactions towards the Statement of the Terms of Substance of are also listed on CBOE (for example, the Proposed Rule Change Cap to attract such orders to the the singly-listed XSP options compete Exchange. Limiting the Cap to include The Exchange proposes to amend the with the multiply-listed SPY options, only orders executed in open outcry or 1 Fees Schedule. The text of the proposed both of which approximate ⁄10 of the AIM or as QCC or FLEX Options rule change is available on the S&P 500 Index, and the singly-listed transactions allows CBOE to compete Exchange’s Web site (http:// DJX options compete with the multiply- with PHLX while not foregoing www.cboe.org/legal), at the Exchange’s listed DIA options, both of which are collecting the necessary fees to continue 1 Office of the Secretary, and at the based on ⁄100 of the value of the Dow to operate the Exchange. Commission’s Public Reference Room. Jones Industrial Average). Including the Correspondingly, the Exchange also multiply-listed products for proposes to cease excluding AIM Contra 63 15 U.S.C. 78s(b)(2). qualification towards the Liquidity Execution Fees from counting towards 64 15 U.S.C. 78s(b)(2). Provider Sliding Scale while excluding the Cap. Going forward, AIM Contra 65 17 CFR 200.30–3(a)(12). their singly-listed competitors might 1 15 U.S.C. 78s(b)(1). create a pricing advantage that might 3 See PHLX Fee Schedule, Section I, Part C (page 2 17 CFR 240.19b–4. discourage trading in some of the singly- 5) and Section II (page 7).

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Execution Fees will be considered in Facilitation Waiver because those are products. The purpose of this change is helping a CTPH reach the Cap (though the only products in which the to improve the Exchange’s competitive CTPHs will still continue to pay the Exchange faces competitive pricing position. The Exchange would also like AIM Contra Execution Fees after pressures, and the Exchange has to encourage the use of AIM, which is reaching the Cap). The purpose of this expended considerable resources in a price improvement mechanism. The change is to align and improve the developing its proprietary, singly-listed purpose of these changes is to lower fees Exchange’s competitive position in products. However, some CBOE singly- for CTPHs and thereby encourage relation to other exchanges. PHLX, as listed products are used to compete CTPHs to transact more business on the previously stated, has a similar $75,000 with multi-listed products that are also Exchange, thereby increasing volume cap which also applies to firm open listed on CBOE (as explained above). and liquidity. outcry business, but does not apply to Including the multiply-listed products Currently, the Exchange does not their PIXL mechanism, which, like AIM, in the CTPH Proprietary Facilitation assess the marketing fee on transactions is a price improvement mechanism, and Waiver while excluding their singly- in a number of securities. The Exchange does not apply to electronic transactions listed competitors might create a pricing now proposes to remove the ETFs EWC, in select symbols.4 By including AIM advantage that might discourage trading EWT, MNX, MVR, QQQQ, RSP, VPL, Contra Execution Fees towards the Cap, in some of the singly-listed products VWO and XBI (the ‘‘New Marketing Fee and at a lower rate than that which that the Exchange expended resources Options’’) from the list of securities that PHLX charges in its PIXL mechanism, to develop. As such, the Exchange are not assessed the marketing fee, and the Exchange is providing a proposes to include the singly-listed begin assessing the marketing fee on demonstrably advantageous pricing products in the CTPH Proprietary qualifying transactions in those schedule for this business.5 Facilitation Waiver along with their securities. Going forward, transactions Additionally, as at PHLX, electronic fees multiply-listed competitors, and only in the New Marketing Fee Options will in the busiest options classes are not exclude SPX, VIX or other volatility be assessed a marketing fee of $0.25 per counted towards the Cap. As such, the indexes, OEX and XEO from the CTPH contract, like nearly all other ETFs. The Exchange proposes to include all AIM Proprietary Facilitation Waiver. The purpose of this change is to increase transaction fees, including the AIM CTPH Proprietary Facilitation Waiver is volume on the New Marketing Fee Contra Execution Fees, towards limited to executions in AIM or open Options. By assessing a marketing fee on reaching the Cap (when they apply) to outcry, or as a QCC or FLEX Options the New Marketing Fee Options improve our competitive position. The transaction, because those are the only transactions, the Exchange will be able Exchange would also like to encourage ways to execute a facilitation trade on to use the money collected to attract the use of AIM, which is a price the Exchange. volume, pursuant to the Exchange’s improvement mechanism. Finally, it It should be noted that, for the marketing fee plan. The Exchange should be clarified that while a purposes of the CTPH Proprietary believes that the demographics of the responder to an AIM auction pays a fee Facilitation Waiver, the Exchange is New Marketing Fee Options order flow that is not counted towards the Cap, this defining ‘‘facilitation order’’ as any is inclined to seek economic is because only Market-Makers can paired order in which a CTPH (‘‘F’’) considerations such as payment for respond to an AIM auction, and the Cap origin code is contra to any other origin order flow, so a marketing fee for the only applies to CTPHs (and not Market- code, provided the same executing New Marketing Fee Options trades is Makers). The Cap will remain limited to broker and clearing firm are on both necessary to attract volume and CTPHs, as they contribute capital to sides of the order. The reason only liquidity in the New Marketing Fee facilitate execution of customer orders, CTPH orders can qualify as ‘‘facilitation Options. which in turn provides a deeper pool of orders’’ is that the Exchange’s systems CBOE implemented on December 1, liquidity that benefits all market cannot determine whether or not an 2010,8 and extended on April 1, 2011,9 10 11 participants. order is a facilitation order unless such July 1, 2011, and October 1, 2011 a Similarly, PHLX waives its equity order comes in with the ‘‘F’’ origin code, pilot program relating to the assessment options transaction fees for firms and only CTPH orders come in with the of the marketing fee in the SPY option executing facilitation orders when the ‘‘F’’ origin code. As such, the class. Specifically, CBOE previously firms are trading in their own Exchange’s systems would be unable to determined not to assess the marketing proprietary accounts.6 As such, the determine whether or not an order from fee on electronic transactions in options Exchange, for competitive reasons, any other market participant is a on Standard & Poor’s Depositary proposes to waive the transaction fees facilitation order. Further, PHLX only Receipts (‘‘SPY options’’) (a unique and for CTPH Proprietary facilitation orders waives fees on facilitation orders for active class), except that it would (other than SPX, VIX or other volatility firms (which are similar to CTPHs).7 continue to assess the marketing fee on indexes, OEX or XEO) executed in AIM Along with ceasing excluding AIM electronic transactions resulting from or open outcry, or as a QCC or FLEX Contra Execution Fees from counting AIM pursuant to CBOE Rule 6.74A and Options transaction (the ‘‘CTPH towards the Cap, the Exchange also transactions in open outcry (the ‘‘SPY Proprietary Facilitation Waiver’’) in proposes ceasing excluding contracts Marketing Fee Waiver’’). The SPY order to align our competitive position executed in AIM that incur the AIM Marketing Fee Waiver is intended to and even improve upon it (as PHLX Contra Execution Fee from counting towards the CBOE Proprietary Products 8 See Securities Exchange Act Release No. 63470 does not waive such a fee for orders (December 8, 2010), 75 FR 78284 (December 15, executed in its PIXL mechanism, in the Sliding Scale. Going forward, contracts executed in AIM that incur the AIM 2010) (SR–CBOE–2010–108). select symbols). The Exchange would 9 See Securities Exchange Act Release No. 64212 have preferred to include only multiply- Contra Execution Fee will count (April 6, 2011), 76 FR 20411 (April 12, 2011) (SR– listed products in the CTPH Proprietary towards helping a CTPH reach a higher CBOE–2011–033). tier in the CBOE Proprietary Products 10 See Securities Exchange Act Release No. 64818 Sliding Scale, and thereby pay lower (July 6, 2011), 76 FR 40978 (July 12, 2011) (SR– 4 See PHLX Fee Schedule, Section I, Part C (page CBOE–2011–060). 5) and Section II (page 7). fees for executions in CBOE proprietary 11 See Securities Exchange Act Release No. 65517 5 See PHLX Fee Schedule, Section IV (page 10). (October 7, 2011), 76 FR 63976 (October 14, 2011) 6 See PHLX Fee Schedule, Section II (pages 7–8). 7 See PHLX Fee Schedule Section II (pages 7–8). (SR–CBOE–2011–097).

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attract more SPY customer volume and that are executed in open outcry or AIM encourage greater customer trading in allow CBOE market-makers to better (the ‘‘C Waiver’’).12 This fee waiver is these products. The increased volume compete for order flow. The Exchange due to expire on December 31, 2011. and liquidity resulting from greater hereby proposes to extend the SPY The Exchange has periodically customer trading in those products will Marketing Fee Waiver to also include continued to extend the C Waiver for benefit all market participants trading in qualifying transactions in QQQQ under successive three-month periods so that these products. The Exchange also the same terms as those that now apply the Exchange could simply allow the C proposes adding trades executed as a to SPY (the ‘‘SPY and QQQQ Marketing Waiver to expire should the Exchange FLEX Options transaction to the C Fee Waiver’’) (previously, transactions desire that the C Waiver would no Waiver for Index Options for in QQQQ were not subject to the longer apply. The Exchange now competitive reasons. A number of other marketing fee, but as QQQQ is one of proposes to cease extending the C exchanges do not charge for public the New Marketing Fee Options, the Waiver for three-month periods and customer FLEX Options transactions in Exchange above proposes to make simply leave the C Waiver in the Fees ETF, ETN and HOLDRs options.14 QQQQ transactions subject to the Schedule. If the Exchange later The Exchange proposes raising the marketing fee). Designated Primary determines that the C Waiver should no Floor Broker Workstation (‘‘FBW’’) fee Market-Makers and Preferred Market- longer apply, the Exchange would have from $225 per month (per login ID) to Makers can utilize the marketing fee to file to remove the C Waiver from the $350 per month (per login ID). The funds to attract orders from payment Fees Schedule, just like any other non- Exchange’s vendor that provides the accepting firms that are executed in temporary provision in the Fees FBW charges the Exchange more than AIM and in open outcry. The marketing Schedule. $225 per month (per login ID) for the fee funds received by payment- The Exchange also proposes to extend FBW (actually, more than $350 per accepting firms may be used to offset the C Waiver to all ETF, ETN and month (per login ID)), and the Exchange transaction and other costs related to the HOLDRs options (the ‘‘C Waiver for had been subsidizing those costs for execution of an order in AIM and in Index Options’’). The C Waiver for FBW users. However, it is no longer open outcry, including in the SPY and Index Options is intended to attract economically feasible to subsidize those QQQQ option classes. CBOE believes more customer volume on the Exchange costs to that great an extent. As such, that the current demographics of in these products. For competitive the Exchange proposes increasing the electronic, non-AIM SPY and QQQQ reasons, the customer base for open FBW fee to $350 per month (per login option order flow is more driven by the outcry and AIM trading in ETF, ETN ID), which still includes a subsidy for displayed best bid or offer (‘‘BBO’’) and and HOLDRs options appears more FBW users (though smaller). size than payment for order flow sensitive to fees than the customer base The Exchange also proposes raising considerations, and thus assessment of for such trading in other products. the PULSe On-Floor Workstation the marketing fee for those transactions Moreover, CBOE proposes the C Waiver (‘‘PULSe’’) fee from $225 per month (per is not a differentiator at this time. Going to compete with other exchanges. For login ID) to $350 per month (per login forward, the marketing fee will continue example, NYSE Arca, Inc. (‘‘Arca’’) does ID). The Exchange expended significant to be assessed on open outcry not charge customer transaction fees for resources developing PULSe, and transactions in SPY and be assessed on customer transactions in ETF, ETN and intends to recoup some of those costs. open outcry transactions in QQQQ (as HOLDRs options.13 As such, the Further, because PULSe and FBW serve QQQQ is one of the New Marketing Fee Exchange desires to waive customer similar functions, the Exchange desires Options). transaction fees for ETF, ETN and to assess equivalent fees for each so as This SPY Marketing Fee Waiver pilot HOLDRs options executed in open not to offer a pricing advantage for one program is scheduled to terminate on outcry or via AIM in order to better over the other. December 31, 2011. The Exchange has compete (while Arca does not have a The Exchange also proposes to reduce periodically continued to extend the price improvement mechanism Market-Maker Trading Permit monthly SPY Marketing Fee Waiver for comparable to AIM, the Exchange costs from $6,000 per permit to $5,500 successive three-month periods so that desires to include AIM in the C Waiver per permit. Furthermore, for those who the Exchange could simply allow the to encourage the use of this price commit to the Market-Maker Trading SPY Marketing Fee Waiver to expire improvement mechanism). The Permit Holder Sliding Scale, which is should the Exchange desire that the SPY Exchange also desires to apply the C available for all Market-Maker Trading Marketing Fee Waiver would no longer Waiver for Index Options to QCC trades Permits held by affiliated Trading apply. The Exchange now proposes to because a QCC trade is a paired order, Permit Holders and Trading Permit cease extending the SPY Marketing Fee and the only ways to execute paired Holder (‘‘TPH’’) organizations that are Waiver for three-month periods and orders are via AIM and open outcry, so used for appointments in any options simply leave the SPY and QQQQ QCC trades should then be included in classes other than SPX, VIX, OEX and Marketing Fee Waiver in the Fees the C Waiver for Index Options, too. The XEO, the Exchange proposes to reduce Schedule. If the Exchange later Exchange also believes that waiving the the monthly cost from $6,000 per permit determines that the SPY and QQQQ transaction fee for such customer trades to $5,500 per permit for the first 10 Marketing Fee Waiver should no longer in ETF, ETN and HOLDRs options will permits, from $4,800 to $4,000 per apply, the Exchange would have to file permit for permits 11–20, and from to remove the SPY and QQQQ 12 See Securities Exchange Act Release No. 34– $3,000 to $2,500 per permit for permits Marketing Fee Waiver from the Fees 62902 (September 14, 2010), 75 FR 57313 21 and greater. The purpose of this (September 20, 2010), Securities Exchange Act change is to reduce access costs and Schedule, just like any other non- Release No. 34–63422 (December 3, 2010), 75 FR temporary provision in the Fees 76770 (December 9, 2010), Securities Exchange Act thereby encourage greater Market-Maker Schedule. Release No. 34–64197 (April 6, 2011), 76 FR 20390 access, which thereby brings greater As reflected in Footnote 8 of the Fees (April 12, 2011), Securities Exchange Act Release Schedule, the Exchange currently No. 34–64817 (July 6, 2011), 76 FR 40948 (July 12, 14 See NYSE Amex Options Fee Schedule, page 3, 2011), Securities Exchange Act Release No. 34– waives the $.18 per contract transaction which shows Non BD Customer Manual 65518 (October 7, 2011), 76 FR 63971 (October 14, transactions (the manner by which FLEX Options fee for public customer (‘‘C’’ origin 2011) and CBOE Fees Schedule, footnote 8. are traded on the NYSE Amex Options market) to code) orders in SPY and XLF options 13 See Arca Options Fee Schedule, page 3. be assessed a $0.00 transaction fee.

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trading activity, volume and liquidity, a TPH or TPH organization has more at least two floor brokers: One to answer benefitting all market participants. than one Floor Broker Trading Permit the phones and receive trade and order The Exchange would also like to that is utilized to execute VIX options information, and another to execute amend the date by which a Market- transactions, the VIX options executions trades. However, for floor broker Maker TPH (‘‘MMTPH’’) must commit of that TPH or TPH organization shall be ‘‘firms’’ that only have one floor broker, to the Market-Maker Trading Permit aggregated for purposes of determining that broker answers the phones and the Sliding Scale. The Market-Maker this additional monthly fee and the Exchange often ends up executing the Trading Permit Holder Sliding Scale Trading Permit Holder or TPH trades for the floor broker. As such, in was instituted in SR–CBOE–2011–004, organization shall be charged a single order to recoup the costs involved for which was filed on January 3, 2011. As $2,000 fee for the combined VIX options the Exchange, as well as normalize base such, the text of the Market-Maker executions through those Floor Broker business costs across Floor Broker Trading Permit Sliding Scale was Trading Permits if the executions Trading Permit Holder operations to drafted to allow MMTPHs to notify the exceed 20,000 contracts per month. ensure that the Exchange is not unduly Registration Services Department of Also, the Exchange proposes to subsidizing one operation over another, their commitments to the Market-Maker remove from the regulatory circular the base rate for Floor Broker Trading Trading Permit Sliding Scale for a year regarding Trading Permit Holder Permits will be $9,000 per month. as late as January 25 of that year. Application and Other Fees language However, the Exchange will also However, since the rule is now in place, that would apply this fee to any Floor institute a sliding scale for Floor Broker and the Exchange notified MMTPHs of Broker Trading Permit Holder whose Trading Permit Holders that commit to this proposed change on December 8, aggregate VIX options executed a minimum number of Floor Broker 2011,15 giving them ample time to contracts during the month comprise Trading Permits for the calendar year. commit, the Exchange proposes to more than 30% of the Floor Broker For those who do, the TPH’s first Floor amend the language to require that a Trading Permit Holder’s exchange-wide Broker Trading Permit will cost $9,000 MMTPH notify the Registration Services total executed contracts. This language per month. Permits 2 through 7 will cost Department of such a commitment by was to have been removed in SR– $6,000 per month per permit (Tier 1), December 25th (or the preceding CBOE–2011–073, and indeed was and any permits above 7 will cost a TPH business day if the 25th is not a removed from one section of the $3,000 per permit per month (Tier 2). business day) of the year prior to each regulatory circular, as well as the Fees The purpose of the Floor Broker Trading year in which the MMTPH would like Schedule, but was inadvertently left in Permit Sliding Scale is to encourage to commit to the Market-Maker Trading another section of the regulatory floor broker firms to increase their scale Permit Sliding Scale. circular.16 Removing this language will and commitment to the Exchange, The Exchange also proposes to raise alleviate any confusion. thereby bringing more business to the the VIX Tier Appointment fee from The Exchange also proposes to amend Exchange, resulting in greater trading $1,000 per month to $2,000 per month. the qualification for the VIX Tier volume and liquidity, which benefits all ‘‘VIX’’ stands for CBOE Market Appointment fee to state that a Market- market participants. Volatility Index, and VIX options are a Maker TPH that has a VIX Tier To qualify for the rates set forth in proprietary product developed by the Appointment during a given month will Tiers 1 and 2 in the Floor Broker Exchange. In order for a Market-Maker not be assessed the VIX Tier Trading Permit Sliding Scale, the Trading Permit to be used to act as a Appointment fee unless that Market- applicable Trading Permit Holder(s) Market-Maker in VIX options, the TPH Maker TPH trades at least 100 VIX and/or TPH organization(s) must must obtain a VIX Tier Appointment for options contracts electronically while commit in advance to a specific tier that that Market-Maker Trading Permit. Each that appointment is active. includes a minimum number of eligible VIX Tier Appointment may only be Occasionally, a Market-Maker Floor Broker Trading Permits for each used with one designated Market-Maker accidentally elects for a VIX Tier calendar year. To do so, a Floor Broker Trading Permit. The VIX Tier Appointment, or elects for a VIX Tier Trading Permit Holder must notify the Appointment fee is currently assessed to Appointment and for some reason does Exchange’s Registration Services any Market-Maker Trading Permit not end up trading VIX options. Under Department by December 25th (or the Holder that either (a) has a VIX Tier the current language of the Fees preceding business day if the 25th is not Appointment at any time during a Schedule, such a Market-Maker would a business day) of the year prior to each calendar month; or (b) trades at least still be assessed the VIX Tier year in which the Floor Broker Trading 1,000 VIX options contracts in open Appointment fee, despite not actually Permit Holder would like to commit to outcry during a calendar month. VIX trading in VIX options. The VIX Tier this sliding scale of the tier of eligible trading volume has increased recently, Appointment fee is intended to be Floor Broker Trading Permits committed and due to increased demand, the assessed only to those Market-Makers to by that Floor Broker Trading Permit Exchange proposes to raise the VIX Tier that actually trade in VIX options. As Holder for that year (Floor Brokers were 17 Appointment fee in order to recoup such, the proposed change would notified of this on December 8, 2011 ). costs from developing VIX options, as ensure that only those Market-Makers Floor Brokers are not obligated to well as other administrative costs. In a that actually do trade in VIX options are commit to either tier. However, the related change, the Exchange also assessed the VIX Tier Appointment fee. discounts will apply only to those that proposes to raise the amount of the fee The Exchange proposes to institute a do commit to Tier 1 or Tier 2 for the assessed to any Floor Broker Trading Floor Broker Trading Permit Sliding calendar year. Trading Permit Holders Permit Holder that executes more than Scale, which will be available for all that are not eligible for and/or do not 20,000 VIX contracts during a month Floor Broker Trading Permits held by commit to Tier 1 or Tier 2 will pay the from $1,000 to $2,000 in order to remain affiliated TPHs and TPH organizations. standard rate of $9,000 for each Floor consistent with the amount of the VIX Most floor broker firms have, and need, Broker Trading Permit, regardless of the Tier Appointment fee assessed to total number of Floor Broker Trading Market-Makers. If and to the extent that 16 See Securities Exchange Act Release No. 65019 Permits used. If a TPH chooses to (August 3, 2011), 76 FR 48931 (August 9, 2011) 15 See Exchange Regulatory Circular RG11–158. (SR–CBOE–2011–073). 17 See Exchange Regulatory Circular RG11–158.

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commit to either Tier 1 or Tier 2, that year), for the committed tier, the TPH Permit that is utilized to execute SPX TPH will be responsible for the will remain responsible for paying for options transactions, the SPX minimum number of permits in the the tier minimum for the remainder of executions of that Trading Permit commitment tier for the remainder of the calendar year. Holder or TPH organization shall be the calendar year. Even if a TPH does TPHs will be responsible to pay for at aggregated for purposes of determining not maintain the minimum level of least the minimum amount of eligible this additional monthly fee and the eligible Trading Permits in the tier, that Floor Broker Trading Permits in the Trading Permit Holder or TPH TPH is still responsible for the committed tier for the calendar year on organization shall be charged a single minimum payment for that commitment a monthly basis unless the TPH entirely $3,000 fee for the combined SPX tier for the remainder of the calendar terminates as a TPH during the year. If executions through those Floor Broker year. For example, a TPH that commits a TPH combines, merges, or is acquired Trading Permits if the executions to eight eligible permits per month will during the course of the calendar year, exceed 20,000 contracts per month. The be subject to a minimum monthly access the surviving TPH will maintain Exchange already assesses a similar fee fee of $48,000 (1 at $9,000 plus 6 at responsibility for the committed number to Floor Broker Trading Permit Holders $6,000 plus 1 at $3,000 = $48,000) for of eligible Floor Broker Trading Permits. that execute more than 20,000 VIX that calendar year. Any additional The proposed Floor Broker Trading transactions during a month. The Permits will increase the fee by the Permit Sliding Scale is available to all purpose of this change is to reflect the applicable amount. floor brokers. In essence, CBOE is opportunity provided to agents A TPH will be able to commit to a offering a discounted fee in return for a servicing customers in such a high- higher tier of the sliding scale for the commitment for a designated period of volume product. Further, this fee will remainder of a calendar year, during a time. Trading Permit Holders are not equalize the opportunity between commitment year, if the TPH obtains precluded from providing notice that Market-Makers and Floor Brokers in enough eligible Floor Broker Trading they wish to participate in the Floor SPX options. Also, the Exchange Permits and provides written Broker Trading Permit Sliding Scale expended considerable resources notification to the Registration Services throughout a calendar year as long as developing SPX options and desires to Department by the 25th day of the such notice is provided by the 25th day recoup such expenses and other month preceding the month in which of the preceding month of effectiveness. administrative costs. the higher tier will be effective (or the CBOE is proposing to offer the Floor The Exchange also proposes to lower preceding business day if the 25th is not Broker Trading Permit Sliding Scale as the fee for the Quoting and Order Entry a business day). For example, a TPH a benefit to those Trading Permit Bandwidth Packet (the ‘‘Packet’’) from may provide written notice to commit to Holders that commit in advance. There $3,000 per month to $2,750 per month. Tier 1 effective July 1 for the remainder is no obligation to commit to either Tier The amount of the fee for the Packet has of the calendar year as long as the TPH 1 or Tier 2 of the Floor Broker Trading always been set at half the price of the obtains enough eligible Trading Permits Permit Sliding Scale. base rate for a Market-Maker Trading and provides written notice by June The Exchange also proposes to assess Permit. Since the Exchange proposes to 25th that the TPH would like to an additional monthly fee of $3,000 per lower that amount from $6,000 to participate in the sliding scale starting month to any Floor Broker Trading $5,500, the Exchange correspondingly in July for the remainder of that Permit Holder that executes more than proposes to lower the amount of the fee calendar year. Even if that TPH 20,000 SPX contracts during the month. for the Packet to $2,750. subsequently falls below the minimum If and to the extent that a Trading The Exchange proposes amending a number of eligible Floor Broker Trading Permit Holder or TPH organization has number of the TPH Application fees, as Permits (in the committed calendar more than one Floor Broker Trading listed below:

Current fee Proposed new Fee amount fee amount

Individual ...... $2,500 $3,000 Non-Trading Permit Holder Customer Business ...... 2,500 3,000 Associated Person ...... 350 500 TPH Organization Application ...... 4,000 5,000 Subject to Statutory Disqualification ...... 2,750 5,000 Inactive Nominee Status Change (Trading Permit Swap). a. Submission before 4pm (day prior to effective date) ...... 50 55 b. Submission after 4pm (day prior to effective date) ...... 100 110 c. Submission after effective date ...... 200 220 TPH Organization Renewal Fee ...... 2,000 2,500

As before, application fees related to a the fees in order to recoup such Trading Registration Program, which is TPH organization’s structural change are increased costs. operated through WebCRD, caused a capped at $10,000 (e.g. change from a The Exchange proposes to adopt an significant workload increase in the limited partnership to a limited liability Initial Proprietary Registration fee of Exchange’s Registration Department. corporation). The Trading Permit $50 and an Annual Proprietary Over the course of the year, CBOE Transfer Fee is capped at $2,000 for a Registration fee of $25. During 2011 processed over 4,000 registrations via Trading Permit transfer request covering CBOE implemented a new proprietary Web-CRD under this new requirement, multiple Trading Permits. The costs of trading registration requirement (the of which about 2,500 required further processing of these applications and ‘‘Proprietary Trading Registration consideration of a waiver request. The activities have increased, and the Program’’), primarily at the direction of Proprietary Trading Registration Exchange therefore proposes increasing the Commission. The Proprietary Program involved significant work in

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implementing the registrations, these changes are in line with amounts trading in those products will be examining waiver requests and assessed for connectivity at other charged the same fees for such answering testing related questions. Due exchanges. ISE assesses a FIX fee of transactions, and because the Exchange to the Proprietary Trading Registration $1000 for a minimum of two monthly expended significant resources in Program, the Exchange hired an extra login IDs (so, $500 for one).19 The developing those products. The staff member to address this increased NASDAQ Stock Market LLC’s Options Exchange would have preferred to workload, as well as paid a sizable set- Market (‘‘NOM’’) assesses a fee of $500 modify the Liquidity Provider Sliding up fee to FINRA and incurred per FIX port per month, as well.20 Scale to include only multiply-listed significant testing costs. The Proprietary Regarding the Sponsored User fees, the products. However, some CBOE singly- Trading Registration Program will Exchange currently charges a different listed products are used to compete continue to require on-going work and rate for regular access and Sponsored with multi-listed products that are also testing and monitoring of the Web-CRD User access, and merely proposes to listed on CBOE (as explained above). system, as well as consideration of new increase the rates in equal proportion. Therefore, the Exchange proposes to applicants and waiver requests. In order These proposed changes to the Fees include the singly-listed products for to offset these costs, the Exchange Schedule took effect on January 1, 2012, qualification towards the Liquidity proposes the Initial Proprietary per SR–CBOE–2011–121, which was Provider Sliding Scale along with their Registration fee and the Annual withdrawn on January 17, 2012, the multiply-listed competitors, and only Proprietary Registration fee. The Initial same day that this rule filing is being exclude SPX, VIX or other volatility Proprietary Registration fee will be submitted. indexes, OEX and XEO from the payable by any TPH organization for the Liquidity Provider Sliding Scale. 2. Statutory Basis registration of any associated person on Finally, lowering the tier levels in the WebCRD with the Proprietary Trader The proposed rule change is Liquidity Provider Sliding Scale is registration. The Annual Proprietary consistent with Section 6(b) of the reasonable because these lowered Registration fee will be payable Act,21 in general, and furthers the amounts reflect the subtraction of trades annually by any TPH organization for objectives of Section 6(b)(4) 22 of the Act in the products that are being excluded, each associated person that the TPH in particular, in that it is designed to and because this will allow market organization maintains registered on provide for the equitable allocation of participants to more easily reach those WebCRD with the Proprietary Trader reasonable dues, fees, and other charges tiers and pay lower fees, and is registration. among CBOE Trading Permit Holders equitable and not unfairly The Exchange also proposes to and other persons using Exchange discriminatory because the same tier increase the fees charged for access to a facilities. Amending the fee for amounts are applicable to all market Network Access Port (1 Gigabyte) to customer QQQQ transactions is participants that qualify for the $500 per month for regular access and reasonable because the amount of the Liquidity Provider Sliding Scale. $1000 per month for Sponsored User fee is equivalent for customer Limiting the Cap to include only access. The Exchange recently made a transactions on all other ETF options, orders executed in open outcry and AIM sizable investment to upgrade the and is equitable and not unfairly or as a QCC or FLEX Options equipment involved in the Network discriminatory because the same fee transaction, and thereby excluding Access Port, and thereby proposes to will be assessed for all customer regular non-AIM electronic orders, is increase the fees in order to recoup such transactions in QQQQ options. The reasonable because the execution of costs and maintain such equipment in amount being charged to customers, less regular non-AIM electronic orders will the future. The Exchange currently than that assessed to other market merely continue to incur the same charges a different rate for regular access participants for similar transactions, transaction fees they normally would; and Sponsored User access, and merely recognizes a historical preference the only change is that they will no proposes to increase the rates in equal towards encouraging customer longer be cut off at the amount of the proportion. Moreover, this change in transactions. Further, offering lower Cap. Further, other exchanges also limit Network Access Port fees is in line with transaction fees for customer similar firm fee caps in a similar, and the amounts assessed for similar access transactions incentivizes customers to even less-inclusive, manner.23 Limiting at other exchanges. The International execute trades on the Exchange, and this the Cap in this fashion is equitable and Securities Exchange, Inc. (‘‘ISE’’) increased customer activity provides not unfairly discriminatory because assesses a fee of $500 for network access greater market volume and liquidity, AIM and open outcry, as auction up to and including 1 gigabyte.18 which benefit all market participants. mechanisms, are used by CTPHs to The Exchange also proposes to Excluding SPX, VIX or other volatility bring liquidity to the Exchange, which increase the fees charged for a CMI indexes, OEX or XEO from the Liquidity benefits all market participants, while Login ID and FIX Login ID to $500 per Provider Sliding Scale is reasonable regular electronic transactions are used month for regular access and $1000 per because market participants trading in by CTPHs to take liquidity (since only month for Sponsored User access. Firms those products will simply pay the Market-Makers can send quotes through may access CBOEdirect via either a CMI normal execution fees for trading in the regular electronic system, while Client Application Server or a FIX Port, such products, fees which have been CTPHs can only send orders, which take depending on how their systems are and currently are accepted fee levels. liquidity) (QCC transactions can only be configured. As with the Network Access Excluding SPX, VIX or other volatility executed via AIM, and FLEX Options Port, the Exchange recently made a indexes, OEX or XEO from the Liquidity transactions can only be executed via sizable investment to upgrade the Provider Sliding Scale is equitable and the auction mechanisms of open outcry equipment involved in the CMI Client not unfairly discriminatory because all Application Servers and FIX Ports, and similarly-situated market participants 23 See PHLX Fee Schedule, Section I, Part C (page thereby proposes to increase the fees in 5) and Section II (page 7), provides for a similar $75,000 cap which also applies to firm open outcry order to recoup such costs and maintain 19 See ISE Schedule of Fees, page 8. business, but does not apply to their PIXL such equipment in the future. Moreover, 20 See NOM Rule 7053. mechanism, which, like AIM, is a price 21 15 U.S.C. 78f(b). improvement mechanism, and does not apply to 18 See ISE Schedule of Fees, page 9. 22 15 U.S.C. 78f(b)(4). electronic transactions in select symbols.

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and CFLEX (which is a FLEX Options multiply-listed products. However, among the most active and liquid auction platform similar to AIM)). some CBOE singly-listed products are classes and trade with significant Moreover, limiting the Cap in this used to compete with multi-listed electronic trading volume. Because of fashion is equitable and not unfairly products that are also listed on CBOE their current trading profiles, CBOE discriminatory because other exchanges (as described above). Therefore, the believes it might be better able to attract also limit similar firm fee caps in a Exchange proposes to include the electronic liquidity by not assessing the similar, and even less-inclusive, singly-listed products for qualification marketing fee on electronic SPY and manner,24 and because these limits towards the CTPH Proprietary QQQQ transactions and therefore apply to all CTPHs equally. Further, Facilitation Waiver along with their proposes to make permanent the current while a responder to an AIM auction multiply-listed competitors, and only waiver. However, CBOE believes that pays a transaction fee that is not exclude SPX, VIX or other volatility continuing to collect the marketing fee counted towards the Cap, this is indexes, OEX and XEO from the CTPH on open outcry transactions, as well as equitable and not unfairly Proprietary Facilitation Waiver. electronic orders submitted to AIM for discriminatory because only Market- Limiting the CTPH Proprietary price improvement, from Market-Makers Makers can respond to an AIM auction, Facilitation Waiver to orders executed that trade with customer orders from and the Cap only applies to CTPHs, and via AIM or open outcry or as a QCC or payment accepting firms would not Market-Makers. This situation is the FLEX Options transaction is equitable continue to attract liquidity in SPY and same for open outcry. The Cap is and not unfairly discriminatory because QQQQ to the floor and AIM mechanism, limited to CTPHs because they these limits apply to all CTPHs equally, respectively. Brokers take payment for contribute capital to facilitate execution and because these are the only manners order flow (the payments received from of customer orders, which in turn in which facilitation trades can be the collection of the marketing fee) into provides a deeper pool of liquidity that effected. their decision-making equations benefits all market participants. Ceasing excluding AIM Contra regarding AIM and open outcry when Assessing no transaction fees for Execution Fees from counting towards deciding where to send orders in SPY CTPH Proprietary facilitation orders the Cap as well as ceasing excluding and QQQQ. Accordingly, CBOE believes (other than SPX, VIX or other volatility contracts executed in AIM that incur the making permanent the waiver is indexes, OEX or XEO) executed in open AIM Contra Execution Fee from equitable and not unfairly outcry or AIM or as a QCC or FLEX counting towards the CBOE Proprietary discriminatory because it reflects the Options transaction is reasonable Products Sliding Scale is reasonable trading profiles of SPY and QQQQ and because other exchanges also waive because it will allow for CTPHs to pay is designed and intended to attract equity options transaction fees for firms lower regular transaction fees than they additional order flow in SPY and QQQQ executing facilitation orders when the currently do (though the AIM Contra to the Exchange, which would benefit firms are trading in their own Execution Fee will still be assessed). all market participants. 25 These changes are equitable and not proprietary account. This change is The Exchange believes the proposed unfairly discriminatory because they equitable and not unfairly extension of the C Waiver for Index apply equally to all CTPHs, just as the discriminatory because it will encourage Options is equitable and not unfairly Cap and the CBOE Proprietary Products CTPHs to transact more business on the discriminatory because it would apply Sliding Scale had prior to these changes. Exchange, thereby increasing volume uniformly to all public customers Additionally, these changes will and liquidity, which will benefit all trading ETF, ETN and HOLDRs options market participants, and also because it encourage CTPHs to transact more business on the Exchange, thereby in open outcry and AIM, and because will apply to all firms equally. The waiving the transaction fee for such CTPH Proprietary Facilitation Waiver is increasing volume and liquidity, which will benefit all market participants. customer trades is designed to attract limited to executions in AIM or open new order flow to the Exchange. The outcry, or as a QCC or FLEX Options Removing the New Marketing Fee Options from the list of securities that resulting increased volume and transaction, because those are the only liquidity will benefit all market ways to execute a facilitation trade on are not assessed the marketing fee, and beginning to assess a $0.25 per contract participants trading in these products. the Exchange. The Exchange believes the proposed Excluding SPX, VIX or other volatility marketing fee on qualifying transactions in those securities, is reasonable extension of the C Waiver for Index indexes, OEX or XEO from the CTPH Options is reasonable because it would Proprietary Facilitation Waiver is because it is the same amount as is charged for transactions in other ETFs. continue to provide cost savings during equitable and not unfairly the extended waiver period for public discriminatory because all similarly- This proposed change is equitable and not unfairly discriminatory because it is customers trading SPY and XLF options situated market participants trading in and begin to provide such savings to those products will be charged the same designed and intended to attract additional order flow in the New public customers trading all other ETF, fees for such transactions, and because ETN and HOLDRs. Further, the the Exchange expended significant Marketing Fee Options to the Exchange, which would increase liquidity and Exchange believes the proposed C resources in developing those products. benefit all market participants, and Waiver for Index Options is consistent The Exchange would have preferred to because the same fee is assessed similar with other fees assessed by the modify the CTPH Proprietary [sic] transactions in nearly all other the Exchange. Specifically, the Exchange Facilitation Waiver to include only [sic] New Marketing Fee Options. assesses manually executed broker- dealer orders a different rate ($.25 per 24 The SPY and QQQQ Marketing Fee See PHLX Fee Schedule, Section I, Part C (page contract) as compared to electronically 5) and Section II (page 7), provides for a similar Waiver is designed to provide for the $75,000 cap which also applies to firm open outcry equitable allocation of reasonable dues, executed broker-dealer orders ($.45 per business, but does not apply to their PIXL fees, and other charges among Trading contract).26 Other exchange fee mechanism, which, like AIM, is a price Permit Holders in that it is intended to schedules also distinguish between improvement mechanism, and does not apply to electronic transactions in select symbols. attract more customer volume on the electronically and non-electronically 25 See PHLX Fee Schedule, Section II (pages 7– Exchange in SPY and QQQQ options. 8). The SPY and QQQQ options classes are 26 See CBOE Fees Schedule, Section 1.

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executed orders.27 Finally, Arca does is equitable and not unfairly time during a calendar month and trade not charge customer transaction fees for discriminatory because all market at least 100 VIX contracts electronically customer transactions in ETF, ETN and participants who desire to use PULSe while that appointment is active; or HOLDRs options.28 Adding FLEX will be assessed the same fee, and (b) trade at least 1,000 VIX options Options to the C Waiver for Index because the same amount is being contracts in open outcry during a Options is reasonable because it will assessed for use of a similar product, the calendar month. Increasing the monthly allow customer FLEX Options FBW. fee for a Floor Broker Trading Permit transactions in ETF, ETN and HOLDRs The lowered costs for Market-Maker Holder that executes more than 20,000 options to no longer be assessed a fee, Trading Permits is reasonable because VIX contracts in a month is reasonable thereby saving such customers money. the fees will be lower than previously, because this amount is equal to the This addition is equitable and not and are equitable and not unfairly amount of the VIX Tier Appointment fee unfairly discriminatory because waiving discriminatory because, as before, the (as they were equal prior to these the fee for such trades is designed to tiers are available to all TPHs. Lower changes), and is equitable and not attract new order flow to the Exchange. Market-Maker Trading Permit fees unfairly discriminatory because the fee The resulting increased volume and encourage more Market-Makers to will be assessed to any and all Floor liquidity will benefit all market access the Exchange, and more Market- Broker Trading Permit Holders that participants trading in these products. Makers gives market participants more qualify for the fee. Moreover, other exchanges do not trading options and increased trading The proposed increase in the fee charge for public customer FLEX activity, volume and liquidity, which assessed for one Floor Broker Trading Options transactions in ETF, ETN and benefit all market participants. Permit is reasonable because lone floor HOLDRs options.29 The C Waiver for Amending the date by which MMTPHs brokers almost always require the Index Options is limited to AIM and must commit to the Market-Maker Exchange to do extra work for the floor open outcry executions in order to Trading Permit Holder Sliding Scale is broker, while floor brokers with two or encourage use of these price reasonable because a commitment by more trading permits never do, and the improvement mechanisms, and QCC December 25th of the preceding year Exchange must recoup related costs. trades are included in the C Waiver for still gives MMTPHs plenty of time to This increase is equitable and not Index Options as well because QCC determine whether or not to commit to unfairly discriminatory because the trades can only be executed via AIM the Market-Maker Trading Permit same amount will be assessed to all lone and open outcry. Holder Sliding Scale, and is equitable floor brokers. The Floor Broker Trading Increasing the FBW fee from $225 per and not unfairly discriminatory because Permit Sliding Scale is reasonable month (per login ID) to $350 per month all MMTPHs will be subject to that same because the amounts for Tier 1 are the (per login ID) is reasonable because the deadline. same on a per permit basis as they Exchange is charged by the vendor that Amending the qualification for the currently are, and the amounts for Tier provides the FBW more than $225 per VIX Tier Appointment fee to state that 2 are lower than the current amounts. month (per login ID) (actually, more a Market-Maker TPH that has a VIX Tier The Floor Broker Trading Permit Sliding than $350 per month (per login ID)) and Appointment during a given month will scale is equitable and not unfairly simply wants to reduce the extent to not be assessed the VIX Tier discriminatory because offering lower which the Exchange subsidizes such Appointment fee unless said Market- costs to TPHs that get more permits will costs. This change is equitable and not Maker TPH trades at least 100 VIX encourage floor broker firms to bring contracts electronically while that unfairly discriminatory because all more floor brokers to the Exchange, appointment is active is reasonable market participants who desire to use thereby bringing more business to the because the change will prevent those the FBW will be assessed the same fee. Exchange, resulting in greater trading Increasing the PULSe fee from $225 that do not at least somewhat regularly volume and liquidity, which benefits all per month (per login ID) to $350 per trade in VIX from being assessed the market participants. month (per login ID) is reasonable VIX Tier Appointment fee. This change The proposed monthly fee of $3,000 because the Exchange expended is equitable and not unfairly per month to any Floor Broker Trading discriminatory because it ensures that significant resources developing PULSe Permit Holder that executes more than the VIX Tier Appointment fee is not 20,000 SPX contracts during the month and desires to recoup some of those assessed to those Market-Makers who is reasonable because the same amount costs. Moreover, the Exchange will be are not trading in VIX. The 100-contract is assessed to Market-Makers for an SPX assessing the same amount for the FBW, threshold achieves this purpose because tier appointment. This fee is equitable which is a similar product. This change it is a sufficiently small number of and not unfairly discriminatory because contracts and yet leaves some small it will equalize opportunity between 27 PHLX categorizes its equity options transaction fees for Specialists, ROTs, SQTs, RSQTs and room for an accidental or minor VIX Market-Makers and Floor Brokers Broker-Dealers as either electronic or non- trade. trading in SPX options, because it electronic. See PHLX Fees Schedule, Equity Increasing the VIX Tier Appointment reflects the opportunity provided to Options Fees. NYSE Amex, Inc. categorizes its fee is reasonable because the amount, agents servicing customers in such a options transaction fees for Non-NYSE Amex Options Market Makers, Broker-Dealers, $2,000, is within the range of other tier high-volume product, and because the Professional Customers, Non BD Customers and appointment fees assessed by the Exchange expended considerable Firms as either electronic or manual. See NYSE Exchange (for example, the SPX Tier resources in developing SPX and desires Amex Options Fees Schedule, Trade Related Appointment fee is $3,000) 30, and to recoup such expenses and other Charges. Arca categorizes its options transaction fees for Customers, Firms and Broker-Dealers as because market demand will sustain administrative costs. either electronic or manual. See Arca Options Fees such a fee. This proposed change is also The lowered fee for the Packet is Schedule, Trade Related Charges. equitable and not unfairly reasonable because the fee will be lower 28 See Arca Options Fee Schedule, page 3. discriminatory because it will be than previously, and is equitable and 29 See NYSE Amex Options Fee Schedule, page 3, assessed to all MMTPHs that either not unfairly discriminatory because, as which shows Non BD Customer Manual transactions (the manner by which FLEX Options (a) have a VIX Tier Appointment at any before, the fee will be applied to all are traded on the NYSE Amex Options market) to parties who desire the Packet. Lower be assessed a $0.00 transaction fee. 30 See Exchange Fees Schedule, Section 10(A)(ii). Packet fees encourage more Market-

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Makers to access the Exchange, and increases maintain the same • Send an email to rule- more Market-Makers gives market proportionate amounts that are paid by [email protected]. Please include File participants more trading options and regular users relative to Sponsored Number SR–CBOE–2012–008 on the increased trading activity, volume and Users. subject line. liquidity, which benefit all market Changing the name of the Cap to more participants. accurately reflect its nature furthers the Paper Comments The proposed increases in TPH 33 objectives of Section 6(b)(5) of the Act • Send paper comments in triplicate Application fees are reasonable because in particular in that it is designed to to Elizabeth M. Murphy, Secretary, such increases are necessary to cover clear up any potential confusion, which Securities and Exchange Commission, the increased costs of processing such serves to remove impediments to and 100 F Street NE., Washington, DC applications and activities. The perfect the mechanism of a free and proposed increases in TPH Application open market and a national market 20549–1090. fees are equitable and not unfairly system, and, in general, to protect All submissions should refer to File discriminatory because they apply investors and the public interest. Number SR–CBOE–2012–008. This file equally to all qualifying market B. Self-Regulatory Organization’s number should be included on the participants. subject line if email is used. To help the The proposed adoption of the Initial Statement on Burden on Competition Commission process and review your Proprietary Registration fee and the CBOE does not believe that the Annual Proprietary Registration fee is comments more efficiently, please use proposed rule change will impose any only one method. The Commission will reasonable because both fees are burden on competition not necessary or post all comments on the Commission’s necessary to offset the costs of the appropriate in furtherance of the Internet Web site (http://www.sec.gov/ Proprietary Trading Registration purposes of the Act. Program, and because the amount of the rules/sro/shtml). Copies of the fees are minimal. The adoption of these C. Self-Regulatory Organization’s submission, all subsequent fees is equitable and not unfairly Statement on Comments on the amendments, all written statements discriminatory because they will be Proposed Rule Change Received From with respect to the proposed rule assessed equally to all market Members, Participants or Others change that are filed with the participants that qualify for the fees. No written comments were solicited Commission, and all written The proposed change to increase the or received with respect to the proposed communications relating to the Network Access Port fees is reasonable rule change. proposed rule change between the because the fees are within the same Commission and any person, other than III. Date of Effectiveness of the range as those assessed on other those that may be withheld from the exchanges,31 and because such increase Proposed Rule Change and Timing for Commission Action public in accordance with the will assist in recouping expenditures provisions of 5 U.S.C. 552, will be recently made by the Exchange to The proposed rule change is available for Web site viewing and upgrade the CBOEdirect connectivity designated by the Exchange as printing in the Commission’s Public equipment. This proposed change is establishing or changing a due, fee, or Reference Room, 100 F Street, NE., equitable and not unfairly other charge, thereby qualifying for Washington, DC 20549, on official discriminatory because the fees, as effectiveness on filing pursuant to business days between the hours of 10 before, will be assessed to all market 34 Section 19(b)(3)(A) of the Act and a.m. and 3 p.m. Copies of such filing participants. The proposed changes to subparagraph (f)(2) of Rule 19b–4 35 will also be available for inspection and increase the fees assessed for CMI Login thereunder. copying at the principal office of the IDs and FIX Login IDs are also At any time within 60 days of the reasonable because such fees are within filing of the proposed rule change, the Exchange. All comments received will the same range as those assessed on Commission summarily may be posted without change; the other exchanges 32, and because such temporarily suspend such rule change if Commission does not edit personal increases will assist in recouping it appears to the Commission that such identifying information from expenditures recently made by the action is necessary or appropriate in the submissions. You should submit only Exchange to upgrade the CBOEdirect public interest, for the protection of information that you wish to make connectivity equipment. This proposed investors, or otherwise in furtherance of available publicly. All submissions change is equitable and not unfairly the purposes of the Act. should refer to File No. SR–CBOE– discriminatory because the fees, as 2012–008 and should be submitted on before, will be assessed to all market IV. Solicitation of Comments or before February 24, 2012. participants. Assessing higher fees for Interested persons are invited to For the Commission, by the Division of Sponsored Users is equitable and not submit written data, views and Trading and Markets, pursuant to delegated unfairly discriminatory because arguments concerning the foregoing, authority.36 Sponsored Users are able to access the including whether the proposed rule Exchange and use the equipment change is consistent with the Act. Kevin M. O’Neill, provided without purchasing a trading Comments may be submitted by any of Deputy Secretary. permit. As such, Trading Permit Holders the following methods: [FR Doc. 2012–2409 Filed 2–2–12; 8:45 am] who have purchased a trading permit BILLING CODE 8011–01–P will have a higher level of commitment Electronic Comments to transacting business on the Exchange • Use the Commission’s Internet and using Exchange facilities than comment form (http://www.sec.gov/ Sponsored Users. Finally, these rules/sro.shtml); or

31 See ISE Schedule of Fees, page 9. 33 15 U.S.C. 78f(b)(5). 32 See ISE Schedule of Fees, page 8 and NOM 34 15 U.S.C. 78s(b)(3)(A). Rule 7053. 35 17 C.F.R. 240.19b–4(f)(2). 36 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE counting towards the Clearing Trading firms reach the PHLX Monthly Firm Fee COMMISSION Permit Holder (‘‘CTPH’’) Fee Cap in All Cap.5 By not requiring CTPHs to pay Products Except SPX, VIX or other AIM Execution Fees after reaching the [Release No. 34–66274; File No. SR–CBOE– 2012–010] Volatility Indexes, OEX or XEO (the Cap, the Exchange is providing a ‘‘Cap’’).3 The purpose of that change demonstrably advantageous pricing Self-Regulatory Organizations; was to align and improve the schedule for this business. Chicago Board Options Exchange, Exchange’s competitive position in 2. Statutory Basis Incorporated; Notice of Filing and relation to other exchanges. NASDAQ Immediate Effectiveness of a Proposed OMX PHLX LLC (‘‘PHLX’’) has a similar The proposed rule change is 6 Rule Change To Amend the Fees $75,000 cap (the ‘‘PHLX Monthly Firm consistent with Section 6(b) of the Act, Schedule Fee Cap’’), but it does not apply to in general, and furthers the objectives of transactions in select high-volume Section 6(b)(4) 7 of the Act in particular, January 30, 2012. securities executed through their PIXL in that it is designed to provide for the Pursuant to Section 19(b)(1) of the mechanism, which, like AIM, is an equitable allocation of reasonable dues, Securities Exchange Act of 1934 (the electronic price improvement fees, and other charges among CBOE ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 mechanism.4 By including AIM Contra Trading Permit Holders and other notice is hereby given that on January Execution Fees towards the Cap, the persons using Exchange facilities. 19, 2012, the Chicago Board Options Exchange is providing a demonstrably Eliminating the requirement that CTPHs Exchange, Incorporated (the ‘‘Exchange’’ advantageous pricing schedule for this continue to pay AIM Execution Fees or ‘‘CBOE’’) filed with the Securities business. As such, the Exchange after reaching the Cap in a month is and Exchange Commission determined to include all AIM reasonable because it will allow CTPHs (‘‘Commission’’) the proposed rule transaction fees, including the AIM to pay no fees where they might change as described in Items I, II, and Execution Fees, towards reaching the currently have to pay fees. This change III below, which Items have been Cap (when they apply) to improve our is equitable and not unfairly prepared by the Exchange. The competitive position. The Exchange also discriminatory because eliminating such Commission is publishing this notice to desired to encourage the use of AIM, fees will encourage CTPHs to transact solicit comments on the proposed rule which is a price improvement more business on the Exchange, which change from interested persons. mechanism. will provide greater trading volume and liquidity, which benefits all market I. Self-Regulatory Organization’s In making the above-referenced participants. Further, AIM Execution Statement of the Terms of Substance of amendment, the Exchange also intended Fees will be treated in the same manner the Proposed Rule Change to eliminate the requirement that CTPHs as all other fees that count towards the continue to pay AIM Execution Fees The Exchange proposes to amend the Cap. Fees Schedule. The text of the proposed after reaching the Cap in a month. This rule change is available on the change would naturally follow from the B. Self-Regulatory Organization’s Exchange’s Web site (http:// inclusion of AIM Execution Fees in Statement on Burden on Competition www.cboe.org/legal), at the Exchange’s counting towards the Cap; because these CBOE does not believe that the Office of the Secretary, and at the fees would be counted in helping a proposed rule change will impose any Commission. CTPH reach the monthly Cap, they burden on competition not necessary or would then cease to be assessed once a appropriate in furtherance of the II. Self-Regulatory Organization’s CTPH had reached the Cap for the purposes of the Act. Statement of the Purpose of, and month (like any other fees that are Statutory Basis for, the Proposed Rule counted towards the Cap). The purpose C. Self-Regulatory Organization’s Change of the Cap is to incentivize CTPHs to Statement on Comments on the In its filing with the Commission, the transact enough activity to reach the Proposed Rule Change Received From self-regulatory organization included Cap, after which the CTPHs would no Members, Participants or Others statements concerning the purpose of longer have to pay for such transactions. No written comments were solicited and basis for the proposed rule change Requiring a CTPH to continue to pay or received with respect to the proposed and discussed any comments it received such fees above and beyond the Cap rule change. on the proposed rule change. The text would run counter to that purpose. III. Date of Effectiveness of the of those statements may be examined at However, the Exchange in SR–CBOE– Proposed Rule Change and Timing for the places specified in Item IV below. 2012–008 unintentionally neglected to Commission Action The Exchange has prepared summaries, eliminate the requirement that CTPHs set forth in sections A, B, and C below, continue to pay AIM Execution Fees The proposed rule change is of the most significant parts of such after reaching the Cap in a month. As designated by the Exchange as statements. such, the Exchange proposes to do so for establishing or changing a due, fee, or the reasons stated above, as well as for other charge, thereby qualifying for A. Self-Regulatory Organization’s competitive reasons. As PHLX’s effectiveness on filing pursuant to Statement of the Purpose of, and Monthly Firm Fee Cap does not apply Section 19(b)(3)(A) of the Act 8 and Statutory Basis for, the Proposed Rule to transactions in their select high- subparagraph (f)(2) of Rule 19b–49 Change volume securities executed through thereunder. 1. Purpose their PIXL mechanism, fees for such At any time within 60 days of the filing of the proposed rule change, the On January 17, 2012, the Exchange transactions continue to be assessed to made a number of amendments to its PHLX firms, regardless of whether such 5 See PHLX Fee Schedule, Section I, Part C (page Fees Schedule, including to cease 3 See SR–CBOE–2012–008, which replaced SR– 5). excluding AIM Execution Fees from CBOE–2011–121, which was filed on December 30, 6 15 U.S.C. 78f(b). 2011 and withdrawn on January 17, 2012. 7 15 U.S.C. 78f(b)(4). 1 15 U.S.C. 78s(b)(1). 4 See PHLX Fee Schedule, Section I, Part C (page 8 15 U.S.C. 78s(b)(3)(A). 2 17 CFR 240.19b–4. 5). 9 17 CFR 240.19b–4(f)(2).

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Commission summarily may 2012–010 and should be submitted on the most significant parts of such temporarily suspend such rule change if or before February 24, 2012. statements. it appears to the Commission that such For the Commission, by the Division of A. Self-Regulatory Organization’s action is necessary or appropriate in the Trading and Markets, pursuant to delegated Statement of the Purpose of, and public interest, for the protection of 10 authority. Statutory Basis for, the Proposed Rule investors, or otherwise in furtherance of Kevin M. O’Neill, Change the purposes of the Act. Deputy Secretary. 1. Purpose IV. Solicitation of Comments [FR Doc. 2012–2408 Filed 2–2–12; 8:45 am] Interested persons are invited to BILLING CODE 8011–01–P In June, 2010, CHX obtained submit written data, views and Commission approval to amend Article arguments concerning the foregoing, 20, Rule 2 to create circuit breakers in including whether the proposed rule SECURITIES AND EXCHANGE individual securities on a pilot basis to 3 change is consistent with the Act. COMMISSION end on December 10, 2010. Shortly thereafter, in September, the Comments may be submitted by any of [Release No. 34–66272; File No. SR–CHX– the following methods: Commission approved another 2012–03] amendment to Article 20, Rule 2 to add Electronic Comments ® Self-Regulatory Organizations; securities included in the Russell 1000 • Use the Commission’s Internet Chicago Stock Exchange, Inc.; Notice Index (‘‘Russell 1000’’) and certain comment form (http://www.sec.gov/ specified Exchange Traded Products of Filing and Immediate Effectiveness 4 rules/sro.shtml); or of Proposed Rule Change To Extend (‘‘ETP’’) to the pilot rule. This program • Send an email to rule- was subsequently extended until April the Pilot Program Relating to 5 [email protected]. Please include File Individual Securities Circuit Breakers 11, 2011 and was again extended until Number SR–CBOE–2012–010 on the August 11, 2011.6 Then, in June, 2011, subject line. January 30, 2012. the Commission approved another amendment to Article 20, Rule 2 to add Paper Comments Pursuant to Section 19(b)(1) of the all NMS stocks to the pilot rule 7 and, • Securities Exchange Act of 1934 (the Send paper comments in triplicate ‘‘Act’’),1 and Rule 19b–4 thereunder,2 subsequently, the pilot was extended to to Elizabeth M. Murphy, Secretary, notice is hereby given that on January January 31, 2012.8 Securities and Exchange Commission, 23, 2012, the Chicago Stock Exchange, The proposed rule change merely 100 F Street NE., Washington, DC Inc. (‘‘CHX’’ or the ‘‘Exchange’’) filed extends the duration of the pilot 20549–1090. with the Securities and Exchange program to July 31, 2012. Extending the All submissions should refer to File Commission (‘‘Commission’’) the pilot in this manner will allow the Number SR–CBOE–2012–010. This file proposed rule change as described in Commission more time to consider the number should be included on the Items I and II below, which Items have impact of the pilot program. subject line if email is used. To help the been prepared by the Exchange. The 2. Statutory Basis Commission process and review your Commission is publishing this notice to comments more efficiently, please use solicit comments on the proposed rule The proposed rule change is only one method. The Commission will change from interested persons. consistent with Section 6(b)(5) of the post all comments on the Commission’s Securities Exchange Act of 1934 (the Internet Web site (http://www.sec.gov/ I. Self-Regulatory Organization’s ‘‘Act’’), which requires the rules of an rules/sro/shtml). Copies of the Statement of the Terms of Substance of exchange to promote just and equitable submission, all subsequent the Proposed Rule Change principles of trade, to remove amendments, all written statements CHX proposes to amend its rules to impediments to and perfect the with respect to the proposed rule extend the pilot program relating to mechanism of a free and open market change that are filed with the individual securities circuit breakers. and a national market system and, in Commission, and all written The text of this proposed rule change is general, to protect investors and the communications relating to the available on the Exchange’s Web site at public interest. The proposed rule proposed rule change between the (www.chx.com) and in the change also is designed to support the Commission and any person, other than Commission’s Public Reference Room. principles of Section 11A(a)(1) of the those that may be withheld from the Act in that it seeks to assure fair public in accordance with the II. Self-Regulatory Organization’s competition among brokers and dealers provisions of 5 U.S.C. 552, will be Statement of the Purpose of, and and among exchange markets. The available for Web site viewing and Statutory Basis for, the Proposed Rule printing in the Commission’s Public Change 3 See Securities Exchange Act Release No. 62252 Reference Room, 100 F Street NE., (June 10, 2010), 75 FR 34186 (June 16, 2010) In its filing with the Commission, the approving SR–CHX–2010–10. Washington, DC 20549, on official Exchange included statements 4 See Securities Exchange Act Release No. 62884 business days between the hours of 10 concerning the purpose of and basis for (September 10, 2010), 75 FR 56618 (September 16, a.m. and 3 p.m. Copies of such filing the proposed rule change and discussed 2010) approving SR–CHX–2010–14. will also be available for inspection and any comments it received on the 5 See Securities Exchange Act Release No. 34– copying at the principal office of the 63498 (December 9, 2010), 75 FR 78310 (December proposed rule change. The text of these 15, 2010) approving SR–CHX–2010–24. Exchange. All comments received will statements may be examined at the 6 See Securities Exchange Act Release No. 64203 be posted without change; the places specified in Item IV below. The (April 6, 2011), 75 FR 20393 (April 12, 2011) Commission does not edit personal Exchange has prepared summaries, set approving SR–CHX–2011–05. identifying information from forth in Sections A, B, and C below, of 7 See Securities Exchange Act Release No. 64735 submissions. You should submit only (June 23, 2011), 75 FR 38243 (June 29, 2011) approving SR–CHX–2011–09. information that you wish to make 10 17 CFR 200.30–3(a)(12). 8 See Securities Exchange Act Release No. 65080 available publicly. All submissions 1 15 U.S.C. 78s(b)(1). (August 9, 2011), 75 FR 50784 (August 16, 2011) should refer to File No. SR–CBOE– 2 17 CFR 240.19b–4. approving SR–CHX–2011–23.

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Exchange believes that the proposed The Commission believes that those that may be withheld from the rule meets these requirements in that it waiving the 30-day operative delay is public in accordance with the promotes uniformity across markets consistent with the protection of provisions of 5 U.S.C. 552, will be concerning decisions to pause trading in investors and the public interest, as it available for Web site viewing and a security when there are significant will allow the pilot program to continue printing in the Commission’s Public price movements. uninterrupted, thereby avoiding the Reference Room, 100 F Street NE., investor confusion that could result Washington, DC 20549, on official B. Self-Regulatory Organization’s from a temporary interruption in the business days between the hours of 10 Statement on Burden on Competition pilot program. For this reason, the a.m. and 3 p.m. Copies of such filing The Exchange does not believe that Commission designates the proposed also will be available for inspection and the proposed rule change will impose rule change to be operative upon copying at the principal office of the any burden on competition that is not filing.15 Exchange. All comments received will necessary or appropriate in furtherance At any time within 60 days of the be posted without change; the of the purposes of the Act. filing of the proposed rule change, the Commission does not edit personal Commission summarily may identifying information from C. Self-Regulatory Organization’s temporarily suspend such rule change if submissions. You should submit only Statement on Comments on the it appears to the Commission that such information that you wish to make Proposed Rule Change Received From action is necessary or appropriate in the available publicly. All submissions Members, Participants, or Others public interest, for the protection of should refer to File No. SR–CHX–2012– No written comments were either investors, or otherwise in furtherance of 03 and should be submitted on or before solicited or received. the purposes of the Act. February 24, 2012. III. Date of Effectiveness of the IV. Solicitation of Comments For the Commission, by the Division of Interested persons are invited to Trading and Markets, pursuant to delegated Proposed Rule Change and Timing for 16 Commission Action submit written data, views, and authority. arguments concerning the foregoing, Kevin M. O’Neill, The Exchange has filed the proposed including whether the proposed rule Deputy Secretary. rule change pursuant to Section change is consistent with the Act. [FR Doc. 2012–2407 Filed 2–2–12; 8:45 am] 19(b)(3)(A)(iii) of the Act 9 and Rule BILLING CODE 8011–01–P 10 Comments may be submitted by any of 19b–4(f)(6) thereunder. Because the the following methods: proposed rule change does not: (i) Significantly affect the protection of Electronic Comments SECURITIES AND EXCHANGE investors or the public interest; (ii) • Use the Commission’s Internet COMMISSION impose any significant burden on comment form (http://www.sec.gov/ competition; and (iii) become operative rules/sro.shtml); or [Release No. 34–66275; File No. SR– prior to 30 days from the date on which • Send an email to NASDAQ–2012–019] it was filed, or such shorter time as the [email protected]. Please include Self-Regulatory Organizations; The Commission may designate, if File No. SR–CHX–2012–03 on the NASDAQ Stock Market LLC; Notice of consistent with the protection of subject line. investors and the public interest, the Filing and Immediate Effectiveness of Paper Comments proposed rule change has become Proposed Rule Change To Extend the effective pursuant to Section 19(b)(3)(A) • Send paper comments in triplicate Pilot Period of Rule 4753(c) of the Act 11 and Rule 19b–4(f)(6)(iii) to Elizabeth M. Murphy, Secretary, January 30, 2012. 12 Securities and Exchange Commission, thereunder. Pursuant to Section 19(b)(1) of the 100 F Street NE., Washington, DC A proposed rule change filed under Securities Exchange Act of 1934 (the 13 20549–1090. Rule 19b–4(f)(6) normally does not ‘‘Act’’),1 and Rule 19b–4 thereunder,2 become operative for 30 days after the All submissions should refer to File No. notice is hereby given that on January date of filing. However, pursuant to SR–CHX–2012–03. This file number 27, 2012, The NASDAQ Stock Market Rule 19b–4(f)(6)(iii) 14 the Commission should be included on the subject line LLC (‘‘Exchange’’) filed with the may designate a shorter time if such if email is used. To help the Securities and Exchange Commission action is consistent with the protection Commission process and review your (‘‘Commission’’) the proposed rule of investors and the public interest. The comments more efficiently, please use change as described in Items I and II Exchange has asked the Commission to only one method. The Commission will below, which Items have been prepared waive the 30-day operative delay so that post all comments on the Commission’s by the Exchange. The Commission is the proposal may become operative Internet Web site (http://www.sec.gov/ publishing this notice to solicit immediately upon filing. rules/sro.shtml). Copies of the comments on the proposed rule change submission, all subsequent from interested persons. 9 15 U.S.C. 78s(b)(3)(A)(iii). amendments, all written statements 10 17 CFR 240.19b–4(f)(6). with respect to the proposed rule I. Self-Regulatory Organization’s 11 15 U.S.C. 78s(b)(3)(A). change that are filed with the Statement of the Terms of Substance of 12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Commission, and all written the Proposed Rule Change 4(f)(6)(iii) requires the Exchange to give the communications relating to the Commission written notice of the Exchange’s intent NASDAQ proposes to extend the pilot to file the proposed rule change along with a brief proposed rule change between the period of Rule 4753(c), NASDAQ’s description and text of the proposed rule change, Commission and any person, other than ‘‘Volatility Guard,’’ so that the pilot will at least five business days prior to the date of filing now expire on the earlier of July 31, of the proposed rule change, or such shorter time 15 For purposes only of waiving the 30-day as designated by the Commission. The Exchange operative delay, the Commission has also has satisfied this requirement. considered the proposed rule’s impact on 16 17 CFR 200.30–3(a)(12). 13 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 14 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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2012 or the date on which a limit up/ by a threshold amount, the Nasdaq Halt Guard is triggered automatically when limit down system is adopted. Cross will occur at the price within the the execution price of a pilot security The text of the proposed rule change threshold amounts that best satisfies the moves more than a fixed amount away is below. Proposed new language is in conditions of subparagraphs (b)(2)(A) from a pre-established ‘‘triggering price’’ italics; proposed deletions are in through (D) above. Nasdaq management for that security. The triggering price for brackets. shall set and modify such benchmarks each pilot security is the price of any * * * * * and thresholds from time to time upon execution by the system in that security prior notice to market participants. within the previous 30 seconds. For 4753. Nasdaq Halt and Imbalance (d) No change. each pilot security, the system Crosses * * * * * continually compares the price of each (a)–(b) No change. execution in the system against the (c) For a pilot period ending the II. Self-Regulatory Organization’s prices of all system executions in that Statement of the Purpose of, and earlier of July 31, 2012 [January 31, security over the 30 seconds. Once Statutory Basis for, the Proposed Rule 2012] or the date on which, if approved, triggered, NASDAQ institutes a formal Change a limit up/limit down mechanism to trading halt during which time address extraordinary market volatility, In its filing with the Commission, the NASDAQ systems are prohibited from is approved, between 9:30 a.m. and 3:35 Exchange included statements executing orders. Members, however, p.m. EST, the System will automatically concerning the purpose of and basis for may continue to enter quotes and monitor System executions to determine the proposed rule change and discussed orders, which are queued during a 60- whether the market is trading in an any comments it received on the second Display Only Period. At the orderly fashion and whether to conduct proposed rule change. The text of these conclusion of the Display Only Period, an Imbalance Cross in order to restore statements may be examined at the the queued orders are executed at a an orderly market in a single Nasdaq places specified in Item IV below. The single price, pursuant to NASDAQ’s Security. Exchange has prepared summaries, set Halt Cross mechanism.5 (1) An Imbalance Cross shall occur if forth in Sections A, B, and C below, of NASDAQ determined to adopt the System executes a transaction in a the most significant parts of such Volatility Guard as a six month pilot in Nasdaq Security at a price that is statements. response to the unprecedented aberrant beyond the Threshold Range away from A. Self-Regulatory Organization’s volatility witnessed on May 6, 2010, and the Triggering Price for that security. Statement of the Purpose of, and the the limited effect that NASDAQ’s The Triggering Price for each Nasdaq Statutory Basis for, the Proposed Rule market collars had in dampening such Security shall be the price of any Change volatility. NASDAQ believed that the execution by the System in that security Rule 4753(c) halt process was needed to within the prior 30 seconds. The 1. Purpose protect its listed securities and market Threshold Range shall be determined as NASDAQ is proposing to extend the participants from such volatility in the follows: operative period of the pilot under Rule future. In proposing the six month pilot, 4753(c), NASDAQ’s ‘‘Volatility Guard,’’ NASDAQ noted that another market had Threshold so that it will expire the earlier of July adopted a process whereby the market’s range away 31, 2012 or the date on which a limit listed securities each may be Execution price from triggering price up/limit down system is adopted, yet temporarily removed from automatic (%) hold the implementation of Rule 4753(c) trading when the trading exceeds in abeyance until a limit up/limit down certain average daily volume-, price-, $1.75 and under ...... 15 system is either adopted or disapproved. and volatility-based criteria. Over $1.75 and up to $25 .... 10 Accordingly, NASDAQ believed that Background Over $25 and up to $50 ...... 5 adopting its own process would serve to Over $50 ...... 3 On March 11, 2011, the Commission protect its market from aberrant approved Rule 4753(c) (the ‘‘Volatility volatility, like that experienced on May (2) If the System determines pursuant Guard’’), a volatility-based pause in 6, 2011. to subsection (1) above to conduct an trading in individual NASDAQ-listed Imbalance Cross in a Nasdaq Security, securities traded on NASDAQ Limit Up/Limit Down Proposal the System shall automatically cease (‘‘NASDAQ Securities’’), as a six month During the time that the Volatility executing trades in that security for a pilot applied to the NASDAQ 100 Index Guard pilot was progressing through the 60-second Display Only Period. During securities.3 The Volatility Guard notice and comment process with the that 60-second Display Only Period, the automatically suspends trading in Commission, NASDAQ together with System shall: individual NASDAQ Securities that are the other national securities exchanges (A) maintain all current quotes and the subject of abrupt and significant and FINRA (‘‘SROs’’) and in orders and continue to accept quotes intraday price movements between 9:30 consultation with the Commission, and orders in that System Security; and a.m. and 4 p.m. Eastern Standard Time worked diligently to implement changes (B) Disseminate by electronic means (‘‘EST’’), which was subsequently to the markets to prevent another event an Order Imbalance Indicator every 5 amended to 9:45 a.m. and 3:35 p.m. EST like May 6, 2010 from occurring. In this seconds. to avoid potential interference with the regard, the SROs have expanded their (3) At the conclusion of the 60-second opening and closing crosses.4 Volatility existing circuit breaker pilots 6 to cover Display Only Period, the System shall re-open the market by executing the 3 Securities Exchange Act Release No. 64071 5 The Nasdaq Halt Cross is ‘‘the process for Nasdaq Halt Cross as set forth in (March 11, 2011), 76 FR 14699 (March 17, 2011) determining the price at which Eligible Interest subsection (b)(2)–(4) above. (SR–NASDAQ–2010–074). Amendment 1 to SR– shall be executed at the open of trading for a halted (4) If the opening price established by NASDAQ–2010–074 designated the NASDAQ 100 security and for executing that Eligible Interest.’’ the Nasdaq Halt Cross pursuant to Index as the 100 pilot securities. See Nasdaq Rule 4753(a)(3). 4 Securities Exchange Act Release No. 64268 6 On June 10, 2010, the Commission approved the subsection (b)(2)(A)–(D) above is outside (April 8, 2011), 76 FR 20742 (April 15, 2011) (SR– Circuit Breaker Pilot, which instituted new circuit the benchmarks established by Nasdaq NASDAQ–2011–051). Continued

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all NMS stocks other than rights and the Commission stated that it may find a three-month extension for warrants,7 clarified rules concerning exchange-specific volatility moderators Commission action on the Plan.18 clearly erroneous processes,8 and have inconsistent with the Act once a Pursuant to such consent, the made great strides in developing a limit uniform, cross-market mechanism to Commission must take action on the up/limit down system to replace the address aberrant volatility is adopted. In Plan by February 29, 2012. circuit breakers currently in place. With approving Volatility Guard, the respect to this last effort, on May 25, Commission emphasized: Proposal 2011, the SROs filed with the [T]hat it is continuing to work diligently NASDAQ continues to believe that a Commission a national market system with the exchanges and FINRA to develop an limit up/limit down system, as plan to address extraordinary market appropriate consistent cross-market proposed in the Plan, would be volatility, which proposed a market- mechanism to moderate excessive volatility preferable to disparate individual wide limit up/limit down system that could be applied widely to individual applicable to all NMS stocks (the exchange-listed securities and to address market solutions to aberrant volatility. ‘‘Plan’’).9 The period to submit commenters’ concerns regarding the Given the progress made toward complexity and potential confusion of adopting a uniform limit up/limit down comments on the Plan ended on June exchange-specific volatility moderators. To 22, 2011, and the Commission had system and the Commission’s apparent the extent the Commission approves such a desire that exchange-specific volatility previously stated that it would mechanism, whether it be an expanded determine whether to approve the Plan circuit breaker with a limit up/limit down moderators be abandoned once a shortly after the expiration of the feature or otherwise, the Commission may no consistent cross-market mechanism is comment period.10 The SROs have longer be able to find that exchange-specific adopted, NASDAQ believes that proposed implementing the Plan 120 volatility moderators—including both implementing Volatility Guard at this calendar days following the publication Nasdaq’s Volatility Guard and the NYSE’s time may be confusing and onerous to LRPs—are consistent with the Act.11 of the Commission’s order approving market participants. the proposed Plan in the Federal NASDAQ calculated that the Plan, if NASDAQ is proposing to again extend Register. approved, may be implemented by the the pilot rather than eliminate it so that 12 Important to the implementation of end of 2011 or early 2012. It was based NASDAQ may continue to have the Volatility Guard, NASDAQ notes that on that calculation that NASDAQ option to implement Volatility Guard determined to extend the pilot period of should the Plan not be approved by the breaker rules that pause trading for five minutes in Volatility Guard until January 31, Commission. As a primary market, a security included in the S&P 500 Index if its price 2012.13 moves ten percent or more over a five-minute On September 27, 2011, the NASDAQ takes seriously its period. See Securities Exchange Act Release Nos. Commission provided notice that it was responsibility to both its listed 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) companies and the investing public. (SR–FINRA–2010–025); 62252 (June 10, 2010), 75 extending the period for Commission FR 34186 (June 16, 2010) (SR–NASDAQ–2010–061, action on the limit up/limit down NASDAQ continues to believe that an et al.). On September 10, 2010, the Circuit Breaker proposal.14 Pursuant to Section 11A 15 individual solution like Volatility Pilot was expanded to include securities in the of the Act and Rule 608 thereunder,16 Guard, may be necessary in the event Russell 1000 Index and certain exchange-traded the Plan is rejected, much like NYSE- products. See Securities Exchange Act Release Nos. the Commission may designate up to 62883 (September 10, 2010), 75 FR 56608 180 days from the date of publication of listed stocks may be protected by the (September 16, 2010) (SR–FINRA–2010–033); 62884 notice of filing of a national market LRP mechanism if it remains in place. (September 10, 2010), 75 FR 56618 (September 16, system plan if it finds such longer NASDAQ believes that extending the 2010) (SR–NASDAQ–2010–079, et al.). The Circuit Volatility Guard pilot, but holding its Breaker Pilot is scheduled to expire on August 11, period to be appropriate and publishes 2011. See e.g., Securities Exchange Act Release No. its reasons for so finding, or as to which implementation in abeyance until such 64174 (April 4, 2011), 76 FR 19819 (April 8, 2011) the sponsors consent. In extending the time that the Plan is approved or (SR–NASDAQ–2011–042). date by which the Commission shall disapproved will best serve these groups 7 On June 23, 2011, the Commission granted by allowing NASDAQ to retain the accelerated approval to SRO proposals to expand approve the Plan to November 28, 2011, the Circuit Breaker Pilot to all NMS securities. See the Commission noted that the ability to implement Volatility Guard if Securities Exchange Act Release No. 64735 (June extension of time was appropriate necessary, while also allowing market 23, 2011), 76 FR 38243 (June 29, 2011) (SR– because, among other things, the participants to make preparations to NASDAQ–2011–067, et al.). In November 2011, the implement a limit up/limit down SROs filed immediately effective rule changes to additional time would ensure that the exclude rights and warrants from the Circuit Commission has sufficient time to system, as proposed in the Plan. As Breaker Pilot. See e.g., Securities Exchange Act consider and take action on the SROs’ such, market participants will not Release No. 65814 (November 23, 2011), 76 FR proposal in light of the comments needlessly expend energy changing, and 74084 (November 30, 2011) (SR–NASDAQ–2011– 17 testing, their systems to account for the 154). The term ‘‘NMS stocks’’ is defined in Rule received on the proposal. On 600(b)(47) of Regulation NMS under the Act. See 17 November 18, 2011, the SROs notified Volatility Guard pilot in addition to the CFR 242.600(b)(47). the Commission that they consented to changes required to implement the Plan. 8 Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR 56613 (September 16, Accordingly, NASDAQ is proposing 11 Securities Exchange Act Release No. 64071 2010) (SR–NASDAQ–2010–076, et al.); see also to extend the Volatility Guard pilot to (March 11, 2011), 76 FR 14699, at 14701 (March 17, Securities Exchange Act Release No. 64238 (April 2011) (SR–NASDAQ–2010–074, as amended) the earlier of July 31, 2012 or the date 7, 2011), 76 FR 20780 (April 13, 2011) (SR– (emphasis added). on which the Plan is approved and NASDAQ–2011–043). 12 Supra note 9. implemented. Should the Plan not be 9 Securities Exchange Act Release No. 64547 (May 13 25, 2011), 76 FR 31647 (June 1, 2011) (File No. 4– Securities Exchange Act Release No. 65176 implemented by the expiration of the 631). (August 19, 2011), 76 FR 53518 (August 26, 2011) pilot, NASDAQ may consider further (SR–NASDAQ–2011–117). 10 See http://www.sec.gov/news/press/2011/ extension of Volatility Guard, consistent 14 Securities Exchange Act Release No. 65410 2011-84.htm. At the close of the comment period, with the extension proposed herein. NASDAQ understood that, given the number of (September 27, 2011), 76 FR 61121 (October 3, comments received, the Commission would need a 2011) (File No. 4–631). reasonable time to consider the comments 15 15 U.S.C. 78k–1. 18 Letter from Janet M. McGinness, Senior Vice provided. Rule 608(b) of Regulation NMS governs 16 17 CFR 242.608. President and Corporate Secretary, NYSE Euronext, the effectiveness of national market system plans. 17 At the time of the notice, the Commission had to Elizabeth M. Murphy, Secretary, Commission, See 17 CFR 242.608. received 18 comment letters on the proposed Plan. dated November 18, 2011.

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2. Statutory Basis of the Act 23 and Rule 19b–4(f)(6)(iii) Paper Comments thereunder.24 NASDAQ believes that the proposed • A proposed rule change filed under Send paper comments in triplicate rule change is consistent with the Rule 19b–4(f)(6) 25 normally does not to Elizabeth M. Murphy, Secretary, provisions of Section 6 of the Act,19 in become operative for 30 days after the Securities and Exchange Commission, general and with Sections 6(b)(5) of the date of filing. However, pursuant to 100 F Street NE., Washington, DC Act,20 in particular in that it is designed Rule 19b–4(f)(6)(iii) 26 the Commission 20549–1090. to prevent fraudulent and manipulative may designate a shorter time if such acts and practices, to promote just and All submissions should refer to File No. action is consistent with the protection equitable principles of trade, to foster SR–NASDAQ–2012–019. This file of investors and the public interest. The cooperation and coordination with number should be included on the Exchange has asked the Commission to persons engaged in regulating, clearing, subject line if email is used. To help the waive the 30-day operative delay so that settling, processing information with Commission process and review your the proposal may become operative respect to, and facilitating transactions immediately upon filing. comments more efficiently, please use in securities, to remove impediments to The Commission believes that only one method. The Commission will and perfect the mechanism of a free and post all comments on the Commission’s open market and a national market waiving the 30-day operative delay is consistent with the protection of Internet Web site (http://www.sec.gov/ system, and, in general, to protect rules/sro.shtml). Copies of the investors and the public interest. investors and the public interest, as it will allow the pilot program to continue submission, all subsequent NASDAQ believes that the proposed amendments, all written statements rule continues to meet these uninterrupted, thereby avoiding the investor confusion that could result with respect to the proposed rule requirements in that it promotes the change that are filed with the adoption of the Plan’s uniform, cross- from a temporary interruption in the Commission, and all written market limit up/limit down process to pilot program. For this reason, the communications relating to the address aberrant volatility, while also Commission designates the proposed rule change to be operative upon proposed rule change between the allowing NASDAQ to retain an 27 important alternative tool to deal with filing. Commission and any person, other than such volatility should approval of the At any time within 60 days of the those that may be withheld from the Plan be delayed or disapproved. filing of the proposed rule change, the public in accordance with the Commission summarily may provisions of 5 U.S.C. 552, will be B. Self-Regulatory Organization’s temporarily suspend such rule change if available for Web site viewing and Statement on Burden on Competition it appears to the Commission that such printing in the Commission’s Public NASDAQ does not believe that the action is necessary or appropriate in the Reference Room, 100 F Street NE., proposed rule change will result in any public interest, for the protection of Washington, DC 20549, on official burden on competition that is not investors, or otherwise in furtherance of business days between the hours of 10 necessary or appropriate in furtherance the purposes of the Act. a.m. and 3 p.m. Copies of such filing of the purposes of the Act, as amended. IV. Solicitation of Comments also will be available for inspection and copying at the principal office of the C. Self-Regulatory Organization’s Interested persons are invited to Statement on Comments on the submit written data, views, and Exchange. All comments received will Proposed Rule Change Received From arguments concerning the foregoing, be posted without change; the Members, Participants, or Others including whether the proposed rule Commission does not edit personal change is consistent with the Act. identifying information from Written comments were neither submissions. You should submit only solicited nor received. Comments may be submitted by any of the following methods: information that you wish to make III. Date of Effectiveness of the available publicly. All submissions Proposed Rule Change and Timing for Electronic Comments should refer to File No. SR–NASDAQ– Commission Action • Use the Commission’s Internet 2012–019 and should be submitted on comment form (http://www.sec.gov/ or before February 24, 2012. The Exchange has filed the proposed rules/sro.shtml); or rule change pursuant to Section For the Commission, by the Division of • Send an email to rule- 19(b)(3)(A)(iii) of the Act 21 and Rule Trading and Markets, pursuant to delegated [email protected]. Please include File 19b–4(f)(6) thereunder.22 Because the authority.28 No. SR–NASDAQ–2012–019 on the proposed rule change does not: (i) subject line. Kevin M. O’Neill, Significantly affect the protection of Deputy Secretary. investors or the public interest; (ii) 23 [FR Doc. 2012–2404 Filed 2–2–12; 8:45 am] impose any significant burden on 15 U.S.C. 78s(b)(3)(A). 24 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– BILLING CODE 8011–01–P competition; and (iii) become operative 4(f)(6)(iii) requires the Exchange to give the prior to 30 days from the date on which Commission written notice of the Exchange’s intent it was filed, or such shorter time as the to file the proposed rule change along with a brief Commission may designate, if description and text of the proposed rule change, at least five business days prior to the date of filing consistent with the protection of of the proposed rule change, or such shorter time investors and the public interest, the as designated by the Commission. The Exchange proposed rule change has become has satisfied this requirement. effective pursuant to Section 19(b)(3)(A) 25 17 CFR 240.19b–4(f)(6). 26 17 CFR 240.19b–4(f)(6)(iii). 27 For purposes only of waiving the 30-day 19 15 U.S.C. 78f. operative delay, the Commission has also 20 15 U.S.C. 78f(b)(5). considered the proposed rule’s impact on 21 15 U.S.C. 78s(b)(3)(A)(iii). efficiency, competition, and capital formation. See 22 17 CFR 240.19b–4(f)(6). 15 U.S.C. 78c(f). 28 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE of the pilot by which such rule operates, B. Self-Regulatory Organization’s COMMISSION which is currently scheduled to expire Statement on Burden on Competition on January 31, 2012, until July 31, 2012. [Release No. 34–66270; File No. SR–FINRA– FINRA does not believe that the 2012–006] FINRA Rule 6121.01 provides that if proposed rule change will result in any a primary listing market has issued an burden on competition that is not Self-Regulatory Organizations; individual stock trading pause under its necessary or appropriate in furtherance Financial Industry Regulatory rules, FINRA will halt trading otherwise of the purposes of the Act. Authority, Inc.; Notice of Filing and than on an exchange in that security Immediate Effectiveness of Proposed until trading has resumed on the C. Self-Regulatory Organization’s Rule Change To Extend the Effective primary listing market. The pilot was Statement on Comments on the Date of the Trading Pause Pilot developed and implemented as a Proposed Rule Change Received From market-wide initiative by FINRA and Members, Participants, or Others January 30, 2012. other self-regulatory organizations Pursuant to Section 19(b)(1) of the Written comments were neither (‘‘SROs’’) in consultation with solicited nor received. Securities Exchange Act of 1934 (the Commission staff, and is currently ‘‘Act’’),1 and Rule 19b–4 thereunder,2 applicable to all NMS stocks (other than III. Date of Effectiveness of the notice is hereby given that on January rights and warrants) and specified Proposed Rule Change and Timing for 24, 2012, Financial Industry Regulatory exchange-traded products covered by Commission Action Authority, Inc. (‘‘FINRA’’) filed with the the trading pause pilot rules of a FINRA has filed the proposed rule Securities and Exchange Commission primary listing market.3 change pursuant to Section (‘‘Commission’’) the proposed rule 19(b)(3)(A)(iii) of the Act 5 and Rule change as described in Items I and II The extension proposed herein would 19b–4(f)(6) thereunder.6 Because the below, which Items have been prepared allow the pilot to continue to operate by the Exchange. The Commission is without interruption while FINRA, the proposed rule change does not: (i) publishing this notice to solicit other SROs and the Commission further Significantly affect the protection of comments on the proposed rule change assess the effect of the pilot on the investors or the public interest; (ii) from interested persons. marketplace or whether other initiatives impose any significant burden on should be adopted in lieu of the current competition; and (iii) become operative I. Self-Regulatory Organization’s pilot. prior to 30 days from the date on which Statement of the Terms of Substance of FINRA has filed the proposed rule it was filed, or such shorter time as the the Proposed Rule Change change for immediate effectiveness and Commission may designate, if FINRA is proposing to amend FINRA has requested that the SEC waive the consistent with the protection of Rule 6121 (Trading Halts Due to requirement that the proposed rule investors and the public interest, the Extraordinary Market Volatility) to change not become operative for 30 days proposed rule change has become extend the effective date of the pilot, after the date of the filing, such that effective pursuant to Section 19(b)(3)(A) 7 which is currently scheduled to expire FINRA can implement the proposed of the Act and Rule 19b–4(f)(6)(iii) 8 on January 31, 2012, until July 31, 2012. rule change immediately. thereunder. The text of the proposed rule change A proposed rule change filed under is available on FINRA’s Web site at 2. Statutory Basis Rule 19b–4(f)(6) 9 normally does not http://www.finra.org, at the principal FINRA believes that the proposed rule become operative for 30 days after the office of FINRA and at the date of filing. However, pursuant to change is consistent with the provisions 10 Commission’s Public Reference Room. of Section 15A(b)(6) of the Act,4 which Rule 19b–4(f)(6)(iii) the Commission may designate a shorter time if such II. Self-Regulatory Organization’s requires, among other things, that action is consistent with the protection Statement of the Purpose of, and FINRA rules must be designed to of investors and the public interest. Statutory Basis for, the Proposed Rule prevent fraudulent and manipulative FINRA has asked the Commission to Change acts and practices, to promote just and equitable principles of trade and, in waive the 30-day operative delay so that In its filing with the Commission, the proposal may become operative FINRA included statements concerning general, to protect investors and the public interest. FINRA believes that the immediately upon filing. the purpose of and basis for the The Commission believes that proposed rule change and discussed any proposed rule change meets these requirements in that it promotes waiving the 30-day operative delay is comments it received on the proposed consistent with the protection of rule change. The text of these statements uniformity across markets concerning decisions to pause trading in a security investors and the public interest, as it may be examined at the places specified will allow the pilot program to continue in Item IV below. FINRA has prepared when there are significant price movements. uninterrupted, thereby avoiding the summaries, set forth in Sections A, B, investor confusion that could result and C below, of the most significant Additionally, extension of the pilot to from a temporary interruption in the parts of such statements. July 31, 2012 would allow the pilot to continue to operate without interruption 5 A. Self-Regulatory Organization’s 15 U.S.C. 78s(b)(3)(A)(iii). while FINRA, the other SROs and the 6 17 CFR 240.19b–4(f)(6). Statement of the Purpose of, and the Commission further assess the effect of 7 15 U.S.C. 78s(b)(3)(A). Statutory Basis for, the Proposed Rule the pilot on the marketplace or whether 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Change other initiatives should be adopted in 4(f)(6)(iii) requires FINRA to give the Commission written notice of its intent to file the proposed rule 1. Purpose lieu of the current pilot. change along with a brief description and text of the FINRA proposes to amend FINRA proposed rule change, at least five business days 3 See Securities Exchange Act Release No. 65819 prior to the date of filing of the proposed rule Rule 6121.01 to extend the effective date (November 23, 2011), 76 FR 74105 (November 30, change, or such shorter time as designated by the 2011) (Notice of Filing and Immediate Effectiveness Commission. FINRA has satisfied this requirement. 1 15 U.S.C. 78s(b)(1). of File No. SR–FINRA–2011–068). 9 17 CFR 240.19b–4(f)(6). 2 17 CFR 240.19b–4. 4 15 U.S.C. 78o–3(b)(6). 10 17 CFR 240.19b–4(f)(6)(iii).

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pilot program. For this reason, the 10:00 a.m. and 3:00 p.m. Copies of such comments.5 The text of the proposed Commission designates the proposed filing also will be available for rule change and FINRA’s Response rule change to be operative upon inspection and copying at the principal Letter are available on FINRA’s Web site filing.11 office of the Exchange. All comments at http://www.finra.org, at the principal At any time within 60 days of the received will be posted without change; office of FINRA, on the Commission’s filing of the proposed rule change, the the Commission does not edit personal Web site at http://www.sec.gov, and at Commission summarily may identifying information from the Commission’s Public Reference temporarily suspend such rule change if submissions. You should submit only Room. it appears to the Commission that such information that you wish to make This order approves the proposed rule action is necessary or appropriate in the available publicly. All submissions change. public interest, for the protection of should refer to File No. SR–FINRA– II. Description of the Proposal investors, or otherwise in furtherance of 2012–006 and should be submitted on the purposes of the Act. or before February 24, 2012. As described in more detail in the Notice,6 FINRA proposed to adopt IV. Solicitation of Comments For the Commission, by the Division of FINRA Rule 3230 (Telemarketing) based Interested persons are invited to Trading and Markets, pursuant to delegated largely on NASD Rule 2212. FINRA also submit written data, views, and authority.12 proposed to delete NYSE Rule 440A and arguments concerning the foregoing, Kevin M. O’Neill, its Interpretation,7 but to include certain including whether the proposed rule Deputy Secretary. of their provisions in Rule 3230. These change is consistent with the Act. [FR Doc. 2012–2403 Filed 2–2–12; 8:45 am] include caller identification rules based Comments may be submitted by any of on Rule 440A(h) requiring members BILLING CODE 8011–01–P the following methods: engaging in telemarketing to transmit Electronic Comments caller identification information to SECURITIES AND EXCHANGE persons they call and not to block the • Use the Commission’s Internet COMMISSION transmission of such information. In comment form (http://www.sec.gov/ addition, FINRA proposed to include rules/sro.shtml); or • provisions substantially similar to those Send an email to rule- [Release No. 34–66279; File No. SR–FINRA– contained in rules of the Federal Trade 2011–059] [email protected]. Please include File Commission (‘‘FTC’’) that prohibit No. SR–FINRA–2012–006 on the subject deceptive and other abusive line. Self-Regulatory Organizations; Financial Industry Regulatory telemarketing acts or practices. These Paper Comments Authority, Inc.; Order Approving a include a provision requiring members • Send paper comments in triplicate Proposed Rule Change To Adopt making outbound telephone calls to to Elizabeth M. Murphy, Secretary, FINRA Rule 3230 (Telemarketing) in the maintain a record of a person’s request Securities and Exchange Commission, FINRA Consolidated Rulebook not to receive such calls indefinitely 100 F Street NE., Washington, DC rather than for only five years. FINRA explained that NASD Rule 20549–1090. January 30, 2012. 2212 and NYSE Rule 440A are similar All submissions should refer to File No. I. Introduction rules that require members to maintain SR–FINRA–2012–006. This file number On October 13, 2011, the Financial do-not-call lists, limit the hours of should be included on the subject line telephone solicitations and prohibit if email is used. To help the Industry Regulatory Authority, Inc. members from using deceptive and Commission process and review your (‘‘FINRA’’) filed with the Securities and abusive acts and practices in connection comments more efficiently, please use Exchange Commission (‘‘SEC’’ or with telemarketing. The Commission only one method. The Commission will ‘‘Commission’’), pursuant to Section directed FINRA and NYSE to enact post all comments on the Commission’s 19(b)(1) of the Securities Exchange Act these telemarketing rules in accordance Internet Web site (http://www.sec.gov/ of 1934 (‘‘Exchange Act’’ or ‘‘Act’’) 1 and with the Telemarketing Consumer Fraud rules/sro.shtml). Copies of the Rule 19b–4 thereunder,2 a proposed rule and Abuse Prevention Act of 1994 submission, all subsequent change to adopt FINRA Rule 3230 (‘‘Prevention Act’’).8 The Prevention Act amendments, all written statements (Telemarketing) in the FINRA requires the Commission to promulgate with respect to the proposed rule Consolidated Rulebook. The proposed or direct any national securities change that are filed with the rule change was published for comment exchange or registered securities Commission, and all written in the Federal Register on November 2, association to promulgate rules communications relating to the 2011.3 The Commission received one substantially similar to the FTC rules to proposed rule change between the comment letter, from the Cornell Securities Law Clinic (the ‘‘Clinic’’), in prohibit deceptive and other abusive Commission and any person, other than 9 response to the proposal,4 and a telemarketing acts or practices. those that may be withheld from the In 2003, the FTC and the Federal response from FINRA to the Clinic’s public in accordance with the Communications Commission (‘‘FCC’’) provisions of 5 U.S.C. 552, will be established a national do-not-call 12 available for Web site viewing and 17 CFR 200.30–3(a)(12). registry, and, pursuant to the Prevention printing in the Commission’s Public 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. Reference Room, 100 F Street NE., 5 See letter from Matthew E. Vitek, Counsel, Washington, DC 20549, on official 3 See Exchange Act Release No. 65645 (November 2, 2011), 76 FR 67787 (November 4, 2011) FINRA, to Elizabeth Murphy, Secretary, SEC, dated business days between the hours of (‘‘Notice’’). December 15, 2011 (‘‘Response Letter’’). 6 4 See comment letter submitted by William A. See Notice, supra note 3. 11 For purposes only of waiving the 30-day Jacobson, Associate Clinical Professor and Director, 7 For convenience, the Notice referred to operative delay, the Commission has also Cornell Securities Law Clinic, and Tamara Incorporated NYSE Rules as NYSE Rules, and this considered the proposed rule’s impact on Gavrilova, Cornell Law School, Class of 2013, to order follows that convention. efficiency, competition, and capital formation. See Elizabeth M. Murphy, Secretary, SEC, dated 8 15 U.S.C. 6101–6108. 15 U.S.C. 78c(f). November 21, 2011 (‘‘Cornell Letter’’). 9 15 U.S.C. 6102.

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Act, the Commission requested that 440A regarding prerecorded messages costs for telemarketers.’’ 21 Further, FINRA and NYSE amend their and the use of telephone facsimile or FINRA restated the FTC’s and FCC’s telemarketing rules to require that their computer advertisements. The Clinic recognition that ‘‘a prerecorded message members participate. In 2004, the also recommended that FINRA revise its that provides identification information Commission approved amendments to proposal to eliminate the exception not only mitigates consumers’ fears, but NASD Rule 2212 requiring member from proposed Rule 3230(k), which also makes it easier for consumers to firms to participate in the national do- would permit prerecorded messages the make a do-not-call request of a company not-call registry.10 The following year, meet the conditions of the proposed by calling the number provided in the the Commission approved amendments ‘‘safe harbor’’ for abandoned calls under message.’’ 22 to NYSE Rule 440A, which were similar proposed subparagraph (j)(2). In to the NASD rule amendments, but addition, the Clinic opined that its IV. Discussion and Commission’s included additional provisions proposed amendments to the proposed Findings regarding the use of caller identification rule would provide customers with After careful review of the proposed information, pre-recorded messages, additional protection against invasive telephone facsimiles and computer and abusive telemarketing techniques. rule change, the Cornell Letter, and advertisements.11 FINRA’s Response Letter, the In its Response Letter,17 FINRA stated Earlier this year, Commission staff Commission finds that the proposed that it did not believe it should amend directed FINRA to conduct a review of rule change is consistent with the the proposed rule change to adopt the its telemarketing rule and propose rule requirements of the Exchange Act and Clinic’s proposed amendments. FINRA amendments that provide protections at the rules and regulations thereunder stated that at the time the NYSE adopted least as strong as those provided by the applicable to a national securities Rule 440A’s provisions regarding FTC’s telemarketing rules.12 association.23 In particular, the prerecorded messages and the use of Commission staff had expressed Commission finds that the proposed telephone facsimile or computer concerns to FINRA and the other SROs advertisements, the NYSE stated that rule change is consistent with Section that, overall, their telemarketing rules broker-dealers were subject to the FCC’s 15A(b)(6) of the Act and the rules and may not have kept pace with the FTC’s 24 telemarketing rules, and, accordingly, regulations thereunder. Section rules, for example by not requiring a the NYSE modeled NYSE Rule 440A 15A(b)(6) of the Act requires, among firm-specific opt out to be honored based on applicable FCC telemarketing other things, that FINRA rules be indefinitely as under the FTC’s rules, rules.18 Because broker-dealers remain designed to prevent fraudulent and and thus may no longer meet the subject to substantially similar FCC manipulative acts and practices, to standards of the Prevention Act.13 provisions regarding prerecorded promote just and equitable principles of FINRA filed the proposed rule change in messages and the use of telephone trade, and, in general, to protect response to these concerns.14 facsimile or computer advertisements, investors and the public interest. The FINRA advised that it would FINRA believes that adding the proposed rule change is designed to announce the implementation date of additional provisions of Rule 440A to prevent fraudulent and manipulative the proposed rule change in a the proposed rule is unnecessary.19 acts and practices, protect investors and Regulatory Notice to be published no Moreover, the proposed rule, at later than 90 days following the public interest, and promote just Supplementary Material .01, includes a Commission approval, and that the and equitable principles of trade by reminder to member firms regarding implementation date would be no later strengthening protections against their obligation to comply with relevant than 180 days following Commission deceptive and other abusive federal and state laws and rules, approval.15 telemarketing acts or practices in the including FCC rules. securities industry. Accordingly, the III. Summary of Comments FINRA also stated that it did not Commission finds that good cause exists In its comment letter,16 the Clinic believe it should eliminate the to approve the proposed rule change. generally supported the proposed rule exception from proposed Rule 3230(k), V. Conclusion on the basis that it would comply with which would permit prerecorded the Prevention Act and expressed the messages the meet the conditions of the It is therefore ordered, pursuant to belief that it would be ‘‘an important proposed ‘‘safe harbor’’ for abandoned Section 19(b)(2) of the Act,25 that the step in preventing members from using calls under proposed subparagraph proposed rule change (SR–FINRA– (j)(2). FINRA stated that this exception deceptive and abusive practices when 2011–059) be, and hereby is, approved. telemarketing.’’ The Clinic did, would be substantially similar to FCC however, make some proposed and FTC exemptions for prerecorded recommendations. messages complying with a ‘‘safe harbor’’ for abandoned calls.20 In The Clinic recommended that the 21 addition, FINRA’s Response Letter cited Id. (citing FTC, Telemarketing Sales Rule, 68 proposed rule should incorporate FR 4580, 4642 (January 29, 2003)). to the FTC’s rationale that ‘‘a total ban additional provisions in NYSE Rule 22 Id. (citing 68 FR 4580, supra note 23, at 4644, on abandoned calls would amount to a and FCC, Rules and Regulations Implementing the 10 See Exchange Act Release No. 49055 (January ban on predictive dialers, and would Telephone Consumer Protection Act, 68 FR 44144, 12, 2004), 69 FR 2801 (January 20, 2004). not strike the proper balance between 44164 (July 25, 2003). 11 See Exchange Act Release No. 52579 (October addressing an abusive practice and 23 In approving this proposal, the Commission has 7, 2005), 70 FR 60119 (October 14, 2005). considered the proposed rule’s impact on 12 See letter from Robert W. Cook, Director, allowing for a technology that reduces efficiency, competition, and capital formation. See Division of Trading and Markets, SEC, to Richard 15 U.S.C. 78c(f). Commenters did not raise concerns G. Ketchum, Chairman and Chief Executive Officer, 17 See Response Letter, supra note 5. about the proposed rule’s impact on efficiency, FINRA, dated May 10, 2011. 18 Id. (citing Exchange Act Release No. 52308 13 Id. (August 19, 2005), 70 FR 49961, 49964 (August 25, competition and capital formation. 14 See Notice, supra note 3. 2005)). 24 15 U.S.C. 78o–3(b)(6). 15 Id. 19 Id. (citing 47 CFR 64.1200 and 47 CFR 68.318). 25 15 U.S.C. 78s(b)(2). 16 See Cornell Letter, supra note 4. 20 Id. (citing 16 CFR 310.4(b)(1)(v)). 26 17 CFR 200.30–3(a)(12).

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For the Commission, by the Division of security, with a maximum charge of Commission believes that the proposal Trading and Markets, pursuant to delegated $4.50 per trade.7 In the Notice, FINRA is reasonably designed to secure 26 authority. stated that over 95% of TAF revenue is adequate funding to support FINRA’s Kevin M. O’Neill, generated by transactions in Covered regulatory duties. Deputy Secretary. Securities that are equity securities. [FR Doc. 2012–2396 Filed 2–2–12; 8:45 am] Thus, FINRA’s revenue from the TAF is IV. Conclusion BILLING CODE 8011–01–P substantially affected by changes in It is therefore ordered, pursuant to trading volume in the equities markets. Section 19(b)(2) of the Act,12 that the According to FINRA, since it previously proposed rule change (SR–FINRA– SECURITIES AND EXCHANGE increased the TAF in July 2011, there 2011–071) be, and hereby is, approved. COMMISSION was a momentary spike in equity [Release No. 34–66276; File No. SR–FINRA– securities trading volume in the month For the Commission, by the Division of 2011–071] of August followed by a general decline Trading and Markets, pursuant to delegated in volumes heading into the fourth authority.13 Self-Regulatory Organizations; quarter of 2011. FINRA states that, as a Kevin M. O’Neill, Financial Industry Regulatory result of declining volume, it is Deputy Secretary. Authority, Inc.; Order Granting necessary to adjust the TAF rate for [FR Doc. 2012–2394 Filed 2–2–12; 8:45 am] Approval of a Proposed Rule Change 2012 to ‘‘stabilize revenue flows To Increase the Trading Activity Fee necessary to support FINRA’s regulatory BILLING CODE 8011–01–P Rate for Transactions in Covered mission.’’ 8 Under the proposal, FINRA’s Equity Securities TAF rate for Covered Securities that are equity securities would increase by January 30, 2012. SMALL BUSINESS ADMINISTRATION $0.000005 per share, from $0.000090 I. Introduction per share to $0.000095 per share, while [License No. 07/07–0113] On December 14, 2011, the Financial the per-transaction cap for Covered Industry Regulatory Authority, Inc. Securities that are equity securities would increase by $0.25, from $4.50 to C3 Capital Partners II, L.P.; Notice (‘‘FINRA’’) filed with the Securities and Seeking Exemption Under 312 of the Exchange Commission (‘‘Commission’’), $4.75. FINRA stated that increasing the Small Business Investment Act, pursuant to Section 19(b)(1) of the TAF rate on these securities by Conflicts of Interest Securities Exchange Act of 1934 (the $0.000005 per share is the minimum ‘‘Act’’) 1 and Rule 19b-4 thereunder,2 a increase necessary to bring the revenue Notice is hereby given that C3 Capital proposed rule change to increase from the TAF to its needed levels to FINRA’s Trading Activity Fee (‘‘TAF’’) adequately fund FINRA’s member Partners II, L.P., 4520 Main Street, Suite rate for transactions in covered equity regulatory obligations and that it 1600, Kansas City, Missouri 64111– securities. The proposed rule change intends the proposed increase to remain 7700, a Federal Licensee under the was published for comment in the revenue neutral, as it did previously Small Business Investment Act of 1958, Federal Register on December 30, when it adjusted the TAF rate.9 as amended (‘‘the Act’’), in connection 2011.3 The Commission received no FINRA stated that it intends to make with the financing of a small concern, comments on the proposal. This order the proposal effective on February 1, has sought an exemption under section approves the proposed rule change. 2012. 312 of the Act and section 107.730, Financings Which Constitute Conflicts II. Description of the Proposal III. Discussion and Commission’s Findings of Interest of the Small Business FINRA’s proposal would amend Administration (‘‘SBA’’) rules and Section 1 of Schedule A to the FINRA After carefully considering the regulations (13 CFR 107.730 (2006)). C3 By-Laws to adjust the rate of FINRA’s proposed rule change, the Commission Capital Partners II, L.P., proposes to TAF for transactions in Covered finds that it is consistent with the provide financing to Findett LLC, P.O. 4 Securities that are equity securities. requirements of the Act and the rules Box 0960, St. Charles, MO 63302–0960. The rules governing the TAF also and regulations thereunder applicable to The financing is contemplated to include a list of exempt transactions.5 10 a national securities association. In provide working capital. The TAF, along with the Personnel particular, the Commission finds that Assessment and the Gross Income the proposal is consistent with Section The financing is brought within the Assessment fees, are used to fund 15A(b)(5) of the Act,11 which requires, purview of Sec. 107.730(a)(1) of the FINRA’s regulatory activities.6 among other things, that FINRA rules Regulations because C3 Capital Partners, The current TAF rate is $0.000090 per provide for the equitable allocation of L.P., an Associate of C3 Capital Partners share for each sale of a covered equity reasonable dues, fees, and other charges II, L.P., currently owns greater than 10 among members and issuers and other percent of Findett LLC, and therefore, 1 15 U.S.C. 78s(b)(1). persons using any facility or system that Findett LLC, is considered an Associate 2 17 CFR 240.19b–4. FINRA operates or controls. The of C3 Capital Partners II as defined in 3 See Securities Exchange Act Release No. 66050 (December 23, 2011), 76 FR 82334 (‘‘Notice’’) Sec. 105.50 of the regulations. 7 The current TAF rates were approved by the 4 Covered Securities are defined in Section 1 of Notice is hereby given that any Schedule A to the FINRA By-Laws as: Exchange- Commission on June 2, 2011. See Securities registered securities wherever executed (except debt Exchange Act Release No. 64590 (June 2, 2011), 76 interested person may submit written securities that are not TRACE-Eligible Securities); FR 33388 (June 8, 2011). comments on the transaction, within 15 OTC Equity Securities; security futures; TRACE- 8 Notice, 76 FR at 82335. days, to the Associate Administrator for 9 Eligible Securities (provided that the transaction is See id. Investment, U.S. Small Business a Reportable TRACE Transaction); and all 10 In approving the proposal, the Commission has municipal securities subject to Municipal Securities considered the proposed rule’s impact on Rulemaking Board reporting requirements. efficiency, competition, and capital formation. See 5 See FINRA By-Laws, Schedule A, § 1(b)(2). 15 U.S.C. 78c(f). 12 15 U.S.C. 78s(b)(2). 6 See FINRA By-Laws, Schedule A, § 1(a). 11 15 U.S.C. 78o–3(b)(5). 13 17 CFR 200.30–3(a)(12).

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Administration, 409 Third Street SW., by the Presidential Memorandum for the Dated: February 1, 2012. Washington, DC 20416. Secretary of State Implementing George Sibley, Provisions of the Temporary Payroll Tax Director, Bureau of Oceans and International Sean J. Greene, Cut Continuation Act of 2011 Relating Environmental and Scientific Affairs/Office Associate Administrator for Innovation and to the Keystone XL Pipeline Permit, of Environmental Policy, U.S. Department of Investment. dated January 18, 2012. The full text of State. [FR Doc. 2012–2188 Filed 2–2–12; 8:45 am] the Presidential Memorandum is as [FR Doc. 2012–2615 Filed 2–2–12; 8:45 am] BILLING CODE M follows: BILLING CODE 4710–09–P Presidential Memorandum—Implementing DEPARTMENT OF STATE Provisions of the Temporary Payroll Tax Cut DEPARTMENT OF STATE Continuation Act of 2011 Relating to the [Public Notice 7785] Keystone XL Pipeline Permit [Public Notice 7758] MEMORANDUM FOR THE SECRETARY OF Department of State FY11 Service STATE Shipping Coordinating Committee; Contract Inventory Notice of Committee Meeting SUBJECT: Implementing Provisions of the AGENCY: Department of State. Temporary Payroll Tax Cut Continuation Act The Shipping Coordinating ACTION: Notice of the release of the of 2011 Relating to the Keystone XL Pipeline Committee (SHC) will conduct an open Department of State FY11 Service Permit meeting at 9 a.m. on Wednesday, March Contract Inventory. The Temporary Payroll Tax Cut 14, 2012, in Room 5–1224 of the United Continuation Act of 2011 requires a States Coast Guard Headquarters SUMMARY: The Department of State has determination, within 60 days of enactment, Building, 2100 Second Street SW., publically released its Service Contract of whether the Keystone XL pipeline project Washington, DC 20593–0001. The Inventory for FY11 and its analysis of as set forth in the permit application filed on primary purpose of the meeting is to the FY10 inventory. They are available September 19, 2008 (including amendments) prepare for the twentieth Session of the here: http://csm.state.gov/. Section 743 (the ‘‘Keystone XL pipeline project’’) would International Maritime Organization’s of Division C of the FY 2010 serve the national interest. The State (IMO) Subcommittee on Flag State Department had previously explained, on Consolidated Appropriations Act, November 10, 2011, that it was seeking Implementation to be held at the IMO Public Law 111–117, requires additional information concerning whether Headquarters, United Kingdom, March Department of State, and other civilian that project served the national interest, as 26–30, 2012. agencies, to submit an annual inventory necessary to grant the permit. Based on its The primary matters to be considered of service contracts. A service contract experience and in order to consider relevant include: inventory is a tool to assess an agency environmental issues and the consequences Adoption of the agenda; in its ability to contract services in of the project on energy security, the Decisions of other IMO bodies; support of its mission and operation and economy, and foreign policy, the State Responsibilities of Governments and whether the contractors’ skills are being Department indicated that its review could measures to encourage flag State utilized in an appropriate manner. be complete as early as the first quarter of compliance; 2013. Mandatory reports under DATES: The FY11 inventory and FY10 I have determined, based upon your International Convention for the analysis is available on the recommendation, including the State Prevention of Pollution from Ships, Department’s Web site as of Jan. 31, Department’s view that 60 days is an 1973, as modified by the Protocol of 2012. insufficient period to obtain and assess the 1978 (MARPOL 73/78); FOR FURTHER INFORMATION CONTACT: necessary information, that the Keystone XL Casualty statistics and investigations; Jason Passaro, Director, A/CSM, (703) pipeline project, as presented and analyzed Harmonization of port State control 875–5114, [email protected]. at this time, would not serve the national activities; interest. Dated: January 31, 2012. Port State Control (PSC) Guidelines Accordingly, by the authority vested in me on seafarers’ hours of rest and PSC Jason Passaro, as President by the Constitution and the laws guidelines in relation to the Maritime Director, A/CSM, Department of State. of the United States including section 301 of Labour Convention, 2006; [FR Doc. 2012–2467 Filed 2–2–12; 8:45 am] title 3, United States Code, and in Development of guidelines on port furtherance of Executive Order 13337 of BILLING CODE 4710–24–P State control under the 2004 Ballast April 30, 2004 to the extent compatible with this memorandum, I direct you to submit the Water Management (BWM) Convention; Comprehensive analysis of difficulties DEPARTMENT OF STATE report to the Congress as specified in section 501(b)(2) of the Temporary Payroll Tax Cut encountered in the implementation of [Public Notice: 7786] Continuation Act of 2011 and to issue a IMO instruments; denial of the Keystone XL pipeline permit Review of the Survey Guidelines In the Matter of the Keystone XL application. under the Harmonized System of Survey Pipeline This memorandum is not intended to, and and Certification (HSSC) and the does not, create any right or benefit, annexes to the Code for the This notice is to inform the public substantive or procedural, enforceable at law Implementation of Mandatory IMO that the Department of State has denied or in equity by any party against the United Instruments; the Application of TransCanada States, its departments, agencies, or entities, Consideration of International Keystone Pipeline, L.P. for a its officers, employees, or agents, or any other Association of Classification Societies Presidential Permit Authorizing the person. (IACS) unified interpretations; Construction, Operation, and You are hereby authorized and directed to Review of the IMO Instruments Maintenance of Pipeline Facilities for publish this memorandum in the Federal Implementation Code; the Importation of Crude Oil to be Register. Development of a Code for located at the United States-Canada BARACK OBAMA Recognized Organizations; Border, received by the Department of Issued in Washington DC on February 1, Measures to protect the safety of State on September 19, 2008, as directed 2012. persons rescued at sea;

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Illegal unregulated and unreported was published on Friday, November 4, Type of Information Collection: (IUU) fishing and related matters; 2011. Request for collection of a new Election of Chairman and Vice- DATES: Comments must be submitted on information collection. Chairman for 2013. or before March 5, 2012. Affected Public: Prime contractors Members of the public may attend FOR FURTHER INFORMATION CONTACT: and small businesses participating in this meeting up to the seating capacity Leonardo San Roman, Office of Small DOT’s Mentor Prote´ge´ Pilot Program. of the room. To facilitate the building and Disadvantaged Business Utilization, Estimated Annual Number of security process, and to request Office of the Secretary, W56–312, Respondents: Approximately 20. reasonable accommodation, those who Department of Transportation, 1200 Estimated Annual Number of plan to attend should contact the New Jersey Avenue SE., Washington, Responses: 20. meeting coordinator, Mr. E.J. DC 20590, (202) 366–1930. Estimated Annual Total Burden Terminella, by email at Hours: 20. SUPPLEMENTARY INFORMATION: Frequency of Collection: One time. [email protected], by Title: U.S. Department of ADDRESSES: Send comments regarding phone at (202) 372–1239, by fax at (202) ´ ´ Transportation Mentor-Protege Pilot the burden estimate, including 372–1918, or in writing at Commandant Program Evaluation Form; and U.S. (CG–543), U.S. Coast Guard, 2100 2nd suggestions for reducing the burden, to Department of Transportation Mentor the Office of Management and Budget, Street SW., Stop 7581, Washington, DC ´ ´ Protege Pilot Program Annual Report. Attention: Desk Officer for U.S. 20593–7581 not later than March 7, Abstract: DOT will use the data Department of Transportation, Office of 2012, 7 days prior to the meeting. captured in the Mentor-Prote´ge´ Pilot the Secretary of Transportation, 725 Requests made after March 7, 2012 Program Evaluation Form to measure 17th Street NW., Washington, DC 20503, might not be able to be accommodated. program achievement to determine email: [email protected], Please note that due to security whether the intention of the program to fax: (202) 395–5806. considerations, two valid, government assist small businesses to compete and Comments are invited on: whether the issued photo identifications must be perform in DOT and federal proposed collection of information is presented to gain entrance to the procurement programs is achieved. DOT necessary for the proper performance of Headquarters building. The will use this data to determine whether the functions of the Department, Headquarters building is accessible by program changes are required to including whether the information will taxi and privately owned conveyance increase participation of small have practical utility; the accuracy of (public transportation is not generally businesses in DOT procurement the Department’s estimate of the burden available). However, parking in the programs. of the proposed information collection; vicinity of the building is extremely Additionally, DOT will use the data ways to enhance the quality, utility and limited. Additional information captured in the Mentor Prote´ge´ Pilot clarity of the information to be regarding this and other IMO SHC Program Annual Report to measure collected; and ways to minimize the public meetings may be found at: prote´ge´ progress against the burden of the collection of information www.uscg.mil/imo. developmental plan contained in their on respondents, including the use of Dated: January 23, 2012. Mentor Prote´ge´ agreement and to report automated collection techniques or the specific actions taken by the mentor Brian Robinson, other forms of information technology. to increase the participation of the Executive Secretary, Shipping Coordinating A comment to OMB is most effective prote´ge´ as a prime or subcontractor to Committee, Department of State. if OMB receives it within 30 days of DOT. [FR Doc. 2012–2251 Filed 2–2–12; 8:45 am] publication. BILLING CODE 4710–09–P A Federal Register Notice with a 60- day comment period soliciting Issued in Washington, DC, on January 30, comments on the information collection 2012. Patricia Lawton, DEPARTMENT OF TRANSPORTATION was published on Friday, November 4, 2011. Only one (1) anonymous comment Departmental PRA Program Manager, Office Office of the Secretary was received stating that more concrete of the Secretary. language is needed to specify the [FR Doc. 2012–2364 Filed 2–2–12; 8:45 am] [Docket No. DOT–OST–2012–0014] prote´ge´’s ability to withdraw from the BILLING CODE 4910–9X–P Information Collection Activity; program voluntarily. Additionally, there Request for Comments does not appear to be any language stating whether a mentor can receive DEPARTMENT OF TRANSPORTATION AGENCY: Office of the Secretary of reimbursement for MP program costs; Transportation (OST) DOT. whether it is direct, or through credit Federal Aviation Administration ACTION: Notice of request for comments. against subcontracting goals. It appears First Meeting: RTCA Special that should be added as well. Committee 227, Standards of SUMMARY: In compliance with the Procedures for the Mentor or the Navigation Performance Paperwork Reduction Act of 1995 (44 Prote´ge´ to withdraw from the program U.S.C. 3501 et seq.), this notice voluntarily will be established by both AGENCY: Federal Aviation announces that the Information parties in the Mentor-Prote´ge´ Administration (FAA), U.S. Department Collection Request (ICR) abstracted Agreement. The Mentor or the Prote´ge´ of Transportation (DOT). below will be forwarded to the Office of should provide written notice to ACTION: Notice of RTCA Special Management and Budget (OMB) for OSDBU at least 30 days before Committee 227, Standards of Navigation review and comments. The ICR withdrawing from the program. Performance. describes the nature of the information As for the reimbursement part, the collection and its expected burden. A Program Office has determined there SUMMARY: The FAA is issuing this notice Federal Register Notice with a 60-day will be no incentives, such as to advise the public of the first meeting comment period soliciting comments on reimbursements or credits toward of RTCA Special Committee 227, the following information collection subcontracting goals. Standards of Navigation Performance

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DATES: The meeting will be held March DEPARTMENT OF TRANSPORTATION c. Elimination of the provision to 6–8, 2012, from 9 a.m.–5 p.m. adjust or modify the GPWS envelopes to Federal Aviation Administration ADDRESSES: The meeting will be held at minimize nuisance alerts based on Forward-Looking Terrain Avoidance RTCA, Inc., 1150 18th Street NW., Suite Proposed Technical Standard Order 910, Washington, DC, 20036 (FLTA) and Premature Descent Alert (TSO)–C151c, Terrain Awareness and (PDA) functionality without a deviation. FOR FURTHER INFORMATION CONTACT: The Warning System (TAWS) d. Allowances for eliminating GPWS RTCA Secretariat, 1150 18th Street NW., nuisance alerts (Appendix 1, paragraph Suite 910, Washington, DC, 20036, or by ACTION: Notice of availability and 3.4). telephone at (202) 833–9339, fax at (202) request for public comment. 833–9434, or Web site at e. Requirement for the primary SUMMARY: This notice announces the http://www.rtca.org. horizontal position source to be GPS, to availability of, and request for public ensure utilization of the most accurate SUPPLEMENTARY INFORMATION: Pursuant comments on a second draft of and consistent horizontal position data. to section 10(a)(2) of the Federal Technical Standard Order (TSO)–C151c, f. Addition of velocity and vertical Advisory Committee Act (Pub. L. 92– Terrain Awareness and Warning GPS reporting requirement to inhibit 463, 5 U.S.C., App.), notice is hereby System. Comments received from the alerting when GPS position is invalid, given for a meeting of Special initial June 2011 release, resulted in unless a backup position source is in Committee 227. The agenda will include changes to the proposed document use. the following: significant enough to require this public The FAA received numerous March 6–8 comment offering. comments on: (1) The 500 foot altitude DATES: Comments must be received on • call out; (2) the elimination of the GPWS Welcome, Introductions, and or before March 5, 2012. envelope modification allowance; (3) Administrative Remarks • ADDRESSES: Send all comments on the the GPS horizontal position source Agenda Overview proposed technical standard order to: requirement; and (4) the position source • RTCA Overview Federal Aviation Administration (FAA), requirements. A summary of those • Background on RTCA, MASPS/ Aircraft Certification Service, Aircraft public comments and the FAA’s MOPS, and Process Engineering Division, Avionics Systems resolution are included with the second • Standards of Navigation Branch (AIR–130), 470 L’Enfant Plaza, draft of TSO–C151c. Performance—Background/History Suite 4102, Washington, DC 20024. This announcement requesting • Review of SC 181 Products and Attn. Ms. Charisse Green. Or you may comments to the revised proposed TSO– Intended Applications hand deliver comments to 470 L’Enfant C151c, contains the following • Walk through of DO–236B and DO– Plaza, Suite 4102, Washington, DC significant changes: 283A 20024. a. Alert suppression for Required • Review of Evolving NextGen FOR FURTHER INFORMATION CONTACT: Ms. Navigation Performance (RNP) Concepts Relating to Navigation Charisse Green, AIR–130, Federal requirements are added to Appendix 1, Performance Leading to the Need Aviation Administration, 470 L’Enfant Paragraph 3.1.4. To Update Standards b. The allowance in TSO–C151b to • Plaza, Suite 4102, Washington, DC Committee Scope and Terms of 20024. Telephone (202) 385–4637, fax adjust or modify the GPWS alerting Reference Overview (202) 385–4651, email to: thresholds is restored in the current • Organization of Work, Assign Tasks, [email protected]. version of TSO–C151c. (We provide and Workgroups clarifying language that deviations need SUPPLEMENTARY INFORMATION: • Review of Work Plan and Schedule to be accomplished in accordance with • Breakout Discussions as Comments Invited Title 14 of the Code of Federal Appropriate You are invited to comment on the Regulations (14 CFR) 21.618.) • Assignment of Responsibilities proposed revised TSO by submitting c. The requirement in the initial • Any Other Business written data, views, or arguments to the proposal of TSO–C151c, requiring the • Establish Agenda for Next Meeting above address. Comments received may Class A 500 ft voice call out on all • Date and Place of Next Meeting be examined, both before and after the approaches is changed to the TSO– • Adjourn closing date at the above address, C151b requirement, for the Class A 500 ft voice call out on non-precision Attendance is open to the interested weekdays except federal holidays, approaches only. public but limited to space availability. between 8:30 a.m. and 4:30 p.m. The d. TSO–C151b and the first offering of With the approval of the chairman, Director, Aircraft Certification Service, the proposed TSO–C151c, both allowed members of the public may present oral will consider all comments received on for the 500 ft callout to be made based statements at the meeting. Persons or before the closing date. on radar altimeter height above terrain, wishing to present statements or obtain Background or by a comparison of current altitude information should contact the person (barometric or GNSS) above the runway listed in the FOR FURTHER INFORMATION The initial public offering of the draft threshold height. This revised proposed CONTACT section. Members of the public TSO–C151c offered the following TSO–C151c allows the 500 ft voice call may present a written statement to the changes: out to be the current altitude committee at any time. a. Clarification of the 500 foot altitude call out requirement for Class A TAWS (barometric or GNSS) above the runway Issued in Washington, DC, on January 30, equipment. threshold height. Note that in the 2012. b. Addition of Localizer Performance current proposal, the allowance to make John Raper, with Vertical guidance (LPV) and Global the voice callout based solely on a radio Manager, Business Operations Branch, Navigation Satellite System (GNSS) altimeter height above terrain is Federal Aviation Administration. Landing System (GLS) glidepath alerting removed. The rationale is that all TAWS [FR Doc. 2012–2487 Filed 2–2–12; 8:45 am] to the Ground Proximity Warning equipped aircraft will annunciate the BILLING CODE 4910–13–P System (GPWS) Mode 5 glideslope alert. altitude call referenced to the runway

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threshold height, allowing for business hours are Monday through 1. General: National Environmental consistency in the altitude call out. Friday, 7:30 a.m. to 4:30 p.m. MST. Policy Act (NEPA) [49 U.S.C. 4321– e. Clarification of TAWS position SUPPLEMENTARY INFORMATION: Notice is 4351]; Federal-Aid Highway Act [23 requirements (See Proposed Paragraphs hereby given that the FHWA and other U.S.C. 109 and 23 U.S.C. 128]; 5.0 through 5.6). Federal agencies have taken final agency 2. Air: Clean Air Act [42 U.S.C. 7401– f. All GPS requirements are actions by issuing licenses, permits and 7671(q)]; unchanged from the TSO–C151b approvals for the following highway 3. Land: Section 4(f) of the requirement. project in the State of Utah: The Logan Department of Transportation Act of 1966 [49 U.S.C. 303]; How To Obtain Copies 200 East Minor Arterial Project, Cash County, Utah, project number HPP– 4. Wildlife: Endangered Species Act A copy of the proposed TSO–C151c LC05(29), Federal Lead Agency: Federal [16 U.S.C 1531–1544 and Section 1536]; may be obtained via the information Highway Administration. Migratory Bird Treaty Act [16 U.S.C. contained in the section titled FOR Project Description: The Selected 703–712]; FURTHER INFORMATION CONTACT, or from Alternative (Build Alternative 2A) 5. Historic and Cultural Resources: the FAA Internet Web site at: http:// implements a transportation project Section 106 of the National Historic www.faa.gov/aircraft/draft_docs/. consisting of: (1) A new signalized Preservation Act of 1966, as amended Issued in Washington, DC, on January 31, intersection, including one through [16 U.S.C.470 (f) et seq.]; 2012. travel lane for all approaching 6. Social and Economic: Civil Rights Susan J. M. Cabler, directions, center turn lanes, right turn Act of 1964 [42 U.S.C. 2000(d)– Assistant Manager, Aircraft Engineering lanes, and designated pedestrian 2000(d)(1); Farmland Protection Policy Division, Aircraft Certification Service. crosswalks; (2) the installation of two Act (FPPA) [7 U.S.C. 4201–4209]; [FR Doc. 2012–2464 Filed 2–2–12; 8:45 am] pedestrian under crossings locations; (3) 7. Wetlands and Water Resources: BILLING CODE 4910–13–P construction of a roadway, with a slope Safe Drinking Water Act [42 U.S.C. 300f to accommodate a change in elevation et seq.]; TEA–21 Wetlands Mitigation between Center Street and 100 South, [23 U.S.C. 103(b)(6)(m), 133(b)(11); DEPARTMENT OF TRANSPORTATION and retaining walls to retain roadway Flood disaster Protection Act [42 U.S.C. fills; (4) termination of Pioneer Avenue 4001–129]. Federal Highway Administration in a cul-de-sac and access for all 8. Executive Orders: E.O. 11990, existing uses would be maintained; (5) Protection of Wetlands; E.O. 11988, Notice of Final Federal Agency Action road resurfacing, restriping to establish Floodplain Management; E.O. 12898, on Proposed Highway in Utah uniform roadway cross-section Federal Actions to address throughout the corridor, reconstruction AGENCY: Federal Highway Environmental Justice in Minority of curb and gutter, and installation of Administration (FHWA), DOT. Populations and Low Income storm drainage facilities as needed to Populations; E.O. 13175, Consultation ACTION: Notice of Limitations on Claims convey drainage; (6) reconstruction of and Coordination with Indian and for Judicial Review of Actions by FHWA the intersection of 200 south and 200 Tribal Governments; E.O. 13112, and other Federal Agencies. east and widening the southern leg to Invasive Species. Nothing in this notice match the northern roadway width and creates a cause of action under these SUMMARY: This notice announces actions reconfiguration of intersection controls; taken by the FHWA and other Federal Executive Orders. (7) widening, with an 11-foot center agencies that are final within the (Catalog of Federal Domestic Assistance turn lane, two 11-foot travel lanes, two meaning of 23 U.S.C. 139(I)(1). The Program Number 20.205, Highway Planning 11- foot parking/bike lanes, 2.5-foot curb actions relate to a proposed and Construction. The regulations and gutter, 8-foot park strips, 5-foot transportation improvement project implementing Executive Order 12372 sidewalks, and 1-foot buffers behind regarding intergovernmental consultation on (Logan 200 East, minor arterial project) sidewalks; and (8) construction of Federal programs and activities apply to this in Logan, Cache County in the State of intersection improvements, including program.) Utah. These actions grant licenses, left-turn lanes for both east/westbound permits, and approvals for the project. Authority: 23 U.S.C. 139(I)(1) travel on 200 East, and a right-turn lane DATES: By this notice, the FHWA is westbound. Issued on: January 23, 2012. advising the public of final agency The actions by the FHWA and other James C. Christian, actions subject to 23 U.S.C. 139(I)(1). A Federal agencies, and the laws under Division Administrator, Salt Lake City. claim seeking judicial review of the which such actions were taken, are [FR Doc. 2012–2428 Filed 2–2–12; 8:45 am] FHWA actions on the highway project described in the Environmental BILLING CODE 4910–RY–P will be barred unless the claim is filed Assessment (EA) for the project, on or before August 1, 2012. If the approved on January 13, 2011, in the Federal law that authorizes judicial FHWA Finding of No Significant Impact DEPARTMENT OF TRANSPORTATION review of a claim provides a time period (FONSI) issued on January 12, 2012, and of less than 180 days for filling such in other documents in the FHWA Federal Transit Administration claim, then that shorter time period still administrative record. The EA, FONSI, applies. and other documents in the FHWA Alternative Transportation in Parks and Public Lands Program FOR FURTHER INFORMATION CONTACT: For administrative record are available by FHWA: Mr. Edward Woolford, contacting the FHWA at the address AGENCY: Federal Transit Administration Environmental Program Manager, provided above. (FTA), DOT. Federal Highway Administration, 2520 This notice applies to all Federal ACTION: Paul S. Sarbanes Transit in West 4700 South, Suite 9A, Salt Lake agency decisions as of the issuance date Parks Program Announcement of FY City, Utah 84129; telephone (801) 955– of this notice and all laws under which 2011 and Partial 2012 Project 3524; email: [email protected]. such actions were taken, including but Selections. The FHWA Utah Division’s regular not limited to:

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SUMMARY: The U.S. Department of (202) 513–7025, fax: (202) 371–6675, such funds into a future FY 2013 NOFA; Transportation’s (DOT) Federal Transit mail: 1849 C Street NW., (MS2420); or pursue a combination of the above. Administration (FTA) announces the Washington, DC 20240–0001. A total of $26,844,035 was selection of projects, funded with Fiscal • Fish and Wildlife Service: Nathan appropriated for FTA’s Paul S. Sarbanes _ Year (FY) 2011 and 2012 Caldwell, Nathan [email protected], Transit in Parks program in Fiscal Year appropriations, and previously tel: (703) 358–2205, fax: (703) 358–2517, (FY) 2011. Of this amount, $26,709,535 unallocated prior year funds, for the mail: 4401 N. Fairfax Drive, Room 634; is available for project awards and Paul S. Sarbanes Transit in Parks Arlington, VA 22203. $134,500 is reserved for oversight program, as authorized by Section 3021 • Forest Service: Rosana Barkawi, activities. An additional $633,845 is of the Safe, Accountable, Flexible, [email protected], tel: (703) 605– available for project awards in FY 2011 Efficient Transportation Equity Act—A 4509, mail: 1400 Independence Avenue from funds appropriated in 2006, 2008 Legacy for Users of 2005 (SAFETEA– SW., Washington, DC 20250–1101. and 2010. This includes funds LU) and its extensions, and codified in • Bureau of Land Management: Victor 49 U.S.C. 5320. The Paul S. Sarbanes previously reserved for other authorized F. Montoya, [email protected], Transit in Parks program funds capital program activities and funds returned tel: (202) 912–7041, mail: 1620 L Street, and planning expenses for alternative from previously awarded projects. The WO–854, Washington, DC 20036. transportation systems in parks and total amount available for FY 2011 is public lands. Federal land management For general information about the $27,343,380. agencies and State, tribal and local Paul S. Sarbanes Transit in Parks The Surface and Air Transportation governments acting with the consent of program, please contact Adam Schildge, Programs Extension Act of 2011 a Federal land management agency are Office of Program Management, Federal provided $13,450,000 for the program eligible recipients. Transit Administration, at for the period of October 1, 2011 [email protected], (202) 366–0778. FOR FURTHER INFORMATION CONTACT: through March 31, 2012, which is Project sponsors who are State, local, or SUPPLEMENTARY INFORMATION: FTA approximately half of the FY 2011 full- tribal entities may contact the announces the selection of projects for year amount. From this amount, a total appropriate FTA regional office at the Paul S. Sarbanes Transit in Parks of $67,530 is reserved for oversight http://www.fta.dot.gov/ for grant- Program for Fiscal Years 2011 and 2012. activities in FY 2012. With the addition specific issues. Project sponsors who are As proposed in the Notice of Funding of $55,965 in previously unavailable FY a Federal land management agency or a Availability (NOFA) published on 2011 contract authority and $26,985 in specific unit of a Federal land March 10, 2011, FTA is including funds returned from previously awarded management agency should work with available FY 2012 funding in this projects, a total of $13,465,420 is the contact listed below at their selection of projects. Once additional available for project awards. The headquarters office to coordinate the FY 2012 funding becomes available, combined total amount of funding for availability of funds to that unit. FTA may select additional projects from project awards in FY 2011 and 2012 at • National Park Service: Mark H the FY 2011 applicants; publish an the time of this announcement is Hartsoe, [email protected]; tel: additional FY 2012 NOFA; incorporate $40,808,800.

FY 2011 & FY 2012 PAUL S. SARBANES TRANSIT IN PARKS PROGRAM

FY 2011 FY 2012

Appropriation ...... $26,844,035 $13,450,000 Oversight Deduction (0.5%) ...... (134,500) (67,530 ) FY 2011 Contract Authority ...... 55,965 Prior Year Unobligated Funds ...... 633,845 26,985 Available for Grants ...... 27,343,380 13,465,420

A total of 106 applicants requested through alternative transportation for the Paul S. Sarbanes Transit in Parks $91.1 million, which is more than three projects. The projects selected to use FY program do not require Department of times the amount announced in FY 2011 and 2012 funding represent a Labor Certification.) Upon grant award, 2011 and more than twice the total diverse set of capital and planning payments to grantees will be made by amount currently available, indicating projects across the country, ranging electronic transfer to the grantee’s high competition for funds. A joint from bus purchases to installation of financial institution through FTA’s review committee of the U.S. Intelligent Transportation Systems Electronic Clearing House Operation Department of Interior, the U.S. (ITS), and are listed in Table 1. (ECHO) system. Staff in FTA’s Regional Department of Agriculture’s Forest offices are available to assist applicants. Applying for Funds Service and DOT evaluated the project Recipients who are Federal land proposals based on the criteria defined Recipients who are State or local management agencies will be required in 49 U.S.C. 5320(g)(2). Final selections government entities will be required to to enter into an interagency agreement were made through a collaborative apply for Paul S. Sarbanes Transit in (IAA) with FTA. FTA will administer process. Parks program funds electronically one IAA with each Federal land The goals of the program are to through FTA’s electronic grant award management agency receiving funding conserve natural, historical, and cultural and management system, TEAM. These through the program for all of that resources; reduce congestion and entities are assigned discretionary agency’s projects. Consistent with pollution; improve visitor mobility and project IDs as shown in Table I and section 9.5.2a of the ‘‘Department of accessibility; enhance visitor Table II of this notice. The content of Transportation Financial Management experience; and ensure access to all, these grant applications must reflect the Policies Manual (October 24, 2006), including persons with disabilities, approved proposal. (Note: Applications funds awarded to Federal land

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management agencies through pre-award spending authority, when public announcement will not be interagency agreements remain available triggered, permits a grantee to incur eligible for credit toward local match or for a period of five years from execution costs on an eligible transit capital or reimbursement. Furthermore, the of the agreement. Individual units of planning project without prejudice to expenditure of local funds on activities Federal land management agencies possible future Federal participation in such as land acquisition, demolition, or should work with the contact at their the cost of the project or projects. Under construction, prior to the completion of headquarters office listed above to the authority provided in 49 U.S.C. the NEPA process, would compromise coordinate the availability of funds to 5320(h), FTA is extending pre-award FTA’s ability to comply with Federal that unit. authority for FY 2011 and 2012 Paul S. environmental laws and may render the Sarbanes Transit in Parks projects project ineligible for FTA funding. Program Requirements announced in this notice effective e. When a grant for the project is Section 5320 requires funding January 17, 2012 when the projects were subsequently awarded, the Financial recipients to meet certain requirements. publicly announced. Status Report in TEAM–Web must Requirements that reflect existing The conditions under which pre- indicate the use of pre-award authority, statutory and regulatory provisions can award authority may be utilized are and the pre-award item in the project be found in the document ‘‘Alternative specified below: information section of TEAM should be Transportation in Parks and Public a. Pre-award authority is not a legal or marked ‘‘yes.’’ Lands Program: Requirements for implied commitment that the project(s) Recipients’’ available at will be approved for FTA assistance or Reporting Requirements www.fta.dot.gov/transitinparks. These that FTA will obligate Federal funds for All recipients must submit quarterly requirements are incorporated into the those projects. Furthermore, it is not a reports to FTA containing the following grant agreements and inter-agency legal or implied commitment that all information: agreements used to fund the selected items undertaken by the applicant will (1) Narrative description of project(s); projects. be eligible for inclusion in the project(s). and, b. All FTA statutory, procedural, and Pre-Award Authority contractual requirements must be met. (2) discussion of all budget and Pre-award authority allows an agency This includes adherence to Federal schedule changes. that will receive a grant or interagency planning requirements for recipients of The headquarters office for each Federal agreement to incur certain project costs FTA grants, National Environmental land management agency should collect prior to receipt of the grant or Policy Act (NEPA) requirements, and a quarterly report for each of the interagency agreement and retain Federal competitive procurement projects delineated in the interagency eligibility of the costs for subsequent requirements. agreement and then send these reports reimbursement after the grant or c. No action will be taken by the by email to Adam Schildge, FTA, agreement is approved. The recipient grantee that prejudices the legal and mailto: [email protected]. assumes all risk and is responsible for administrative findings that the Federal Examples can be found on the program ensuring that all conditions are met to Transit Administration must make in Web site at http://www.fta.dot.gov/ retain eligibility, including compliance order to approve a project. transitinparks. State, local and tribal with Federal requirements such as the d. Local funds expended pursuant to governments will provide this National Environmental Policy Act this pre-award authority will be eligible information to FTA via the TEAM–Web (NEPA), SAFETEA–LU planning for reimbursement if FTA later makes a system for projects that are funded requirements, and provisions grant or interagency agreement for the through FTA grants. established in the grant contract or project(s). Local funds expended by the The quarterly reports are due to FTA Interagency Agreement. This automatic grantee prior to the January 17, 2012 on the dates noted below:

Quarter Covering Due date

1st Quarter Report ...... October 1–December 31 ...... January 30. 2nd Quarter Report ...... January 1–March 31 ...... April 30. 3rd Quarter Report ...... April 1–June 30 ...... July 30. 4th Quarter Report ...... July 1–September 31 ...... October 30.

In order to allow FTA to compute and the typical number of passengers Management Agency recipients will aggregate program performance per vehicle; complete the certification by signing the measures FTA requires that all D Cost per passenger; and, interagency agreement. This recipients of funding for capital projects D A note of any special services certification is the basis for oversight under the Paul S. Sarbanes Transit in offered for those systems with higher reviews conducted by FTA. Parks program submit the following costs per passenger but more amenities. The Secretary of Transportation and information as a part of their fourth FTA have elected not to apply the Oversight quarter report: triennial review requirements of 49 D Annual visitation to the relevant Recipients of FY 2011 and FY 2012 U.S.C. 5307(h)(2) to Paul S. Sarbanes land unit; Paul S. Sarbanes Transit in Parks Transit in Parks program recipients that program funds will be required to are other Federal agencies. Instead, D Annual number of persons who use certify that they will comply with all working with the existing oversight the alternative transportation system applicable Federal and FTA systems at the Federal Land (ridership/usage); programmatic requirements. FTA direct Management Agencies, FTA will D An estimate of the number of grantees will complete this certification perform periodic reviews of specific vehicle trips mitigated based on as part of the annual Certification and projects funded by the Paul S. Sarbanes alternative transportation system usage Assurances package, and Federal Land Transit in Parks program. These reviews

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will ensure that projects meet the basic project. FTA direct grantees of Paul S. Issued in Washington, DC, January 27, statutory, administrative, and regulatory Sarbanes Transit in Parks program funds 2012. requirements as stipulated by this notice (State, local and tribal government Peter Rogoff, and the certification. To the extent entities) will be subject to all applicable Administrator. possible, these reviews will be triennial, State management, civil rights, BILLING CODE 4910–57–P coordinated with other reviews of the and other reviews.

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[FR Doc. 2012–2260 Filed 2–2–12; 8:45 am] BILLING CODE 4910–57–C

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DEPARTMENT OF TRANSPORTATION Addressees: Send comments to the hand or by mail to the Docket Clerk, Office of Information and Regulatory U.S. Department of Transportation, Maritime Administration Affairs, Office of Management and Docket Operations, M–30, West Budget, 725 17th Street NW., Building Ground Floor, Room W12–140, Reports, Forms and Recordkeeping Washington, DC 20503, Attention 1200 New Jersey Avenue SE., Requirements; Agency Information Maritime Administration Desk Officer. Washington, DC 20590. You may also Collection Activity Under OMB Review Alternatively, comments may be sent send comments electronically via the AGENCY: Maritime Administration, DOT. via email to the Office of Information Internet at http://www.regulations.gov. and Regulatory Affairs (OIRA), Office of ACTION: Notice and request for All comments will become part of this comments. Management and Budget, at the docket and will be available for following address: oira.submissions@ inspection and copying at the above SUMMARY: In compliance with the omb.eop.gov. address between 10 a.m. and 5 p.m., Paperwork Reduction Act of 1995 (44 Comments Are Invited On: Whether E.T., Monday through Friday, except U.S.C. 3501 et seq.), this notice the proposed collection of information federal holidays. An electronic version announces that the Information is necessary for the proper performance of this document and all documents Collection abstracted below has been of the functions of the agency, including entered into this docket is available on forwarded to the Office of Management whether the information will have the World Wide Web at http:// and Budget (OMB) for review and practical utility; the accuracy of the www.regulations.gov. agency’s estimate of the burden of the approval. The nature of the information FOR FURTHER INFORMATION CONTACT: proposed information collection; ways collection is described as well as its Joann Spittle, U.S. Department of to enhance the quality, utility and expected burden. The Federal Register Transportation, Maritime clarity of the information to be Notice with a 60-day comment period Administration, 1200 New Jersey collected; and ways to minimize the soliciting comments on the following Avenue SE., Room W21–203, burden of the collection of information collection of information was published Washington, DC 20590. Telephone (202) on respondents, including the use of on November 21, 2011, and comments 366–5979, Email [email protected]. automated collection techniques or were due by January 20, 2012. No SUPPLEMENTARY INFORMATION: comments were received. other forms of information technology. A comment to OMB is best assured of As described by the applicant the DATES: Comments must be submitted on intended service of the vessel BIG or before March 5, 2012. having its full effect if OMB receives it within 30 days of publication. GAME is: FOR FURTHER INFORMATION CONTACT: Intended Commercial Use of Vessel: Thomas Christensen, Maritime Authority: 49 CFR 1.66. ‘‘Fishing charter boat.’’ Administration, Office of Emergency Issued in Washington, DC, on January 31, Geographic Region: ‘‘Rhode Island, Preparedness, 1200 New Jersey Avenue 2012. Massachusetts, Connecticut.’’ SE., Washington, DC 20590. Telephone: Julie Agarwal, The complete application is given in (202) 366–5909 or email: Thomas. Secretary, Maritime Administration. DOT docket MARAD–2012–0003 at [email protected]. Copies of this http://www.regulations.gov. Interested [FR Doc. 2012–2520 Filed 2–2–12; 8:45 am] collection also can be obtained from that parties may comment on the effect this BILLING CODE 4910–81–P office. action may have on U.S. vessel builders SUPPLEMENTARY INFORMATION: Maritime or businesses in the U.S. that use U.S.- Administration (MARAD). DEPARTMENT OF TRANSPORTATION flag vessels. If MARAD determines, in Title: Effective U.S. Control (EUSC)/ accordance with 46 U.S.C. 12121 and Parent Company. Maritime Administration MARAD’s regulations at 46 CFR Part OMB Control Number: 2133–0511. 388, that the issuance of the waiver will [Docket No. MARAD–2012–0003] Type of Request: Extension of have an unduly adverse effect on a U.S.- currently approved collection. Requested Administrative Waiver of vessel builder or a business that uses Affected Public: U.S. citizens who the Coastwise Trade Laws: Vessel BIG U.S.-flag vessels in that business, a owns foreign-registered vessels. GAME; Invitation for Public Comments waiver will not be granted. Comments Forms: None. should refer to the docket number of Abstract: The Effective U.S. Control AGENCY: Maritime Administration, this notice and the vessel name in order (EUSC) Parent Company collection Department of Transportation. for MARAD to properly consider the consists of an inventory of foreign ACTION: Notice. comments. Comments should also state registered vessels owned by U.S. the commenter’s interest in the waiver citizens. Specifically, the collection SUMMARY: As authorized by 46 U.S.C. application, and address the waiver consists of responses from vessel 12121, the Secretary of Transportation, criteria given in § 388.4 of MARAD’s owners verifying or correcting vessel as represented by the Maritime regulations at 46 CFR part 388. ownership data and characteristics Administration (MARAD), is authorized found in commercial publications. The to grant waivers of the U.S.-build Privacy Act information obtained could be vital in a requirement of the coastwise laws under Anyone is able to search the national or international emergency, certain circumstances. A request for electronic form of all comments and is essential to the logistical support such a waiver has been received by received into any of our dockets by the planning operations conducted by MARAD. The vessel, and a brief name of the individual submitting the MARAD officials. The information is description of the proposed service, is comment (or signing the comment, if used in contingency planning and listed below. submitted on behalf of an association, provides data related to potential sealift DATES: Submit comments on or before business, labor union, etc.). You may capacity to support movement of fuel March 5, 2012. review DOT’s complete Privacy Act and military equipment to crisis zones. ADDRESSES: Comments should refer to Statement in the Federal Register Annual Estimated Burden Hours: 30 docket number MARAD–2012–0003. published on April 11, 2000 (Volume hours. Written comments may be submitted by 65, Number 70; Pages 19477–78).

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Dated: January 30, 2012. Intended Commercial Use of Vessel: Junction) and CCP’s connection with By Order of the Maritime Administrator. ‘‘Passenger day charters. Maybe an DM&E at or near milepost 86.7± in Christine Gurland, overnight or two to Catalina Island.’’ Rockford (CCP/DM&E Connection), in Acting Secretary, Maritime Administration. Geographic Region: ‘‘California.’’ Winnebago County, Ill.2 The complete application is given in [FR Doc. 2012–2405 Filed 2–2–12; 8:45 am] DM&E presently operates between DOT docket MARAD–2012–0002 at Davis Junction, Ill. and Rockford BILLING CODE 4910–81–P http://www.regulations.gov. Interested pursuant to a trackage rights agreement parties may comment on the effect this with Illinois Railway, Inc. (IR). A DEPARTMENT OF TRANSPORTATION action may have on U.S. vessel builders segment of the trackage is currently out or businesses in the U.S. that use U.S.- of service in Rockford as a result of track Maritime Administration flag vessels. If MARAD determines, in realignment. CCP has agreed to grant accordance with 46 U.S.C. 12121 and DM&E trackage rights for the movement [Docket No. MARAD–2012–0002] MARAD’s regulations at 46 CFR part of freight between the CCP/DM&E 388, that the issuance of the waiver will Connection and the connecting track Requested Administrative Waiver of have an unduly adverse effect on a U.S.- between CCP and IR at Rockford the Coastwise Trade Laws: Vessel vessel builder or a business that uses Junction. SEVEN SEAS; Invitation for Public U.S.-flag vessels in that business, a The transaction is scheduled to be Comments waiver will not be granted. Comments consummated on February 19, 2012 the should refer to the docket number of effective date of the exemption (30 days AGENCY: Maritime Administration, this notice and the vessel name in order Department of Transportation. after the exemption was filed). for MARAD to properly consider the The purpose of the transaction is to ACTION: Notice. comments. Comments should also state provide an alternative to DM&E’s operating rights over IR trackage in SUMMARY: As authorized by 46 U.S.C. the commenter’s interest in the waiver 12121, the Secretary of Transportation, application, and address the waiver Rockford that is currently out of service. As a condition to this exemption, any as represented by the Maritime criteria given in § 388.4 of MARAD’s employees affected by the trackage Administration (MARAD), is authorized regulations at 46 CFR Part 388. rights will be protected by the to grant waivers of the U.S.-build Privacy Act conditions imposed in Norfolk & requirement of the coastwise laws under Anyone is able to search the Western Railway—Trackage Rights— certain circumstances. A request for electronic form of all comments Burlington Northern, Inc., 354 I.C.C. 605 such a waiver has been received by received into any of our dockets by the (1978), as modified in Mendocino Coast MARAD. The vessel, and a brief name of the individual submitting the Railway—Lease & Operate—California description of the proposed service, is comment (or signing the comment, if Western Railroad, 360 I.C.C. 653 (1980). listed below. submitted on behalf of an association, This notice is filed under 49 CFR DATES: Submit comments on or before business, labor union, etc.). You may 1180.2(d)(7). If the notice contains false March 5, 2012. review DOT’s complete Privacy Act or misleading information, the ADDRESSES: Comments should refer to Statement in the Federal Register exemption is void ab initio. Petitions to docket number MARAD–2012–0002. published on April 11, 2000 (Volume revoke the exemption under 49 U.S.C. Written comments may be submitted by 65, Number 70; Pages 19477–78). 10502(d) may be filed at any time. The hand or by mail to the Docket Clerk, Dated: January 20, 2012. filing of a petition to revoke will not U.S. Department of Transportation, By Order of the Maritime Administrator. automatically stay the transaction. Docket Operations, M–30, West Petitions for stay must be filed by Christine Gurland, Building Ground Floor, Room W12–140, February 10, 2012 (at least 7 days before 1200 New Jersey Avenue SE., Acting Secretary, Maritime Administration. the exemption becomes effective). Washington, DC 20590. You may also [FR Doc. 2012–2410 Filed 2–2–12; 8:45 am] An original and 10 copies of all send comments electronically via the BILLING CODE 4910–81–P pleadings, referring to Docket No. FD Internet at http://www.regulations.gov. 35589, must be filed with the Surface All comments will become part of this Transportation Board, 395 E Street SW., DEPARTMENT OF TRANSPORTATION docket and will be available for Washington, DC 20423–0001. In inspection and copying at the above Surface Transportation Board addition, a copy of each pleading must address between 10 a.m. and 5 p.m., be served on W. Karl Hansen, 150 South E.T., Monday through Friday, except [Docket No. FD 35589] Fifth St., Suite 2300, Minneapolis, MN federal holidays. An electronic version 55402. Dakota, Minnesota & Eastern Railroad of this document and all documents Board decisions and notices are Corporation—Trackage Rights entered into this docket is available on available on our Web site at Exemption—Chicago, Central & Pacific the World Wide Web at http:// www.stb.dot.gov. Railroad Company www.regulations.gov. Decided: January 27, 2012. FOR FURTHER INFORMATION CONTACT: Pursuant to a written trackage rights By the Board, Joseph H. Dettmar, Acting Joann Spittle, U.S. Department of agreement, Chicago, Central & Pacific Director, Office of Proceedings. Transportation, Maritime Railroad Company (CCP) has agreed to Raina S. White, Administration, 1200 New Jersey grant limited overhead trackage rights to Clearance Clerk. Avenue SE., Room W21–203, Dakota, Minnesota & Eastern Railroad [FR Doc. 2012–2267 Filed 2–2–12; 8:45 am] Corporation (DM&E) 1 over Washington, DC 20590. Telephone (202) BILLING CODE 4915–01–P 366–5979, Email [email protected]. approximately 1.1 miles of rail line between milepost 85.6± (Rockford SUPPLEMENTARY INFORMATION: 2 A redacted trackage rights agreement between DM&E and CCP was filed with the notice of As described by the applicant the 1 DM&E is an indirect subsidiary of Canadian exemption. The unredacted version was filed under intended service of the vessel SEVEN Pacific Railway Company and CCP is an indirect seal along with a motion for protective order, which SEAS is: subsidiary of Canadian National Railway Company. will be addressed in a separate decision.

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Part II

Department of Labor

Employee Benefits Security Administration 29 CFR Part 2550 Reasonable Contract or Arrangement Under Section 408(b)(2)—Fee Disclosure; Final Rule

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DEPARTMENT OF LABOR publishing in the Federal Register a participants. These comments are final rule concerning the disclosures available for review under ‘‘Public Employee Benefits Security that must be furnished to plan Comments’’ on the ‘‘Laws and Administration fiduciaries in order for a contract or Regulations’’ page of the Department’s arrangement for plan services to be Employee Benefits Security 29 CFR Part 2550 ‘‘reasonable,’’ as required by ERISA Administration Web site at http:// RIN 1210–AB08 section 408(b)(2). A proposed rule was www.dol.gov/ebsa. published in December 2007 (72 FR Set forth below is an overview of the Reasonable Contract or Arrangement 70988).2 Following review of public final regulation and the public Under Section 408(b)(2)—Fee comments on the proposal and comments received on the Department’s Disclosure testimony presented at the Department’s interim final regulation. 2008 public hearing,3 the Department AGENCY: Employee Benefits Security B. Overview of Final Regulation and published an interim final rule in the Public Comments Administration, Labor. Federal Register on July 16, 2010 (75 FR ACTION: Final rule. 41600). Both the proposal and the The Department’s final regulation interim final rule required that retains the basic structure of the SUMMARY: This document contains a reasonable contracts or arrangements proposal and interim final rule by final regulation under the Employee between employee pension benefit requiring that covered service providers Retirement Income Security Act of 1974 plans and certain providers of services satisfy certain disclosure requirements (ERISA or the Act) requiring that certain to such plans include specified in order to qualify for the statutory service providers to pension plans information to assist plan fiduciaries in exemption for services under ERISA disclose information about the service assessing the reasonableness of the section 408(b)(2). providers’ compensation and potential compensation paid for services and the The furnishing of goods, services, or conflicts of interest. These disclosure conflicts of interest that may affect a facilities between a plan and a party in requirements are established as part of service provider’s performance of interest to the plan generally is a statutory exemption from ERISA’s services. The Department believes that prohibited under section 406(a)(1)(C) of prohibited transaction provisions. This plan fiduciaries need this information, ERISA. As a result, a service regulation will affect pension plan when selecting and monitoring service relationship between a plan and a sponsors and fiduciaries and certain providers, to satisfy their fiduciary service provider would constitute a service providers to such plans. obligations under ERISA section prohibited transaction, because any DATES: Effective Date: The final rule is 404(a)(1) to act prudently and solely in person providing services to the plan is effective on July 1, 2012. the interest of the plan’s participants defined by ERISA to be a ‘‘party in FOR FURTHER INFORMATION CONTACT: Fil and beneficiaries and for the exclusive interest’’ to the plan. However, section Williams or Allison Wielobob, Office of purpose of providing benefits and 408(b)(2) of ERISA exempts certain Regulations and Interpretations, defraying reasonable expenses of arrangements between plans and service Employee Benefits Security administering the plan. providers that otherwise would be Administration, (202) 693–8500. This is prohibited transactions under section 2. Public Comments on Interim Final not a toll-free number. 406 of ERISA. Specifically, section Regulation 408(b)(2) provides relief from ERISA’s SUPPLEMENTARY INFORMATION: Commenters on the December 2007 prohibited transaction rules for service A. Background proposed regulation raised a number of contracts or arrangements between a plan and a party in interest if the 1. General technical issues, which persuaded the Department to make significant changes contract or arrangement is reasonable, In recent years, the Department has to the regulation. Because of these the services are necessary for the undertaken a series of regulatory changes, the Department published the establishment or operation of the plan, initiatives to ensure that employee regulation in July 2010 as an interim and no more than reasonable benefit plan fiduciaries, as well as plan final rule and invited comments from compensation is paid for the services. participants and beneficiaries, obtain interested persons on all aspects of the Regulations issued by the Department comprehensive information about the rule. In response to this invitation, the clarify each of these conditions to the services that are provided to employee Department received 45 written exemption.4 benefit plans, and the cost of those comments from a variety of persons, The interim final rule, as modified in services.1 Today, the Department is including plan sponsors, fiduciaries, this final rule, amends the regulation at service providers, financial institutions, 29 CFR 2550.408b–2(c) to add new 1 The ‘‘408(b)(2)’’ regulation finalized by the and industry representatives of conditions to the meaning of a Department in this Notice addresses disclosures that must be furnished before plan fiduciaries enter employee benefit plans and ‘‘reasonable’’ contract or arrangement into, extend or renew contracts or arrangements for for covered plans. Previously, this services to certain pension plans. The Department participant-directed individual account plans. See paragraph stated only that a contract or also implemented changes to the information that 75 FR 64910. arrangement is not reasonable unless it must be reported concerning service provider 2 A notice of proposed rulemaking was published permits the plan to terminate without compensation as part of the Form 5500 Annual in the Federal Register (72 FR 70988) on December Report. These changes to Schedule C of the Form 13, 2007. On the same day, the Department also penalty on reasonably short notice. In 5500 complement this final rule by assuring that published, separately, a proposed class exemption publishing the July 2010 interim final plan fiduciaries have the information they need to from the restrictions of ERISA section 406(a)(1)(C) rule, the Department added a monitor service providers consistent with their in the Federal Register (72 FR 70893). For ease of duties under ERISA section 404(a)(1). See 72 FR reference, the exemptive relief for fiduciaries was requirement that, in order for certain 64731; see also frequently asked questions on incorporated into the interim final rule; the final contracts or arrangements for services to Schedule C, available on the Department’s Web site rule continues to incorporate the class exemption. be reasonable, the covered service at http://www.dol.gov/ebsa. Finally, the Department 3 Public comments on the proposed regulation, as provider must disclose specified published a final rule in October 2010 requiring the well as supplemental materials submitted in disclosure of specified plan and investment-related connection with the Department’s March 31 and information to a ‘‘responsible plan information, including fee and expense April 1, 2008, public hearing, are available on the information, to participants and beneficiaries of Department’s Web site at http://www.dol.gov/ebsa. 4 See 29 CFR 2550.408b–2.

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fiduciary.’’ The regulation defines this disclosures, and how they differ from information from the quantitative term as a fiduciary with authority to those contained in the Department’s characterization of the service provider cause the plan to enter into, or extend December 2007 proposed rule, is market presented below as a basis for or renew, a contract or arrangement for included in the Supplementary these cost estimates. This the provision of services to the plan. Information published with the interim characterization did not account for all The final rule published today reflects final rule.5 The discussion below service providers, but it does provide several modifications to the interim focuses on the final rule and how it has information on the segments of the final rule. For example, as discussed in been modified in response to comments service provider industry that are likely detail below, the final rule conforms the on the interim final rule. to be most affected by the rule (i.e., investment-related disclosure As required by Executive Order those with contracts listed on the Form requirements to the Department’s 12866, the Department evaluated the 5500). In addition to the costs to service recently finalized participant-level benefits and costs of this final rule. The providers, the Department also disclosure regulation, at 29 CFR Department believes that mandatory considered, and discusses below, the 2550.404a–5 (75 FR 64910, Oct. 20, proactive disclosure will reduce plan potential costs to plans. 2010) (the ‘‘participant-level disclosure sponsor information costs, discourage regulation’’), and requires more specific harmful conflicts, and enhance service In accordance with OMB Circular A– information concerning ‘‘indirect’’ value. Additional benefits will flow 4,6 Table 2 below depicts an accounting compensation that will be received by a from the Department’s enhanced ability statement showing the Department’s covered service provider. The to redress abuse. Although the benefits assessment of the benefits and costs Department has retained most of the are difficult to quantify, the Department associated with the final rule. The disclosures required by the interim final is confident they more than justify the estimates vary from those in the interim rule, subject to minor technical cost. The Department estimated costs for final rule by updating the analysis to modifications, explained below. A the rule over a ten-year time frame for reflect 2008 Form 5500 data (the latest comprehensive analysis of these purposes of this analysis and used available data) and 2011 labor rates.

TABLE 1—ACCOUNTING TABLE

Primary Discount Period Category estimate Year dollar rate covered

Benefits: Qualitative: The final regulation will increase the amount of information that service providers disclose to plan fiduciaries. Non-quantified benefits include information cost savings, discouraging harmful conflicts of interest, service value improvements through improved decisions and value, better enforcement tools to redress abuse, and harmonization with other EBSA rules and programs. The Department believes that the non-quantified benefits are substantial and exceed the quantified costs of the rule. A detailed analysis of the non-quantified benefits exceeding the quantified costs is contained in the impact analysis of the July 16, 2010 interim final regulation. The De- partment is confident that the benefits of the final rule exceed the costs.

Costs: Annualized Monetized ($millions/year) ...... $63.7 2011 7% 2012–2021 58.9 2011 3% 2012–2021

Note: Quantified costs include costs for service providers to perform compliance review and implementation, for disclosure of general, investment-related, and additional requested information, for responsible plan fiduciaries to request additional information from service providers to comply with the exemption and to prepare notices to the Department if the service provider fails to comply with the request.

Transfers ...... Not Applicable

1. General Paragraph (c)(1)(i) has not changed because they do not involve a ‘‘covered from the interim final rule. It provides plan’’ and a ‘‘covered service provider.’’ The final regulation amends that no contract or arrangement for ERISA nonetheless requires such paragraph (c) of § 2550.408b–2 by services between a covered plan and a contracts or arrangements to be moving, without change, the original covered service provider, nor any ‘‘reasonable’’ in order to satisfy the provisions of paragraph (c) to a newly extension or renewal, is reasonable ERISA section 408(b)(2) statutory designated paragraph (c)(3) and adding within the meaning of ERISA section exemption. ERISA section 404(a) also new paragraphs (c)(1) and (c)(2) to 408(b)(2) and this regulation unless the obligates plan fiduciaries to obtain and address the disclosure requirements requirements of the regulation are carefully consider information applicable to a ‘‘reasonable contract or satisfied. The terms ‘‘covered plan’’ and necessary to assess the services to be arrangement.’’ Paragraph (c)(1) describes ‘‘covered service provider’’ are defined provided to the plan, the reasonableness the disclosure requirements for pension in paragraph (c)(1)(ii) and (iii), plans. Paragraph (c)(2) is reserved for respectively. of the compensation being paid for such future guidance concerning the The Department notes that some services, and potential conflicts of disclosure requirements for welfare contracts or arrangements will fall interest that might affect the quality of plans.7 outside the scope of the final regulation the provided services.8

5 See 75 FR 41600. 7 This separate initiative, including the Understanding Retirement Plans Fees and 6 Available at http://www.whitehouse.gov/omb/ Department’s December 2010 public hearing, is Expenses, (http://www.dol.gov/ebsa/publications/ circulars/a004/a-4.pdf. discussed below. undrstndgrtrmnt.html), and Selection and 8 See, e.g., Field Assistance Bulletin 2002–3 (Nov. Monitoring Pension Consultants—Tips for Plan 5, 2002), Advisory Opinion 97–15A (May 22, 1997), Fiduciaries, (http://www.dol.gov/ebsa/newsroom/ Advisory Opinion 97–16A (May 22, 1997), fs053105.html).

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The general paragraph in section (c)(1)(ii) includes an additional spouse, such as a Keogh or ‘‘HR–10’’ (c)(1)(i) of the final rule goes on to exclusion from the definition of plan. The final rule describes a ‘‘covered provide, as in the interim final rule, that ‘‘covered plan.’’ The Department was plan’’ as a pension plan within the the rule’s disclosure requirements are persuaded by commenters on the meaning of ERISA section 3(2)(A), independent of a fiduciary’s obligations interim final rule to exclude all or that which is an ‘‘employee benefit plan’’ under ERISA section 404.9 A few part of a Code section 403(b) plan under section 3(3) subject to Title I. The commenters on the interim final rule (hereafter ‘‘403(b) plan’’) that consists Department’s existing regulations at 29 requested that the Department more exclusively of ‘‘frozen’’ contracts or CFR 2510.3–3 clarify the definition of directly address the treatment, for accounts, as described in the ‘‘employee benefit plan’’ in section 3(3) ERISA section 404 purposes, of Department’s Field Assistance Bulletins for purposes of Title I coverage.12 Under information that is requested by the addressing the limited application of the such regulations, the term ‘‘employee responsible plan fiduciary, but that is annual reporting requirements to such benefit plan’’ does not include any plan, not specifically required from the contracts or accounts.10 Plan sponsors including a pension plan, under which covered service provider under the final and fiduciaries likely would be unable no employees are participants in the rule. These commenters are concerned to comply with this rule because they plan (referred to therein as ‘‘common that responsible plan fiduciaries may often have no dealings with the relevant law employees’’). Section 2510.3–3(c) believe that they need additional plan service providers and are unable to provides that an individual and his or information, which a service provider is obtain information about these contracts her spouse are not ‘‘employees’’ with not willing to furnish, to satisfy their and accounts. Accordingly, paragraph respect to a trade or business, obligations under ERISA section 404 to (c)(1)(ii) of the final rule now provides incorporated or unincorporated, which prudently select and monitor plan that, in the case of a Code section 403(b) is wholly owned by the individual and service providers. It is the view of the plan subject to Title I of ERISA, the his or her spouse. Nor does ‘‘employee’’ Department that if a plan fiduciary ‘‘covered plan’’ would not include include a partner in a partnership and needs particular information to make an annuity contracts and custodial his or her spouse with respect to the informed decision when selecting or accounts described in section 403(b) of partnership. For example, a ‘‘Keogh’’ or monitoring a plan service provider, then the Code with respect to which the plan ‘‘H.R. 10’’ plan under which only ERISA section 404’s duty of prudence sponsor ceased to have any obligation to partners or only a sole proprietor are requires that fiduciary to request such make contributions (including employee plan participants is not an ‘‘employee information. If the service provider fails salary reduction contributions) and in benefit plan’’ subject to Title I. Thus, or refuses to furnish the requested fact ceased making contributions to under the final rule, a pension plan information, then ERISA section 404 such contracts or accounts for periods without ‘‘employees’’ who are may preclude the plan fiduciary from before January 1, 2009. Further, the participants in the plan, as defined in entering into (or continuing) the service contract or account has to have been § 2510.3–3(c), would not be a ‘‘covered contract or arrangement. The disclosure issued to a current or former employee plan.’’ requirements of the final rule are before January 1, 2009; all the rights and 3. Scope—Covered Service Provider independent of a fiduciary’s obligations benefits under the contract or account under ERISA section 404. have to be legally enforceable against The final rule, in paragraph Moreover, the final rule’s disclosure the insurer or custodian by the (c)(1)(iii)(A), (B), and (C), covers the requirements should be construed individual owner of the contract or same categories of service providers as broadly to ensure that responsible plan account without any involvement by the the interim final rule. A ‘‘covered fiduciaries base their review of a service employer; and such individual owner service provider’’ is a service provider contract or arrangement on has to be fully vested in the contract or that enters into a contract or comprehensive information. account. arrangement with the covered plan and reasonably expects $1,000 or more in 2. Scope—Covered Plans One commenter requested that the Department clarify that health savings compensation, direct or indirect, to be Paragraph (c)(1)(ii) defines a ‘‘covered accounts are not ‘‘covered plans.’’ The received in connection with providing plan’’ to mean, with certain exceptions, Department notes that health savings one or more of the services described in an employee pension benefit plan or a accounts are not pension plans within paragraphs (c)(1)(iii)(A), (B), or (C) of pension plan within the meaning of the meaning of ERISA section 3(2)(A) the final rule.13 A service provider will ERISA section 3(2)(A) (and not and generally are not employee benefit described in ERISA section 4(b)). A plans within the meaning of ERISA 12 See also Raymond B. Yates, M.D., P.C. Profit Sharing Plan v. Hendon, 541 U.S. 1 (2004). ‘‘covered plan’’ shall not include a section 3(3), when employer ‘‘simplified employee pension’’ 13 Some commenters on the interim final rule involvement with the accounts is suggested that $1,000 is not an appropriate described in section 408(k) of the limited. Therefore, a health savings threshold for covered service providers. Some Internal Revenue Code of 1986 (the account would not be a ‘‘covered plan’’ believe that $1,000 is too low, because it will Code), a ‘‘simple retirement account’’ for purposes of the final rule. See the subject relatively insignificant arrangements to the described in section 408(p) of the Code, required disclosures, and suggested that $2,500 or Department’s discussion of health $5,000 would be more appropriate. Others, an individual retirement account savings accounts and ERISA section however, argued that $1,000 is too high and will described in section 408(a) of the Code, 3(2)(A) in Field Assistance Bulletins adversely affect small plans, many of which are or an individual retirement annuity 2004–1 and 2006–02.11 likely to have smaller service arrangements (for less described in section 408(b) of the Code. than $1,000) and less sophistication and bargaining Another commenter asked whether power to obtain detailed information about such For purposes of the final rule, paragraph the definition of a covered plan would arrangements. Some commenters argued that the include a plan that provides benefits standard should be tied to a percentage of plan 9 Two commenters on the interim final rule only to a business owner and his or her assets, subject to a cost-of-living adjustment, or suggested that the final rule should explicitly state conformed to Form 5500 Schedule C standards. The that compliance does not provide relief from Department was not persuaded to revise this fiduciary obligations under ERISA section 404. 10 See Field Assistance Bulletins 2010–01 (Feb. provision and believes that $1,000 strikes an Such a provision was already included in the 17, 2010) and 2009–02 (July 20, 2009). appropriate balance between these competing interim final rule, and has not been removed or 11 See Field Assistance Bulletins 2004–1 (April 7, concerns. Some commenters asked the Department revised for purposes of the final rule. 2004) and 2006–02 (Oct. 27, 2006). to more specifically delineate the time period over

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be covered even if some or all of the connection with such recordkeeping example, in cases when a ‘‘bundled’’ services provided pursuant to the services or brokerage services. arrangement of multiple services is contract or arrangement are performed The third category of covered service offered to the covered plan, only one (or some or all of the compensation for providers, described in paragraph service provider would need to furnish such services is received) by affiliates of (c)(1)(iii)(C), includes those providing the required disclosures for the bundled the covered service provider or specified services to the covered plan services. For example, a recordkeeper subcontractors. The limitation when the covered service provider (or (Recordkeeper) who enters into a contained in paragraph (c)(1)(iii)(D)(1) an affiliate or subcontractor) reasonably contract with a covered plan to furnish ensures that services providers do not expects to receive ‘‘indirect’’ specified recordkeeping services and to themselves, separately, become compensation or certain payments from make available a platform of ‘‘covered service providers’’ solely as a related parties. As discussed below, the investments may outsource some of the result of services that they perform in final rule defines the terms ‘‘affiliate,’’ recordkeeping and plan administration their capacity as an affiliate of the ‘‘indirect compensation,’’ and services, and pay transaction-based covered service provider or a ‘‘subcontractor’’ in paragraph (c)(1)(viii). compensation, to an affiliated third subcontractor. The services set forth in this category, party administrator (TPA). The TPA The first category of covered service which have not changed from the does not have any separate contract or providers, described in paragraph interim final rule, are accounting, arrangement with the covered plan. (c)(1)(iii)(A), includes those providing auditing, actuarial, appraisal, banking, Although both the Recordkeeper and the services as an ERISA fiduciary or as an consulting (i.e., consulting related to the TPA provide services that are described investment adviser registered under development or implementation of in the categories of covered service either the Investment Advisers Act of investment policies or objectives, or the providers under the final rule (the 1940 (Advisers Act) or any State law. selection or monitoring of service Recordkeeper under paragraph This category is split into three providers or plan investments), (c)(1)(iii)(B) and the TPA under subsections, as in the interim final rule: custodial, insurance,14 investment paragraph (c)(1)(iii)(C)), only the Paragraph (1) includes ERISA fiduciary advisory (for plan or participants), legal, Recordkeeper is the covered service services provided directly to the recordkeeping, securities or other provider. The Recordkeeper is the covered plan; paragraph (2) includes investment brokerage, third party ‘‘covered’’ service provider because he ERISA fiduciary services provided to an administration, or valuation services or she is the party entering into the investment contract, product, or entity provided to the covered plan. service contract or arrangement with the that holds plan assets and in which the Paragraph (c)(1)(iii)(D) of the final covered plan. covered plan has a direct equity regulation clarifies that, Multiple service providers that investment (a direct equity investment notwithstanding the preceding furnish services pursuant to a single does not include investments made by categories of ‘‘covered service contract or arrangement with a covered the investment contract, product, or providers,’’ no person or entity is a plan may agree among themselves who entity in which the covered plan ‘‘covered service provider’’ solely by will enter into the contract or invests); and paragraph (3) includes providing services (1) as an affiliate or arrangement with the covered plan and services provided directly to the a subcontractor that is performing one be the covered service provider. The covered plan as an investment adviser or more of the services to be provided other service providers may be affiliates registered under either the Advisers Act under the contract or arrangement with of or subcontractors to the covered or State law. the covered plan (see paragraph service provider; and covered service The second category of covered (c)(1)(iii)(D)(1)), or (2) to an investment providers’ disclosures would reflect service providers, described in contract, product, or entity in which the their status in accordance with the final paragraph (c)(1)(iii)(B), includes covered plan invests, regardless of rule. whether or not the investment contract, providers of recordkeeping services or 4. Initial Disclosure Requirements brokerage services to a covered plan that product, or entity holds assets of the The final rule continues to require is an ERISA section 3(34) individual covered plan, other than services as a fiduciary described in paragraph that covered service providers furnish account plan that permits participants specified disclosures to responsible plan and beneficiaries to direct the (c)(1)(iii)(A)(2) (see paragraph (c)(1)(iii)(D)(2)). fiduciaries in writing.16 As discussed in investment of their accounts, if one or detail below, these disclosures generally more designated investment alternatives Paragraph (c)(1)(iii)(D) clarifies the disclosure obligations of multiple must be furnished reasonably in will be made available (e.g., through a advance of entering into, or extending or platform or similar mechanism) in parties within an arrangement for plan services. The party entering into the renewing, the contract or arrangement for services. The disclosed information which the $1,000 must be measured, for example, contract or arrangement with the over a calendar or plan year or during the term of covered plan is the covered service will assist plan fiduciaries in the contract. The Department notes that the focus provider responsible for making the understanding the services and in is on whether $1,000 is expected to be received in rule’s disclosures, even if other parties connection with providing the services specified in perform some of the services.15 For packaged together pursuant to one contract or the contract, regardless of whether compensation is arrangement. In many cases, more than one service expected to be received in a particular year or provider will enter into a contract or arrangement during the stated term of the contract. Some 14 One commenter on the interim final rule with a covered plan, and, in that case, there may compensation, for example, trailing commissions, requested clarification that insurance brokerage be more than one ‘‘covered’’ service provider, may be received after the services have been services were included in this category; the whose separate contract or arrangement with the furnished, but still be ‘‘in connection with’’ those commenter explained, for example, that insurance covered plan must comply with the final rule. services. In response to some expressed concerns, brokers often are involved in selling pension plan 16 Consistent with the Department’s position in the Department cautions parties against attempting arrangements, especially to small plans. The the interim final rule, although required to structure contracts for ongoing services Department does intend that such insurance information must be disclosed ‘‘in writing,’’ the specifically to avoid the $1,000 threshold. In services are included in this category of covered final rule does not require that a formal contract or determining compliance with the threshold, the service providers. arrangement itself be in writing or that any Department will look to the substance, rather than 15 The final rule should not be interpreted, representations concerning the obligations of the form, of the contract or arrangement between the however, as requiring that any services which covered service provider be included in such plan and service provider(s). otherwise would be provided separately must be written contract or arrangement.

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assessing the reasonableness of the disclose services beyond those that c. Disclosure of Compensation compensation, direct and indirect, that make it a ‘‘covered’’ service provider. Paragraph (c)(1)(iv)(C) of the final rule the service provider will receive. b. Status of Covered Service Providers, requires the covered service provider to a. Description of Services Affiliates, and Subcontractors disclose comprehensive information about the compensation that will be Paragraph (c)(1)(iv)(A) of the final rule Paragraph (c)(1)(iv)(B) of the final rule received in connection with the services requires that the covered service requires, if applicable, a statement that provided pursuant to the contract or provider describe the services to be the covered service provider, an arrangement. This paragraph, including provided to the covered plan pursuant affiliate, or a subcontractor will provide, paragraphs (1) through (4), is structured to the contract or arrangement (but not or reasonably expects to provide, the same as in the interim final rule. including certain non-fiduciary services services pursuant to the contract or One substantive change, discussed to an investment product, contract, or arrangement directly to the covered plan below, has been made to the disclosures entity in which the covered plan (or to an investment vehicle that holds required for the receipt of ‘‘indirect’’ invests, as described in paragraph plan assets and in which the covered compensation. Also, cross references (c)(1)(iii)(A)(2) of the final rule). This plan has a direct equity investment) as have been modified as necessary to paragraph has not changed from the a fiduciary (within the meaning of reflect the reordering of paragraphs interim final rule. section 3(21) of ERISA); and, if (c)(1)(iv)(E) through (G). Otherwise, the The description of services should be applicable, a statement that the covered final rule retains the same concepts as clear and understandable to the service provider, an affiliate, or a the interim final rule with respect to responsible plan fiduciary. In the subcontractor will provide, or what types of compensation have to be preamble to the interim final rule, the reasonably expects to provide, services disclosed for purposes of a reasonable Department explained that a detailed pursuant to the contract or arrangement description of the services may not be contract or arrangement. directly to the covered plan as an Paragraph (c)(1)(iv)(C)(1) requires a necessary when the parties to the investment adviser registered under description of all direct compensation, contract or arrangement already either the Advisers Act or any State law. either in the aggregate or by service, that understand the nature of the services. If a service provider will, or reasonably the covered service provider, an Some commenters on the interim final expects to, provide services both as a affiliate, or a subcontractor reasonably rule pointed out that they do not believe fiduciary and a registered investment expects to receive in connection with all plan fiduciaries have a basic adviser, the statement must reflect both the services described in paragraph understanding of plan services. They of these roles. This paragraph has not (c)(1)(iv)(A). For purposes of the final recommended that the final rule changed from the interim final rule rule, ‘‘direct’’ compensation is explicitly define the level of detail except that, for clarification purposes, compensation received directly from the necessary for a description of services the parenthetical ‘‘within the meaning covered plan. See paragraph and perhaps require ‘‘plain English’’ of section 3(21) of the Act’’ was added (c)(1)(viii)(B)(1) of the final rule. This disclosures, model language, or a to modify use of the term ‘‘fiduciary’’ for paragraph has not changed from the ‘‘check the box’’ format. The this purpose. interim final rule. In response to Department has not included additional Two commenters on the interim final comments raised on the interim final standards for the description of services. rule suggested that covered service rule, the Department notes that ‘‘direct’’ As noted earlier, and consistent with the providers should be required to state compensation includes compensation Department’s position in the interim affirmatively whether or not they will be that initially is paid by the plan final rule, responsible plan fiduciaries providing services as an ERISA sponsor, but who then is reimbursed have a duty to carefully review the fiduciary or a registered investment from the plan.18 Parties cannot avoid information they receive when entering adviser. The Department declined to this disclosure requirement by creating into a contract or arrangement for plan accept this suggestion, because intermediary payments and arguing services. This regulation requires that statements explaining that a service that, as a technical matter, such responsible plan fiduciaries receive the provider will not be providing services payments do not constitute basic information needed to make as an ERISA fiduciary or as a registered ‘‘compensation’’ for purposes of the informed decisions about service costs investment adviser may be more final rule. The Department also and potential conflicts of interest. If confusing than helpful to responsible confirms, as requested by a commenter, responsible plan fiduciaries need plan fiduciaries. Another commenter assistance in understanding any requested that the Department affirm acknowledge that they are acting as an ERISA information furnished by the service that formal agreements stating whether fiduciary with respect to providing such advice. See provider, as a matter of prudence, they a person is an ERISA fiduciary are not 75 FR 65263 (Oct. 22, 2010). See also 29 CFR should request assistance, either from dispositive of whether the person 2509.75–8. The Department recently announced its decision to re-propose this amendment as a the service provider or elsewhere. actually is a fiduciary by virtue of a response, in part, to requests from the public, A few commenters on the interim factual analysis of the functions including members of Congress, that the agency final rule asked whether a covered performed. The Department agrees that allow an opportunity for additional input (Sept. 19, service provider must disclose only the a formal agreement that a person is not 2011). services that make the service provider a fiduciary is not dispositive. The 18 The Department notes that such reimbursement could be appropriate if there was a clear a ‘‘covered’’ service provider. The final definition of ‘‘fiduciary’’ in ERISA, as understanding or agreement, as a result of plan rule provides that a covered service set forth in section 3(21), is based on a language or otherwise, on or before the time the provider must describe all services that person’s actual functions, authority and services were performed, that the plan would will be provided to the covered plan 17 reimburse the reasonable expenses paid for by the responsibility. plan sponsor. However, once the obligation to ‘‘pursuant to the contract or reimburse arises but is not fulfilled, the monies arrangement[.]’’ This includes services 17 The Department issued a proposed amendment then outstanding may become an extension of credit that will be performed by its affiliates to the regulation on fiduciary investment advice at to the plan by the sponsor. Prohibited Transaction and subcontractors pursuant to the 29 CFR 2510.3–21. Among the parties treated by the Exemption 80–26 (45 FR 28545; April 29, 1980; proposal as ERISA fiduciaries are persons who amended at 71 FR 17917; April 7, 2006) may contract or arrangement. Thus, a provide investment advice (as defined in the provide relief for such an extension of credit, covered service provider may need to proposal) for a fee, and who represent or depending upon the facts and circumstances.

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that ‘‘direct’’ compensation, described expected to be received. Although one subsidies or remuneration would be in the final rule as coming from the commenter on the interim final rule compensation received ‘‘in connection covered plan, includes compensation suggested that the Department should with’’ the service provider’s contract or that is paid directly from participants’ reinstate the conflict of interest arrangement with the covered plan. and beneficiaries’ accounts. disclosures from the proposal, the With respect to the requirement to Paragraph (c)(1)(iv)(C)(2) requires a Department continues to believe, for the describe arrangements between a description of all indirect compensation reasons stated in the preamble to the covered service provider and a payer of that the covered service provider, an interim final rule, that the scope of the indirect compensation, the Department affiliate, or a subcontractor reasonably proposed conflict of interest notes that certain commenters expressed expects to receive in connection with requirements, especially as to concerns about the ability of a broker- the services described in paragraph ‘‘potential’’ conflicts of interest, was dealer to properly identify the payer of (c)(1)(iv)(A). For purposes of the final inappropriately broad in the context of such compensation in advance of rule, ‘‘indirect’’ compensation is this regulation. The Department service arrangements involving compensation received from any source determined that the most effective way securities purchased through brokerage other than the covered plan, the plan to achieve disclosure of conflicts of windows, self-directed brokerage sponsor, the covered service provider, interest for purposes of the final rule is accounts, or similar arrangements. The or an affiliate. Compensation received to inform plan fiduciaries of what Department understands these concerns from a subcontractor is indirect compensation will be received and from and believes that descriptions of compensation, unless it is received in whom. However, the Department also is indirect compensation for this purpose connection with services performed persuaded that a responsible plan may be expressed in general terms, under the subcontractor’s contract or fiduciary would benefit from an provided that the description contains arrangement described in paragraph explanation of the arrangement between information that is sufficient to permit (c)(1)(viii)(F). A non-substantive the parties that gives rise to the indirect a responsible plan fiduciary to evaluate revision to this definition, in paragraph compensation paid in connection with the reasonableness of such (c)(1)(viii)(B)(2) of the final rule, is the covered plan’s service contract or compensation in advance of the service discussed below. arrangement, and, accordingly, has arrangement. Therefore, to the extent The covered service provider also provided for such a disclosure in the that such information is unknown at the must identify the services for which the final rule. time the disclosures are made, the indirect compensation will be received, The Department intends that the description need not identify the and the payer of the indirect concept of compensation to be received specific payer in advance of the service compensation. In addition, this by a covered service provider, or its arrangement. Instead, the description paragraph has been modified from the affiliates or subcontractors, ‘‘in may provide information that would interim final rule to include one more connection with’’ a particular contract allow the responsible plan fiduciary to requirement: the covered service or arrangement for services be construed compare the expected compensation provider must identify not only the broadly. To the extent a covered service with compensation that would be payer of the indirect compensation, but provider reasonably expects that received by competing broker-dealers also describe the arrangement between compensation will be received, which is for similar investment services. the payer and the covered service based in whole or in part on its service Paragraph (c)(1)(iv)(C)(3) requires a provider, an affiliate, or a subcontractor, contract or arrangement with the description of any compensation that as applicable, pursuant to which such covered plan, the compensation will be will be paid among the covered service indirect compensation is paid. considered ‘‘in connection with’’ such provider, an affiliate, or a subcontractor, This new requirement will illustrate contract or arrangement. For example, a in connection with the services for the responsible plan fiduciary recent report pertaining to conflicts of described pursuant to paragraph potential conflicts of interest on the part interest prepared by the Department’s (c)(1)(iv)(A) of the final rule if it is set of the covered service provider (or an Office of Inspector General 19 identified on a transaction basis (e.g., affiliate or subcontractor) resulting from a fact pattern in which a service commissions, soft dollars, finder’s fees the receipt of indirect compensation. or other similar incentive compensation provider had not disclosed that certain The covered service provider must based on business placed or retained) or financial institutions subsidized the cost describe its arrangement with the payer is charged directly against the covered of attendance at a conference that the of indirect compensation so that the plan’s investment and reflected in the service provider offered for its clients. responsible plan fiduciary can analyze net value of the investment (e.g., Rule Specifically, to help defray the costs of why the payer, generally an unrelated 12b-1 fees). The covered service the conference, plan sponsor attendees third party, is compensating the covered provider also must identify the services paid a registration fee of $850, while the service provider in connection with the for which such compensation will be financial institution paid a subsidy fee covered service provider’s contract or paid and identify the payers and of $20,000. In this regard, it is the arrangement with the covered plan. The recipients of such compensation proposed rule, published in December Department’s view that, when a covered (including the status of a payer or 2007, contained a series of specific service provider is engaged to provide recipient as an affiliate or a conflict of interest disclosure consulting services to a covered plan (or subcontractor). Compensation must be provisions. These provisions were plans) and receives subsidies or other disclosed pursuant to this paragraph eliminated in the interim final rule, remuneration from financial institutions regardless of whether such which relied instead on fuller disclosure or other parties with respect to whom compensation also is disclosed pursuant of the circumstances under which the the service provider may be making to paragraph (c)(1)(iv)(C)(1) or (2) (direct covered service provider will be recommendations to attending plan or indirect compensation) or (c)(1)(iv)(E) receiving compensation from parties sponsors or representatives, such or (c)(1)(iv)(F) (investment disclosure) of other than the plan (or plan sponsor). the final rule. The final rule further 19 See ‘‘EBSA Needs To Do More To Protect For instance, the interim final rule Retirement Plan Assets From Conflicts Of Interest’’ clarifies that this paragraph required identification of such parties, (U.S. Department of Labor, Office of Inspector (c)(1)(iv)(C)(3) shall not apply to in addition to the compensation General, Office of Audit, Sept. 30, 2010). compensation received by an employee

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from his or her employer on account of relating to recordkeeping services and interim final rule) requires as part of work performed by the employee. This the costs to covered plans of those this paragraph (c)(1)(iv)(D) that the paragraph has not changed from the services should be disclosed to covered service provider include ‘‘a interim final rule. responsible plan fiduciaries in a detailed explanation of the Finally, paragraph (c)(1)(iv)(C)(4) meaningful way. The Department recordkeeping services that will be requires a description of any believes that, especially in the context provided to the covered plan.’’ This compensation that the covered service of complicated service arrangements detailed explanation will better enable provider, an affiliate, or a subcontractor when a variety of services (including the responsible plan fiduciary to reasonably expects to receive in recordkeeping services) are provided to understand precisely what is included connection with the termination of the a covered plan, separate disclosure is in a particular service provider’s contract or arrangement, and how any necessary for fiduciaries to make prepaid amounts will be calculated and ‘‘recordkeeping services’’ such that informed evaluations of a covered plan’s comparisons among service providers’ refunded upon such termination. This recordkeeping costs. Commenters on the offers can be made. Second, by requiring paragraph has not changed from the interim final rule generally supported ‘‘an explanation of the methodology and interim final rule, except to the extent this requirement. Some commenters cross references to other sections of the argued that this disclosure element assumptions used to prepare the final rule have been updated. would provide little value to estimate[,]’’ this provision enhances the responsible plan fiduciaries, especially ability of responsible plan fiduciaries to d. Disclosures Regarding Recordkeeping analyze and compare estimates. A Services to the extent it might appear to create a ‘‘cost’’ for something that does not really responsible plan fiduciary who Paragraph (c)(1)(iv)(D) of the final rule have a cost. One commenter argued that understands why, and how, a particular requires disclosure concerning the cost it is insufficient to require only the service provider prepared an estimate to the covered plan of recordkeeping separate disclosure of the cost of will be better able to compare that services, to the extent such services will recordkeeping services, and that estimate to other service providers’ be provided to the covered plan. This investment management and disclosures concerning the cost of disclosure must be provided without administrative services also should be recordkeeping services. regard to the disclosure of compensation separately disclosed. In consideration of pursuant to paragraph (c)(1)(iv)(C), Finally, a few commenters asked the the Department’s rationale for including (c)(1)(iv)(E), or (c)(1)(iv)(F) of the final Department to take definitive positions this provision, discussed in more detail rule. Specifically, if recordkeeping on whether certain specified services in the preamble to the interim final rule, services, as defined in paragraph constitute ‘‘recordkeeping services’’ for the Department was not persuaded by (c)(1)(viii)(D), will be provided to the purposes of this provision. Although the these commenters that the requirement covered plan, paragraph (1) requires a Department declines to make general should be eliminated or revised. description of all direct and indirect pronouncements concerning these compensation that the covered service Accordingly, this paragraph has not changed from the interim final rule, highly contextual and fact-specific provider, an affiliate, or a subcontractor questions, the Department again notes reasonably expects to receive in except to the extent that cross references have been updated as necessary. that the final rule broadly defines connection with such recordkeeping ‘‘recordkeeping services.’’ Regardless of Commenters also requested a few services. Paragraph (2) also requires how a service arrangement is structured that, if the covered service provider clarifications concerning this requirement. For example, a couple of or funded, plan fiduciaries need to reasonably expects recordkeeping know when such administrative services to be provided, in whole or in commenters are concerned that the services are being provided and how part, without explicit compensation for definition of ‘‘recordkeeping services’’ such recordkeeping services, or when (paragraph (c)(1)(viii)(D) of the final much they contribute to the total cost of compensation for recordkeeping rule) is so broad that it will be difficult plan services. services is offset or rebated based on for responsible plan fiduciaries to make e. Investment Disclosure—Fiduciary other compensation received by the meaningful comparisons, especially to Services covered service provider, an affiliate, or the extent the data provided will be in a subcontractor, the covered service some cases mere estimates of the cost of Paragraph (c)(1)(iv)(E) of the final rule provider must furnish a reasonable and recordkeeping services. The Department (previously paragraph (c)(1)(iv)(F) in the good faith estimate of the cost to the believes that this provision has been interim final rule) requires additional covered plan of such recordkeeping constructed to manage these concerns. investment disclosures from covered services, including an explanation of the First, the definition of ‘‘recordkeeping service providers described in methodology and assumptions used to services’’ in the final rule is designed to paragraph (c)(1)(iii)(A)(2) (providers of prepare the estimate and a detailed be broad and provide a basic parameter fiduciary services to an investment explanation of the recordkeeping for ensuring that providers of contract, product, or entity that holds services that will be provided to the recordkeeping services understand plan assets and in which the covered covered plan. The estimate shall take when they will be covered service plan has a direct equity investment). providers under paragraph (c)(1)(iii)(B) into account, as applicable, the rates The information set forth in paragraphs of the final rule. The Department does that the covered service provider, an (c)(1)(iv)(E)(1) through (3) must be affiliate, or a subcontractor would not want service providers to avoid this furnished for each investment contract, charge to, or be paid by, third parties, responsibility by narrowly defining the product, or entity for which fiduciary or the prevailing market rates charged, services that they provide. However, the for similar recordkeeping services for a Department understands that the services will be provided pursuant to similar plan with a similar number of breadth of this definition could create the contract or arrangement with the covered participants and beneficiaries. difficulty for responsible plan covered plan, unless such information is This provision was added to the fiduciaries when comparing the disclosed to the responsible plan interim final rule to reflect the recordkeeping services of different fiduciary by a covered service provider Department’s belief that information providers. Thus, the final rule (as in the providing recordkeeping services or

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brokerage services (as described in revised the language to conform to the accordance with the standards first paragraph (c)(1)(iii)(B)).20 language used in a comparable introduced in the interim final rule. To The interim final rule required the provision of the participant-level avoid creating unnecessary cost and disclosure of three categories of disclosure regulation. Accordingly, the burden for disclosure with respect to compensation information concerning substance of the information required to investments that are not designated such plan investments, as applicable: (1) be disclosed pursuant to this paragraph investment alternatives in a participant- A description of any compensation that has not changed from the interim final directed individual account plan, a will be charged directly against the rule. covered service provider will not be amount invested in connection with the Paragraph (c)(1)(iv)(E)(2) requires a required to calculate total annual acquisition, sale, transfer of, or description of the annual operating operating expenses for such investments withdrawal from the investment expenses (e.g., expense ratio) if the according to the participant-level contract, product, or entity (e.g., sales return is not fixed 21 and any ongoing disclosure regulation’s definition. loads, sales charges, deferred sales expenses in addition to annual Paragraph (c)(1)(iv)(E)(3) also charges, redemption fees, surrender operating expenses (e.g., wrap fees, requires, for an investment contract, charges, exchange fees, account fees, mortality and expense fees), or, for an product, or entity that is a designated and purchase fees); (2) a description of investment contract, product, or entity investment alternative, any other the annual operating expenses (e.g., that is a designated investment information or data about the designated expense ratio) if the return is not fixed; alternative, the total annual operating investment alternative that is within the and (3) a description of any ongoing expenses expressed as a percentage and control of, or reasonably available to, expenses in addition to annual calculated in accordance with 29 CFR the covered service provider and that is operating expenses (e.g., wrap fees, 2550.404a–5(h)(5). This first part of the required for the covered plan mortality and expense fees). These requirement combines paragraphs administrator to comply with the categories of investment-related (c)(1)(iv)(F)(2) and (3) from the interim disclosure obligations described in 29 information have been modified from final rule, requiring a description of CFR 2550.404a–5(d)(1) (the participant- the interim final rule, as discussed both the annual operating expenses and, level disclosure regulation). Although below, to better conform this provision if applicable, any additional ongoing this information was not explicitly of the final rule to the investment- expenses. However, the latter part of required in the interim final rule, the related information required pursuant to this requirement is intended to provide Department does not anticipate that it the Department’s participant-level consistency for parties that also are will create an undue burden on covered disclosure regulation and to enhance the required to comply with the service providers, because the ability of the responsible plan fiduciary Department’s participant-level requirement applies only to designated or covered plan administrator to comply disclosure regulation for designated investment alternatives, for which the with the participant-level disclosure investment alternatives in a participant- same disclosures otherwise will have to regulation. directed individual account plan. If an be made by plan administrators Paragraph (c)(1)(iv)(E)(1) requires a investment contract, product, or entity pursuant to the participant-level description of any compensation that subject to this paragraph is a disclosure regulation. The Department will be charged directly against an ‘‘designated investment alternative’’ (as believes that this requirement will investment, such as commissions, sales defined in paragraph (c)(1)(viii)(C) of enhance compliance with the loads, sales charges, deferred sales the final rule), then the covered service participant-level disclosure regulation charges, redemption fees, surrender provider must disclose the total annual by ensuring that a responsible plan charges, exchange fees, accounts fees, operating expenses for the designated fiduciary and, therefore, the covered and purchase fees; and that is not investment alternative, calculated in plan’s administrator, will obtain the included in the annual operating accordance with 29 CFR 2550.404a– investment-related information expenses of the investment contract, 5(h)(5), rather than rely on the interim concerning designated investment product, or entity. Although this final rule’s more general standards. This alternatives that must be furnished to language has been modified from that will ensure consistent disclosure and participants and beneficiaries. The used in paragraph (c)(1)(iv)(F)(1) of the prevent confusion to the extent a Department does not intend to create a interim final rule, the provision is covered service provider under this new or increased burden on a covered intended to capture the same final rule otherwise may have had to service provider, or require the covered information; the Department merely disclose expense information for the service provider to obtain or prepare same investment differently under the information that otherwise is not within 20 Several commenters on the interim final rule participant-level disclosure regulation. the covered service provider’s control or requested clarification concerning the meaning of For investment contracts, products, or reasonably available to the covered ‘‘unless such information is disclosed to the responsible plan fiduciary by a covered service entities that are not designated service provider. For example, in the provider providing recordkeeping services or investment alternatives, a covered case of a recordkeeper that offers a brokerage services[.]’’ Specifically, commenters service provider may continue to platform of designated investment were confused as to whether this language implies disclose annual operating expenses and alternatives consisting of mutual funds, an affirmative obligation on the part of the recordkeeper could satisfy its recordkeepers and brokers to provide this any additional ongoing expenses, in information, or whether duplicative disclosure is obligations under this provision by intended. The Department confirms that the ERISA 21 A few commenters requested further guidance passing through to the covered plan the fiduciary service provider to a plan asset vehicle on how to determine if an investment’s return is prospectuses for such funds, in view of has the obligation to furnish this investment fixed. This determination should be made in the the fact that such disclosures would information. This language is intended to avoid same manner as under the participant-level duplicative disclosure if, for some reason, the disclosure regulation. The preamble to the contain much of the required information already is disclosed to the responsible participant-level disclosure regulation provides that information and be reasonably available plan fiduciary by a recordkeeper or a broker. For designated investment alternatives with fixed to the recordkeeper (the covered service instance, a recordkeeper or broker, separately, may returns are those that provide a fixed or stated rate provider). agree with the ERISA fiduciary to furnish such of return to the participant, for a stated duration, information. In that case, the ERISA plan asset and with respect to which investment risks are This provision does not require a fiduciary would not also have to furnish the same borne by an entity other than the participant (e.g., covered service provider to furnish information. insurance company). 75 FR 64910 (Oct. 20, 2010). information from the plan sponsor, from

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another unrelated service provider to employer securities (29 CFR 2550.404a– furnish the investment information for the plan, or from the issuer of a 5(i)(1)); fixed-return investments (29 designated investment alternatives that designated investment alternative, CFR 2550.404a–5(i)(3)); and target date are not on their platform. The unless it is reasonably available to the or similar funds (29 CFR 2550.404a– commenters explained that sometimes a covered service provider. Accordingly, 5(i)(4)). As set forth above, in each case, recordkeeper will administer and this requirement is limited to the covered service provider is provide some level of recordkeeping information or data that is within the responsible only for specific data about services for off-platform investments as control of, or reasonably available to, designated investment alternatives that a concession to pension plan clients. the covered service provider. is within the provider’s control or These commenters argued that the Paragraph (c)(1)(iv)(E)(3), to the extent reasonably available. Some of the direct relationship that exists between applicable, requires disclosure of information required pursuant to 29 the responsible plan fiduciary and the information that the plan administrator CFR 2550.404a–5 pertains to issuer of these off-platform investments will need in order to comply with its information that, although relevant to an (which are separately selected by the own disclosure obligations to investing participant or beneficiary, is plan fiduciary) is a more appropriate participants under 29 CFR 2550.404a–5. not specific data about a particular basis for requiring the provision of This includes the following additional designated investment alternative. Thus, investment information from such investment information about a for example, the covered service issuer. The Department explained, in designated investment alternative (an provider is not responsible for the preamble to the interim final rule, ‘‘alternative’’): identifying information furnishing an Internet Web site address its view that this category of covered such as the name and type or category or for preparing cautionary statements service providers encompasses service of the alternative (29 CFR 2550.404a– designed to inform a plan’s participant providers who provide recordkeeping or 5(d)(1)(i)); performance data (29 CFR and beneficiaries. The covered service brokerage services that include 2550.404a–5(d)(1)(ii)); benchmarks (29 provider does not, by virtue of designated investment alternatives CFR 2550.404a–5(d)(1)(iii)); and fee and paragraph (c)(1)(iv)(E)(3), assume independently selected by the expense information for alternatives responsibility for obligations of the responsible plan fiduciary. These ‘‘off- with respect to which the return is fixed covered plan administrator, who platform’’ investment alternatives may (29 CFR 2550.404a–5(d)(1)(iv)(B)). The continues to bear legal responsibility for be included in the covered plan’s covered service provider already is the requirements of the participant-level investment options when the required to disclose the fee and expense disclosure regulation.22 responsible plan fiduciary enters into a information described in 29 CFR contract or arrangement with the f. Investment Disclosure— 2550.404a–5(d)(1)(iv)(A)(1) and (2) recordkeeper or broker, or they may Recordkeeping and Brokerage Services pursuant to paragraphs (c)(1)(iv)(E)(1) later be added. The Department and (2) of the final rule. Paragraph (c)(1)(iv)(F) of the final rule continues to believe that these covered Although the requirement in 29 CFR requires the same investment service providers are in the best position 2550.404a–5(d)(1)(v) to furnish an disclosure, discussed above, from to furnish the required investment Internet Web site address falls on the covered service providers described in information. To the extent the covered covered plan’s administrator, the paragraph (c)(1)(iii)(B) (providers of service provider is not affiliated with covered service provider may have recordkeeping services or brokerage the issuer of the designated investment within its control, or reasonably services to an individual account plan alternative, the covered service provider available to it, some of the data that that permits participants and may benefit from compliance with must be provided at the Web site beneficiaries to direct the investment of paragraph (2) of this paragraph address, such as the name of the their accounts, if one or more (c)(1)(iv)(F). investment alternative’s issuer (29 CFR designated investment alternatives will Paragraph (2) provides that a covered 2550.404a–5(d)(1)(v)(A)); the be made available in connection with service provider may comply with this alternative’s objectives or goals (29 CFR such recordkeeping services or paragraph (c)(1)(iv)(F) by providing 2550.404a–5(d)(1)(v)(B)); the brokerage services). Paragraph (1) current disclosure materials of the alternative’s principal strategies and requires that such covered service issuer of the designated investment principal risks (29 CFR 2550.404a– providers furnish the additional alternative, or information replicated 5(d)(1)(v)(C)); and the alternative’s information described in paragraph from such materials, that include the portfolio turnover rate (29 CFR (c)(1)(iv)(E)(1) through (3) with respect information described in such 2550.404a–5(d)(1)(v)(D)). The covered to each designated investment paragraph, provided that three service provider would not be alternative for which recordkeeping conditions are satisfied. First (paragraph responsible for preparing the glossary services or brokerage services will be (i)), the issuer cannot be an affiliate 23 of required by 29 CFR 2550.404a– provided pursuant to the contract or the covered service provider. Second 5(d)(1)(vi), as that is not specific arrangement with the covered plan. information about a particular Apart from updating cross references as 23 A few commenters on the interim final rule designated investment alternative. necessary, paragraph (1) has not requested clarification that, even though the relief If the covered service provider has changed from the interim final rule. provided by this paragraph is available only for non-affiliated issuers, covered service providers information about designated Several commenters on the interim still can pass through disclosure materials from investment alternatives that fall within final rule questioned statements in the affiliated issuers. These commenters believed that the participant-level disclosure preamble to the interim final rule and the provision could be read to imply that covered regulation’s special rules, contained in asked whether recordkeepers who make service providers must create separate, potentially different, disclosure materials for investments of 29 CFR 2550.404a–5(i), the covered available a platform of investments must affiliated issuers. The Department confirms that service provider may have to furnish covered service providers may pass through information necessary for the covered 22 Of course, as is recognized in the participant- disclosure materials from affiliated issuers; this plan administrator to comply with such level disclosure regulation, the covered plan provision was not intended to limit the ability of administrator is permitted to retain a service covered service providers to do so. However, regulation’s requirements for annuity provider to fulfill the plan administrator’s covered service providers will be responsible for options (29 CFR 2550.404a–5(d)(1)(vii) obligations under the participant-level disclosure the content of the affiliated materials pursuant to and 29 CFR § 2550.404a–5(i)(2)); regulation. this paragraph of the final rule.

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(paragraph (ii)), the issuer must be a a financial institution supervised by a final rule, as applicable, will be registered investment company, an State or federal agency. This provision received, such as whether the covered insurance company qualified to do focuses the requirement more narrowly plan will be billed or the compensation business in any State, an issuer of a on entities that are ‘‘regulated’’ in will be deducted directly from the publicly traded security, or a financial connection with their issuance of covered plan’s account(s) or institution supervised by a State or investment products, and allows the investments. This provision has not federal agency. Finally, third (paragraph covered service provider to satisfy substantively changed from the interim (iii)), the covered service provider must paragraph (c)(1)(iv)(F) by passing final rule. However, this provision has act in good faith and not know that the through these issuers’ disclosure been moved from paragraph (c)(1)(iv)(E) materials are incomplete or inaccurate, materials. Paragraph (iii) provides ‘‘pass of the interim final rule to paragraph and furnish the responsible plan through’’ relief solely for purposes of (c)(1)(iv)(G) of the final rule, and cross fiduciary with a statement that the determining whether or not a contract or references have been updated covered service provider is making no arrangement with a covered service throughout the final rule as necessary, representations as to the completeness provider falls within ERISA section to ensure that the manner of receipt of or accuracy of such materials. The 408(b)(2). The ‘‘pass through’’ provision all compensation (including Department included this provision in does not provide relief from any other compensation received in connection recognition that recordkeepers and legal obligations or liabilities under with plan investments in paragraphs brokers, unlike fiduciaries to investment ERISA or other applicable law. (c)(1)(iv)(E) and (F) of the final rule) is vehicles holding plan assets, are not Paragraph (iii) also requires that the described. directly involved in the day-to-day covered service provider furnish the responsible plan fiduciary with a h. Summary or Guide to Initial management of the investment vehicles Disclosures; Format and Delivery that they represent; rather, they statement that the covered service generally serve merely as intermediaries provider is making no representations as In the preamble to the interim final between plans and the issuers of the to the completeness or accuracy of such rule, the Department requested investment vehicles for purposes of materials. This will ensure that the comment on the format of disclosures furnishing such information. The final responsible plan fiduciary understands required under the rule. Neither the rule, like the interim final rule, enables that these materials are merely being proposal nor the interim final rule them to comply with the regulation passed through and that the covered required covered service providers to disclose information in any particular without having to vouch for the service provider is not, therefore, format. Further, the preamble to the completeness and accuracy of such vouching for their completeness or proposal specifically noted that covered information. accuracy. The Department does not intend that the covered service provider service providers could use different This paragraph has been modified must furnish a separate statement for documents from separate sources, as from the interim final rule, which each item of investment disclosure long as all of the documents, previously required that the disclosure material. Rather, the covered service collectively, contained the required materials must be regulated by a State provider could, for example, include the information. Commenters on the or federal agency. The Department was statement once in the service contract or proposal disagreed as to whether this persuaded by commenters that the ‘‘pass arrangement, along with a description of would lead to a cost-effective and through’’ relief was too narrow when the investment disclosure material(s) to meaningful presentation of the required applied to only regulated disclosure which the statement applies. information to responsible plan materials. Commenters explained that Other commenters requested that this fiduciaries. In the preamble to the disclosure materials for many common provision be expanded to cover interim final rule, the Department investments offered in pension plans, information from such regulated issuers explained that it had not determined such as collective trusts, insurance that is consolidated or summarized into whether it was feasible to provide general accounts, and guaranteed a user-friendly format. Otherwise, these specific and meaningful formatting investment contracts, are not commenters maintain, covered service standards. Accordingly, the Department ‘‘regulated’’ as required by the interim providers will be more likely to pass requested comment on whether to revise final rule. Retaining this standard, through lengthy, technical disclosure the final rule to require a summary of, commenters argued, might dissuade documents, for example multiple or guide to, the mandated disclosures, recordkeepers and brokers from offering Securities and Exchange Commission or to include other formatting these products on their platforms. prospectus documents. The Department requirements. Commenters also are concerned that agrees that covered service providers Commenters on the interim final rule, responsible plan fiduciaries would should not be discouraged from as on the proposed rule, continued to expend considerable resources to find presenting the required information in a disagree about the utility of, and other recordkeepers or brokers willing more user-friendly format for feasibility of, requiring a summary or to offer the products. Accordingly, the responsible plan fiduciaries. guide, or otherwise mandating any Department revised this provision of the Accordingly, covered service providers particular format for the required final rule. Rather than focusing on the may rely on this provision if they disclosures. Many commenters argued disclosure materials, paragraph (ii) now merely are replicating information that the Department should retain the requires that the issuer of the designated received from a regulated, unaffiliated position taken in the proposal and the investment alternative be regulated. issuer that the covered service provider interim final rule, giving covered service Specifically, the issuer must be a does not know to be inaccurate or providers flexibility to determine the registered investment company (i.e., by incomplete. format of their disclosures. These filing a registration statement with the commenters expressed concern that a Securities and Exchange Commission as g. Manner of Receipt of Compensation ‘‘one-size-fits-all’’ approach could not required by the Investment Advisers Act Paragraph (c)(1)(iv)(G) of the final rule accommodate the tremendous variety of of 1940), an insurance company requires a description of the manner in current pension plan service qualified to do business in any State, an which the compensation described in arrangements and likely changes in the issuer of a publicly traded security, or paragraph (c)(1)(iv)(C) through (F) of the future. They also believed that the costs

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to pension plans, and the participants a separate, summary disclosure fully review the regulatory provision and beneficiaries of such plans, of such requirement.25 and provide feedback to the an approach will be significant. The Following a careful review and Department. commenters expressed concern that analysis of the comments on this issue, In the meantime, the Department responsible plan fiduciaries would rely the Department has decided to reserve understands that many service solely, and thus improperly, on the paragraph (c)(1)(iv)(H) of the final rule providers already are moving in this summary, rather than reviewing the and intends ultimately to publish in a direction. For example, service fuller and more detailed disclosures separate proposal a guide or similar providers have represented to the required by the rule. These commenters requirement with respect to the initial Department that, as a best practice, they also were concerned that requiring the disclosures (in paragraph (c)(1)(iv) of currently furnish their plan clients with comprehensive disclosures and a the final rule) that covered service a guide or index to the service summary would simply result in providers may be required to furnish to providers’ disclosures, a summary of unnecessarily duplicative disclosures. responsible plan fiduciaries. Given the certain key disclosures, or, in some In addition, in the case of discrepancies lack of specific suggestions or data on cases, both. The Department strongly between the two, questions may arise how best to structure such a supports such innovation, because these over which disclosures would govern. requirement and what the real costs of tools will assist responsible plan These commenters preferred that the such a requirement would be, the fiduciaries, especially fiduciaries to Department retain the flexible position Department is not prepared at this time small and medium-sized plans, in taken in the proposal and interim final to implement a guide or similar managing and analyzing the potentially rule or, at most, require covered service requirement as part of the final rule. complex disclosure documents that are providers to furnish an index or Rather, given the policy and economic provided to them or if disclosures are ‘‘roadmap’’ to the disclosures. considerations presented by located in multiple documents. Further, Commenters also suggested that any commenters, the Department has the Department believes that covered summary or other formatting decided not to include such a service providers are in the best position requirement the Department may adopt requirement in this final rule without to construct these tools, given their be flexible and not mandate any providing separately for public review increased familiarity with and access to particular language, formatting, or page and comment. the various and potentially lengthy and limits.24 Accordingly, in the near future, the technical documents that they may use to disclose information. Other commenters, however, Department intends to publish in the To further encourage service supported the addition of a summary Federal Register a Notice of Proposed providers to assist plan fiduciaries in disclosure, guide, or similar Rulemaking, under which covered service providers may be required to this manner, the Department is requirement. They argued that plan including a ‘‘sample guide’’ to initial fiduciaries, especially those for small furnish a guide or similar tool along with the rule’s initial disclosures. For disclosures as an appendix to the final and medium-sized plans, often are rule. Several commenters on the interim overwhelmed by highly technical example, a proposed provision could require that, in addition to the final rule suggested that if the disclosures from separate sources, Department were to adopt a summary or especially concerning plan investments. information that must be disclosed pursuant to paragraph (c)(1)(iv)(A) other formatting requirement in the final These commenters suggested placing rule, it should provide an illustration of the burden of organizing this through (G) of the final rule (the initial disclosures), the covered service how a covered service provider may information on covered service comply with such requirement to providers, who can do so more provider must separately furnish to the responsible plan fiduciary a guide that encourage consistency and to enable effectively and at less cost. Further, lower-cost compliance. Although the these commenters believe that the costs specifically identifies the document, section and page number where Department is not adopting such a should not be overstated and are likely requirement at this time, the sample to be minimal following an initial specified information, as applicable to the contract or arrangement, is located. guide published today may be useful, on transition to compliance with any new a voluntary basis, to covered service Furnishing the guide as a separate summary or other formatting providers as a format to assist document would ensure that the requirement. These costs, they argued, responsible plan fiduciaries with the responsible plan fiduciary is aware of would be greatly outweighed by the required disclosures. Similarly, to the such document and can use it benefit of increased clarity to extent a responsible plan fiduciary effectively in his or her review of the responsible plan fiduciaries. One experiences difficulty finding and required disclosures. Alternatively, a commenter, for example, pointed out reviewing the required disclosures in regulatory provision could require some that fuller disclosure will not result in lengthy, technical, or multiple or all of the required disclosures to be increased transparency if the disclosure documents received from a included in a chart or similar summary information continues to be obscured in covered service provider pursuant to the lengthy, technical documents. A few of format. In any event, by separately requirements of the final rule, the these commenters suggested proposing such a requirement as a new fiduciary should consider requesting information that should be contained in provision in paragraph (c)(1)(iv)(H) of assistance from the covered service the final rule, the Department will provider, for example, discussing with ensure that all interested parties can 24 A few commenters on the interim final rule the covered service provider the discussed, and disagreed on, whether a ‘‘single feasibility and cost of using the attached document’’ rule should be adopted, requiring that 25 Commenters generally suggested, for example, all disclosures be furnished in one document. The that the Department focus on a summary of the sample guide. Department was convinced neither that such a rule’s compensation information and information The sample guide has been included requirement would be feasible and cost-effective for concerning designated investment alternatives, because the Department believes, at this all service arrangements, nor that it would while cross referencing to assist fiduciaries in time, that such a guide may strike an necessarily result in the most meaningful delivery locating the primary information contained in other of required information to responsible plan disclosures. One commenter cautioned that a appropriate balance between the need to fiduciaries. The Department therefore declined to summary should focus on total cost, not just one facilitate a responsible plan fiduciary’s adopt such a requirement. component of the cost, such as recordkeeping. review of information important to a

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prudent decision-making process, and requirements for when a covered service subsequently is determined to hold plan the costs and burdens attendant to the provider must disclose changes to the assets while the covered plan’s preparation of a new disclosure initial disclosures in compliance with investment continues, the information document. A guide would provide a the final rule. Paragraph (c)(1)(v)(A) of required by paragraph (c)(1)(iv) of the basic framework for responsible plan the final rule, concerning the timing of final rule must be disclosed as soon as fiduciaries concerning the disclosures initial disclosures, has not changed from practicable, but not later than 30 days they receive, and where to find such the interim final rule. A covered service from the date on which the covered disclosures, while avoiding the provider must disclose the information service provider knows that such uncertainty and burdens inherent in required by paragraph (c)(1)(iv) of the investment contract, product, or entity attempting to construct a ‘‘summary’’ of final rule to the responsible plan holds plan assets. The second existing documents and provisions. Of fiduciary reasonably in advance of the exception, contained in paragraph course, the Department will continue to date the contract or arrangement is (c)(1)(v)(A)(2), has not changed review these issues, and interested entered into, and extended or renewed. substantively. The investment persons are encouraged to submit their A few commenters requested information described in paragraph views on the relative benefits and costs clarification on the meaning of ‘‘the date (c)(1)(iv)(F) of the final rule relating to of a guide requirement, versus a the contract or arrangement is entered any investment alternative that is not summary or other formatting into.’’ The Department was not designated at the time the contract or requirement, in response to the persuaded to adopt the alternative dates arrangement is entered into must be Department’s forthcoming Notice of that were proposed, such as the date the disclosed as soon as practicable, but not Proposed Rulemaking. written contract is signed, the date that later than the date the investment Finally, in addition to providing their compensation is first received, or the alternative is designated by the covered views on a formatting requirement in date the contract is legally binding. The plan.28 The cross reference to paragraph the final rule, commenters on the Department does not believe that these (c)(1)(iv)(F) was updated to reflect interim final rule requested further standards are clearer or more minor restructuring in the final rule, guidance on how required information appropriate than the standard used in discussed above, and the reference to may be delivered to responsible plan the final rule. Commenters on the investment alternatives designated by fiduciaries. Specifically, several proposal argued that service the ‘‘covered plan’’ conforms to the final commenters asked the Department to arrangements often go into effect rule’s slightly modified definition of affirm that covered service providers without a signature by a plan fiduciary. ‘‘designated investment alternative,’’ could furnish the required disclosures In addition, delaying disclosure of discussed below. electronically, including by making compensation until it is received would Paragraph (c)(1)(v)(B) of the final rule, information available on a secure Web result in piecemeal disclosures during concerning when a covered service site if responsible plan fiduciaries are the term of a service arrangement and provider must disclose changes to the notified as to how to access such would undercut an important purpose initial information previously disclosed, information. These commenters argued of the disclosure, which is to assist has been modified in response to that electronic delivery enables more fiduciaries in selecting service comments received on the interim final cost-effective compliance, permits easy providers. Tying disclosures to a rule. Specifically, this paragraph has confirmation of delivery, and enables determination of when a contract or been divided into two paragraphs (1) service providers to create and use tools arrangement becomes legally binding is and (2). Paragraph (1) continues to that can enhance the review of provide that a covered service provider not practicable because such information by responsible plan must disclose a change to required determinations may depend on many fiduciaries. Consistent with the views information as soon as practicable, but facts and circumstances, as well as expressed in the 2007 proposed rule,26 not later than 60 days from the date on different State laws. The final rule gives there is nothing in the regulation that which the covered service provider is plan fiduciaries and service providers limits the ability of covered service informed of such change, unless such some flexibility to determine when an providers to furnish information disclosure is precluded due to arrangement is entered into. However, required by the regulation to responsible extraordinary circumstances beyond the to ensure that the responsible plan plan fiduciaries via electronic media.27 covered service provider’s control, in fiduciary can review, analyze, and However, unless the covered service which case the information must be provider’s disclosure information on a consider the disclosures in compliance disclosed as soon as practicable. Web site is readily accessible to with his or her ERISA fiduciary However, this 60-day standard has been responsible plan fiduciaries, and obligations, the covered service provider limited to the information required by fiduciaries have clear notification on must furnish the disclosures paragraphs (c)(1)(iv)(A) through (D), and how to gain such access, the ‘‘reasonably in advance’’ of the date that (G) of the final rule (e.g., information information on the Web site may not be the parties enter into the contract or concerning the services to be provided; regarded as furnished within the arrangement. The Department is the status of the covered service meaning of the regulation. confident that the parties to a service provider, an affiliate, or a subcontractor contract or arrangement will be able to as an ERISA fiduciary or registered 5. Timing of Initial Disclosures; Changes determine what is ‘‘reasonable’’ in this investment adviser; the compensation to Paragraph (c)(1)(v) of the final rule context. addresses the timing requirements for The final rule contains two exceptions 28 One commenter on the interim final rule the initial disclosures described in to this ‘‘reasonably in advance’’ timing suggested that the exceptions to the ‘‘reasonably in paragraph (c)(1)(iv), as well as the requirement. The first exception, advance’’ requirement should be expanded for circumstances when a responsible plan fiduciary contained in paragraph (c)(1)(v)(A)(1), changes a designated investment alternative during 26 See 72 FR 70988. has not changed from the interim final the term of the service contract or arrangement; the 27 The Department’s regulations at 29 CFR rule. When an investment contract, Department believes that this situation would be 2520.104b–1 apply solely for purposes of product, or entity is determined not to addressed as a ‘‘change’’ to the initial disclosures disclosures from plans to participants and and a covered service provider should comply with beneficiaries and do not extend to disclosures from hold plan assets upon the covered the provisions regarding such changes contained in third parties to plan fiduciaries. plan’s direct equity investment, but paragraph (c)(1)(v)(B).

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be received in connection with the information could be burdensome, Form 5500 Annual Report no later than contract or arrangement; the cost of especially for plans offering a large 120 days after the end of the plan year. recordkeeping services (if applicable); number of investment alternatives. The The Department is persuaded that the and the manner of receipt of Department also agrees that a non-stop timing requirement for this reporting compensation). stream of such notifications is and disclosure information should be Some commenters suggested that the inconsistent with the goal of ensuring based on the reporting or disclosure 60-day period should be expanded to, that responsible plan fiduciaries receive requirements in question, rather than on for example, 90 days or 60 days useful and meaningful disclosures. the time that a responsible plan following the later of the date the Accordingly, the final rule has been fiduciary chooses to request the service provider is informed of the modified to provide an alternate timing information. Accordingly, paragraph change or the effective date of the standard for changes to investment (c)(1)(vi)(B) now requires that such change. The Department was not information. Rather than furnishing information be furnished reasonably in persuaded to revise the 60-day period notification of each such change within advance of the date upon which such and believes that it gives covered 60 days, paragraph (2) requires that a responsible plan fiduciary or covered service providers enough time to make covered service provider must, at least plan administrator states that it must the disclosure while ensuring that annually, disclose any changes to the comply with the applicable reporting or responsible plan fiduciaries receive investment information required by disclosure requirement, unless such prompt notice of changes. A few paragraph (c)(1)(iv)(E) and (F). disclosure is precluded due to commenters suggested that the 6. Reporting and Disclosure Information extraordinary circumstances beyond the Department reintroduce the covered service provider’s control, in ‘‘materiality’’ standard used in the Paragraph (c)(1)(vi)(A) of the final rule which case the information must be proposed rule to avoid requiring requires a covered service provider to disclosed as soon as practicable. The disclosure of de minimis and furnish, upon request of the responsible Department believes that this meaningless changes. The Department plan fiduciary or covered plan modification will address commenters’ did not adopt this suggestion. For the administrator, any other information concerns.30 reasons stated in the preamble to the relating to the compensation received in interim final rule, the Department connection with the contract or 7. Disclosure Errors continues to believe that a materiality arrangement that the covered plan needs standard, in this context, would be in order to comply with the reporting Paragraph (c)(1)(vii) of the final rule ineffective. 72 FR 70988. and disclosure requirements of Title I of addresses inadvertent disclosure errors Paragraph (c)(1)(v)(B)(2) contains a ERISA and the regulations, forms and and omissions. Specifically, the rule new requirement applicable to the schedules issued thereunder. The provides that no contract or revised investment disclosures required substantive requirement, in paragraph arrangement will fail to be reasonable by paragraph (c)(1)(iv)(E) and (F). (c)(1)(vi)(A), has not changed from the solely because the covered service Several commenters on the interim final interim final rule, except that the provider, acting in good faith and with rule argued that the ongoing, or language has been modified to refer to reasonable diligence, makes an error or ‘‘rolling,’’ requirement to disclose ‘‘the written’’ request of the responsible omission in disclosing the information changes to previously furnished plan fiduciary or covered plan required by the rule. The covered information within 60 days would result administrator.29 The timing service provider must disclose the in a highly burdensome process with requirement, in paragraph (c)(1)(vi)(B), correct information to the responsible respect to investment information. For however, has been modified. plan fiduciary as soon as practicable, example, commenters explained that for The interim final rule required, in but not later than 30 days from the date a covered plan offering a large number paragraph (c)(1)(vi)(B), that the covered on which the covered service provider of designated investment alternatives, service provider disclose the knows of such error or omission.31 This minor modifications to the investment information required by paragraph provision includes one change from the information concerning those (c)(1)(vi)(A) not later than 30 days interim final rule. The Department alternatives might occur continuously following receipt of a written request revised the paragraph to clarify that it and a covered service provider would from the responsible plan fiduciary or covers errors and omissions made when have to inundate responsible plan covered plan administrator, unless such covered service providers disclose fiduciaries with frequent notifications disclosure is precluded due to changes to the initially required about what are often nominal changes. extraordinary circumstances beyond the information, which must be disclosed The commenters argued that responsible covered service provider’s control, in pursuant to paragraph (c)(1)(v)(B) of the plan fiduciaries may eventually ignore which case the information must be the notices. Further, covered service disclosed as soon as practicable. A 30 The final rule is not intended to alter any providers constantly would have to number of commenters on the interim otherwise applicable obligation to provide monitor all of the investment final rule requested that the Department information to plan fiduciaries. See, e.g., ERISA section 103(a)(2) (information certification alternatives on their platform for better align this timing requirement changes. These commenters suggested, requirements for insurance carriers or other with existing reporting and disclosure organizations which provide benefits under the as an alternative standard, that covered standards. For example, service plan or hold plan assets, banks or similar service providers should have to providers currently must furnish institutions which hold plan assets, and plan sponsors). periodically update the investment information necessary to complete the disclosures; this approach would be 31 The class exemption, included in paragraph (c)(1)(ix) of the final rule, addresses situations in more consistent with current industry 29 The timing requirement contained in paragraph which a responsible plan fiduciary discovers an practice and more likely to focus the (c)(1)(vi)(B) of the interim final rule previously error or other deficiency in the disclosure. responsible plan fiduciary’s attention on referred to the responsible plan fiduciary’s or Paragraph (c)(1)(vii) is meant to provide the parties the information at specified intervals. covered plan administrator’s ‘‘written’’ request. an opportunity to avoid a prohibited transaction by Because paragraph (c)(1)(vi)(B) was modified for addressing errors up front. Once a prohibited The Department agrees that the need purposes of the final rule, the concept of the transaction has occurred, the responsible plan to constantly furnish notices of even ‘‘written’’ request was incorporated into paragraph fiduciary will need to rely on the relief provided by minor changes to investment (c)(1)(vi)(A) of the final rule. the class exemption.

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rule. Otherwise, this provision has not constitute disclosure made ‘‘in good monetary amounts, provided that the changed from the interim final rule. faith and with reasonable diligence’’ other requirements of the regulation are One commenter on the interim final under paragraph (c)(1)(vii) of the final satisfied. Paragraph (c)(1)(viii)(B)(3) also rule requested that the Department rule. An important element in provides that any description, including extend the turn-around time to 90 days. demonstrating reliability would be a any estimate of recordkeeping cost The Department did not accept this contractual provision that makes the under paragraph (c)(1)(iv)(D), must request. Although it is important to third-party provider responsible for contain sufficient information to permit provide a correction mechanism for ensuring that the information obtained evaluation of the reasonableness of the inadvertent errors or omissions, which from the central database is passed on compensation or cost. inevitably will occur as suggested by accurately to the covered service A few commenters also asked whether commenters on the proposal, it is the provider. Of course, if the covered compensation or costs may be disclosed Department’s view that errors and service provider subsequently becomes in ranges, for example by a range of omissions must be communicated aware of an error or omission in the possible basis points. The Department promptly to responsible plan data, it would need to disclose the believes that disclosure of expected fiduciaries. Another commenter argued correct information to the responsible compensation in the form of known that this provision is insufficient to plan fiduciary as soon as practicable, ranges can be a ‘‘reasonable’’ method for protect covered service providers and but not later than 30 days after the purposes of the final rule. However, that the class exemption should be covered service provider knows of the such ranges must be reasonable under extended to protect covered service error or omission. the circumstances surrounding the providers. The Department also service and compensation arrangement declined to accept this suggestion, as 8. Definitions at issue. To ensure that covered service discussed in the context of the class Paragraph (c)(1)(viii) of the final rule providers communicate meaningful and exemption (paragraph (c)(1)(ix) of the defines the terms ‘‘affiliate,’’ understandable compensation final rule), below. ‘‘compensation,’’ ‘‘designated information to responsible plan A number of commenters asked investment alternative,’’ ‘‘recordkeeping fiduciaries whenever possible, the whether this provision would be services,’’ ‘‘responsible plan fiduciary,’’ Department cautions that more specific, available to covered service providers and ‘‘subcontractor.’’ Several minor rather than less specific, compensation (e.g., recordkeepers) who provide the modifications from the interim final rule information is preferred whenever it can investment disclosures described in have been made to this definitional be furnished without undue burden. paragraphs (c)(1)(iv)(E)(1)–(3) or paragraph. Paragraph (c)(1)(viii)(B)(3), A minor, non-substantive (c)(1)(iv)(F)(1) of the final rule by using concerning how a description of modification was made to the definition data obtained from a central digital compensation may be expressed, has of ‘‘designated investment alternative’’ database maintained by a third party. been modified to apply to a description in paragraph (c)(1)(viii)(C). The These commenters state, for instance, of ‘‘compensation or cost,’’ rather than modified definition, which now refers that instead of providing the plan only to ‘‘compensation.’’ A commenter to designation of investment alternatives fiduciary with paper or electronic on the interim final rule pointed out by the ‘‘covered plan,’’ merely conforms versions of the issuer’s current that paragraph (c)(1)(iv)(D)(2) may this definition to other Departmental disclosure materials for each of the require a covered service provider to regulatory guidance, such as the plan’s designated investment disclose the ‘‘cost’’ of recordkeeping participant-level disclosure regulation alternatives, as permitted by paragraph services, rather than the compensation (75 FR 64910). For purposes of the final (c)(1)(iv)(F)(2), it may be more efficient received from recordkeeping services. rule, a ‘‘designated investment for the recordkeeper to prepare a The Department agrees that the alternative’’ is any investment summary disclosure document, tailored flexibility provided in paragraph alternative designated by the covered to the requirements of the final rule, (c)(1)(viii)(B)(3) should extend to how plan into which participants and using third party information such costs may be expressed and beneficiaries may direct the investment technology (IT) systems that collect and revised this paragraph. Paragraph of assets held in, or contributed to, their provide access to the necessary (c)(1)(viii)(B)(3) also was modified to individual accounts. The term does not investment disclosure information. The clarify that the use of estimates is not include brokerage windows, self- commenters maintain that third party IT limited to recordkeeping costs. The directed brokerage accounts, or similar systems can receive investment related paragraph now provides that a plan arrangements that enable information directly from mutual funds description of compensation or cost may participants and beneficiaries to select and other investment funds or from be expressed as a monetary amount, investments beyond those designated by their investment advisers, or pull such formula, percentage of the covered the covered plan. information from regulated filings made plan’s assets, or a per capita charge for In light of this exclusion, some by the issuers with the Securities and each participant or beneficiary or, if the commenters requested clarification on Exchange Commission or other State or compensation or cost cannot reasonably what information would have to be federal agencies. These systems may, or be expressed in such terms, by any other disclosed concerning brokerage may be modified to, allow reasonable method. The description windows and similar arrangements. recordkeepers and others to access the may include a reasonable and good faith Because brokerage windows and similar data and incorporate it into summary estimate if the covered service provider arrangements are not designated disclosure documents designed to meet cannot otherwise readily describe investment alternatives subject to the final rule. compensation or cost and the covered paragraph (c)(1)(iv)(E) and (F), a covered In the Department’s view, a covered service provider explains the service provider need not furnish the service provider’s use of a reputable and methodology and assumptions used to investment-specific information reliable third party commercial database prepare such estimate. This required in these paragraphs concerning as a source of the investment modification is intended to make it clear each possible investment available information described in paragraphs that all covered service providers, not through the brokerage window. (c)(1)(iv)(E)(1)–(3) or (c)(1)(iv)(F)(1) of just those providing recordkeeping However, the covered service provider the final rule would ordinarily services, may provide estimates of must disclose all applicable information

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concerning the brokerage window that from a subcontractor is indirect enter into, or extend or renew, the is required by the other provisions of compensation, unless it is received in contract or arrangement. Finally, a the final rule. For example, a covered connection with services performed ‘‘subcontractor’’ (paragraph service provider must describe the under the subcontractor’s contract or (c)(1)(viii)(F)) is any person or entity (or services that will be available to arrangement described in paragraph an affiliate of such person or entity) that participants who elect to take advantage (c)(1)(viii)(F) of the final rule. is not an affiliate of the covered service of the brokerage window; any fees or The other definitions contained in provider and that, pursuant to a contract charges that may be paid ‘‘directly’’ paragraph (c)(1)(viii) have not changed or arrangement with the covered service from the plan (or from a participant’s or from the interim final rule. A person or provider or an affiliate, reasonably beneficiary’s account); and any entity’s ‘‘affiliate’’ (paragraph expects to receive $1,000 or more in compensation that may be received (c)(1)(viii)(A)) directly or indirectly compensation for performing one or ‘‘indirectly’’ or from related parties in (through one or more intermediaries) more services described pursuant to connection with the brokerage window. controls, is controlled by, or is under paragraph (c)(1)(iii)(A) through (C) of In the case of indirect compensation, the common control with such person or the final rule provided for by the covered service provider would have to entity; or is an officer, director, or contract or arrangement with the identify the party from whom such employee of, or partner in, such person covered plan. Additional background compensation will be received and or entity. As in the interim final rule, information concerning these otherwise comply with the requirements unless otherwise specified, an definitions can be found in the of the applicable provisions of the final ‘‘affiliate’’ refers to an affiliate of the preamble to the interim final rule (75 FR rule. The Department understands that covered service provider. 41600). some of the required information (for ‘‘Compensation’’ (paragraph (c)(1)(viii)(B)) is anything of monetary 9. Exemption for Responsible Plan example with respect to compensation Fiduciary to be received) may depend on value (for example, money, gifts, investments ultimately selected by awards, and trips), but does not include Paragraph (c)(1)(ix) of the final rule participants through the brokerage non-monetary compensation valued at permits a responsible plan fiduciary to window. The Department is confident $250 or less, in the aggregate, during the avoid engaging in a prohibited 32 nonetheless that the final rule provides term of the contract or arrangement. transaction when a covered service ‘‘Direct’’ compensation (paragraph provider fails to disclose required sufficient flexibility for how 33 compensation may be disclosed, in (c)(1)(viii)(B)(1)) is compensation information. Specifically, the final class exemption exempts a responsible paragraph (c)(1)(viii)(B)(3), to enable the received directly from the covered plan. plan fiduciary from the restrictions of covered service provider to The definition of ‘‘indirect’’ ERISA section 406(a)(1)(C) and (D) if, communicate meaningful information to compensation (paragraph among other things, the fiduciary did the responsible plan fiduciary about the (c)(1)(viii)(B)(2)) is modified as not know that the covered service compensation the covered service described above. Paragraph provider failed to make required provider, affiliates, and subcontractors (c)(1)(viii)(B)(3), concerning how disclosures and ‘‘reasonably believed’’ expect to receive in connection with compensation may be expressed, also is that such disclosures were made.34 offering a brokerage window to the modified as discussed above. ‘‘Recordkeeping services’’ (paragraph Upon discovery of a disclosure failure, covered plan. (c)(1)(viii)(D)) include services related to the responsible plan fiduciary must take A minor, non-substantive plan administration and monitoring of certain specified steps within modification also was made to the plan and participant and beneficiary designated timeframes, as described in definition of ‘‘indirect’’ compensation in transactions (e.g., enrollment, payroll paragraph (c)(1)(ix), including notifying paragraph (c)(1)(viii)(B)(2). The interim deductions and contributions, offering the Department of any disclosure final rule defined ‘‘indirect’’ designated investment alternatives and failures that are not corrected. compensation as compensation received other covered plan investments, loans, This paragraph continues to set forth from any source other than the covered withdrawals and distributions); and the the specific conditions applicable to plan, the plan sponsor, the covered maintenance of covered plan and covered transactions. These conditions service provider, an affiliate, or a participant and beneficiary accounts, require, among other things, a subcontractor (if the subcontractor records, and statements. A ‘‘responsible responsible plan fiduciary to notify the receives such compensation in plan fiduciary’’ (paragraph Department under certain circumstances connection with services performed (c)(1)(viii)(E)) is a fiduciary with of a covered service provider’s failure to under the subcontractor’s contract or authority to cause the covered plan to comply with its disclosure obligations. arrangement described in paragraph The conditions also set forth the timing, (c)(1)(viii)(F) of this section). To more 32 Some commenters on the interim final rule content and other requirements clearly describe when compensation argued that the $250 threshold for non-monetary compensation should be revised so that the amount received by a subcontractor is ‘‘indirect’’ 33 would be measured on a calendar- or plan-year When the Department proposed this rule in compensation for purposes of the final basis, rather than over the term of the contract or 2007, the prohibited transaction class exemption rule, the concept contained in the arrangement. The Department declined to accept was proposed separately; for ease of reference, the class exemption was included as paragraph parenthetical to paragraph this suggestion. Commenters also requested further guidance regarding accounting for and allocating (c)(1)(ix) of the interim final rule and continues to (c)(1)(viii)(B)(2) of the interim final rule non-monetary compensation. The Department notes be part of the final regulation. has been moved to a separate sentence. that, for purposes of the final rule, covered service 34 The Department notes that the fact that the This modification is not intended to providers may look to the guidance and service transaction, for the responsible plan substantively alter the definition. methodologies concerning non-monetary fiduciary, is the subject of an exemption will not compensation that have been approved for purposes relieve the covered service provider, as the other Accordingly, this paragraph now of the Form 5500 Annual Report. See Form 5500 party in interest to the transaction, from ERISA’s describes ‘‘indirect’’ compensation as Instructions, available on the Department’s Web site prohibited transaction provisions. Thus, regardless compensation received from any source at http://www.dol.gov/ebsa/forms.html; see also of the relief available to the responsible plan other than the covered plan, the plan Frequently Asked Questions concerning the Form fiduciary pursuant to this paragraph (c)(1)(ix), a 5500 Schedule C, at http://www.dol.gov/ebsa/faqs/ disclosure failure will nonetheless result in a sponsor, the covered service provider, faq_scheduleC.html and http://www.dol.gov/ebsa/ prohibited transaction, and resulting excise taxes, or an affiliate. Compensation received faqs/faq-sch-C-supplement.html. on the part of the covered service provider.

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applicable to the notice required to be meet its disclosure obligations. Although this paragraph is intended to filed with the Department by the Paragraph (c)(1)(ix)(D) states that the afford to the responsible plan fiduciary responsible plan fiduciary. The notice to the Department must contain some flexibility in securing replacement Department notes that parties seeking to the following information: (1) The name services, this paragraph is not intended avail themselves of the relief provided of the covered plan; (2) the plan number to permit fiduciaries to continue by the exemption have the burden of used for the covered plan’s Annual contracts or arrangements indefinitely demonstrating compliance with the Report; (3) the plan sponsor’s name, when there has been an unresolved conditions of the exemption. address, and EIN; (4) the name, address disclosure failure. In this regard, the The exemption provides relief from and telephone number of the final rule has been modified to the restrictions of ERISA section responsible plan fiduciary; (5) the name, emphasize that determinations in this 406(a)(1)(C) and (D) to a responsible address, phone number, and, if known, area are governed by the prudence plan fiduciary, notwithstanding any EIN of the covered service provider; (6) provisions of ERISA section 404. Thus, failure by a covered service provider to a description of the services provided to the final rule requires that if the comply with its disclosure obligations, the covered plan; (7) a description of the requested information relates to future provided that the conditions set forth in information that the covered service services (i.e., services that will be paragraph (c)(1)(ix)(A) through (G) are provider failed to disclose; (8) the date performed after the end of the 90-day met. on which such information was period referred to in paragraph Paragraph (c)(1)(ix)(A) of the requested in writing from the covered (c)(1)(ix)(C)) and is not disclosed regulation requires that the responsible service provider; and (9) a statement as promptly after the end of such 90-day plan fiduciary did not know that the to whether the covered service provider period, then the responsible plan covered service provider failed or would continues to provide services to the fiduciary shall terminate the contract or fail to make required disclosures and covered plan. arrangement as expeditiously as reasonably believed that the covered Paragraph (c)(1)(ix)(E) provides that possible, consistent with the duty of service provider disclosed the the responsible plan fiduciary shall file prudence. information required by the final rule. a notice with the Department not later The Department received four This condition is intended to reinforce than 30 days following the earlier of: (1) comments on the class exemption as the principle that the plan fiduciary The covered service provider’s refusal to part of the public comments received on must have entered into, and thereafter furnish the requested information; or (2) the interim final rule. Three continued, an arrangement for services the date which is 90 days after the date commenters generally supported the with a reasonable belief that the covered the written request referred to in class exemption, noting its importance service provider met, and would paragraph (c)(1)(ix)(B)(1) is made. In to an otherwise ‘‘innocent’’ plan continue to meet, the requirements of this context, a covered service fiduciary. These commenters stated that the final rule and without knowing of provider’s refusal to provide since a plan’s service provider is often the covered service provider’s information to the responsible plan the only party with all information disclosure failure. fiduciary, following such fiduciary’s about a service arrangement, Paragraph (c)(1)(ix)(B) of the written request, would constitute a particularly indirect compensation, the regulation requires that, upon covered service provider’s failure to class exemption rightly imposes the discovering that the covered service meet its disclosure obligations prior to compliance burden for disclosure on the provider failed to disclose the required the end of the 90-day period. covered service provider. However, two information, the responsible plan Paragraph (c)(1)(ix)(F) provides that commenters were concerned about fiduciary must request in writing that the notice should be sent to the U.S. requiring the responsible plan fiduciary the covered service provider furnish Department of Labor, Employee Benefits to have ‘‘reasonably believed’’ that such information. If the covered service Security Administration, Office of service providers disclosed the requisite provider fails to comply with the Enforcement, 200 Constitution Ave., information. These commenters noted responsible plan fiduciary’s written NW., Suite 600, Washington, DC 20210. that availability of the exemption request within 90 days, paragraph Such a notice also may be sent should not be determined based upon (c)(1)(ix)(C) requires that the responsible electronically to: OE– whether a responsible plan fiduciary plan fiduciary notify the Department. [email protected]. The can recognize disclosure omissions or The Department believes that this Department has developed a sample errors. Thus, the exemption should be condition, along with a covered service notice that will facilitate compliance available, they say, if the fiduciary provider’s exposure to excise tax with the notification requirement; this merely did not ‘‘know or have reason to liability under the Code, will provide sample notice will be available on the know’’ that the covered service provider covered service providers with a Department’s Web site at: http://www. failed to make required disclosures. sufficient incentive to address dol.gov/ebsa/DelinquentServiceProvider The Department has considered these disclosure failures within a reasonable DisclosureNotice.doc. comments, but has chosen not to modify time. The notice requirement does not Finally, paragraph (c)(1)(ix)(G) of the the requirements of the class exemption relieve a plan administrator of the final rule requires the responsible plan based upon these concerns. The obligation to report a prohibited fiduciary, following the discovery of a Department does not believe that transaction in accordance with the failure to disclose, to determine the responsible plan fiduciaries should be instructions to the Annual Report Form extent to which the contract or entitled to relief provided by the class 5500 Series, without regard to whether arrangement at issue can be continued exemption absent a reasonable belief the covered service provider furnishes consistent with the fiduciary’s duty of that disclosures required to be provided information in response to the prudence under ERISA section 404. The to the covered plan are complete. To fiduciary’s request. final rule, like the interim final rule, this end, responsible plan fiduciaries Paragraph (c)(1)(ix)(D) through (F) of assumes that plan fiduciaries will take should appropriately review the the regulation sets forth the content, into account certain factors in making disclosures made by covered service timing, and other requirements such determinations, such as the nature providers. Fiduciaries should be able to, applicable to notifying the Department of the failure and the availability and at a minimum, compare the disclosures of a covered service provider’s failure to costs of a replacement service provider. they receive from a covered service

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provider to the requirements of the supersede any State law that governs 1978, 5 U.S.C. App. 214 (2000 ed.), regulation and form a reasonable belief disclosures by parties that provide which was effective December 31, 1978, that the required disclosures have been services to covered plans, except to the under the final regulation, all references made. extent that such law prevents to section 408(b)(2) of ERISA and the Another commenter expressed application of the regulation. The regulations thereunder should be read to concern about the requirement in Department understands that the service include references to the parallel paragraph (c)(1)(ix)(G) that a responsible provider relationship with the plan may provisions of section 4975(d)(2) of the plan fiduciary determine whether to be subject to various State laws, Code and the regulations thereunder at terminate or continue a service contract including those relating to contract, tax, 26 CFR 54.4975–6. after discovering that information and consumer protection. The If a covered service provider fails to remains undisclosed. This requirement, Department’s regulation does not disclose the information required by the the commenters stated, means that any supersede these State laws, which may final rule, then the contract or unresolved disclosure failures that require disclosures by parties that arrangement will not be ‘‘reasonable’’ continue will result in a non-exempt provide services described in the final unless the failure satisfies the rule’s prohibited transaction in which case the rule, except to the extent that cure provision for inadvertent covered plan has no choice but to compliance with such State law would disclosure errors and omissions. The discontinue the existing service make compliance with this regulation service contract or arrangement will not arrangement. In such instances, the impossible or would otherwise conflict qualify for the relief from ERISA’s commenter believes that contractual with one of the regulation’s protections. prohibited transaction rules provided by requirements for a covered plan to This provision has not changed from the section 408(b)(2). The resulting compensate the covered service interim final rule.35 prohibited transaction will have provider for losses or expenses relating Paragraph (c)(1)(x) of the final rule consequences for both the responsible to termination should be null and void. addresses only the preemptive effect of plan fiduciary and the covered service The Department does not believe that the regulation itself, and does not speak provider. The responsible plan the class exemption should require that to any preemptive effect that ERISA fiduciary, by causing the transaction, parties to an otherwise appropriately Title I generally, or ERISA section 514 will have violated ERISA section negotiated and approved service specifically, may have on State laws that 406(a)(1)(C) and (D). The covered contract or arrangement simply regulate parties that provide services to service provider, as a ‘‘disqualified disregard all agreed-upon contractual employee benefit plans. A State law that person’’ under the Code’s prohibited provisions designed to reasonably requires disclosure in connection with transaction rules, will be subject to the compensate a covered service provider services or service provider contracts or excise taxes that result from the service for losses or expenses relating to a arrangements, regardless of whether the provider’s participation in a prohibited contract’s termination. The services are provided directly to an transaction under Code section 4975.36 requirements and obligations of parties ERISA plan or other entity, generally Section 4975(a) of the Code provides to service contracts or arrangements would not be viewed by the Department that the rate of the excise tax is fifteen pursuant to paragraph (c)(3) of the final as ‘‘relating to’’ employee benefit plans percent of the ‘‘amount involved’’ with rule remain unchanged, including within the meaning of ERISA section respect to the prohibited transaction for arrangements between covered plans 514 or as otherwise preempted by Title each year (or part thereof) in the taxable and covered service providers under I of ERISA. period. The Code goes on to provide in this final rule. section 4975(b) that if the prohibited Finally, a commenter was concerned 11. Application of Section 4975 of the transaction is not corrected within the about the Department’s failure to Internal Revenue Code taxable period, the rate of the excise tax expand relief to covered service Code section 4975(d)(2) contains a increases to 100 percent of the ‘‘amount providers who may become liable for provision that is parallel to ERISA section 408(b)(2). The interim final rule involved.’’ excise taxes despite their inability to The Department continues to believe included a new provision in paragraph obtain, through no fault of their own, that the application of the excise tax information from other parties. Thus, (c)(1)(xi) to clarify that compliance with the Department’s regulation will be will provide incentives for all parties to the commenter would have the class service contracts or arrangements to exemption also cover an otherwise required for a covered service provider to avoid the excise taxes imposed by cooperate in exchanging the disclosures ‘‘innocent’’ covered service provider. required by the final regulation. As The Department believes that the final Code section 4975. The final rule includes the same provision, without noted above, however, the Department rule’s mechanisms for correcting does not believe that an otherwise inadvertent errors and omissions, and modification from the interim final rule. Specifically, paragraph (c)(1)(xi) diligent responsible plan fiduciary for updating changes in disclosures, should be penalized as a result of a partially address this concern. However, provides that in accordance with the transfer of authority of the Secretary of failure on the part of a covered service the Department maintains that the provider to make the required covered service provider dealing the Treasury to promulgate regulations of the type published herein to the disclosures. Accordingly, the final rule directly with the covered plan bears continues to include the exemptive ultimate responsibility for disclosing the Secretary of Labor, pursuant to section 102 of the Reorganization Plan No. 4 of relief described above (see paragraph information required by the final rule, (c)(1)(ix) of the final rule). But, as including information from its affiliates 35 required as a condition of that or subcontractors. Therefore, the Two commenters on the interim final rule believe that such rule was not an appropriate place exemptive relief and more generally Department has not modified the class for a preemption provision and that the provision under ERISA section 404, following the exemption as requested by the must be proposed. The Department is not responsible plan fiduciary’s discovery commenter. persuaded by these commenters and views this provision as a logical outgrowth of the proposed 10. Preemption of State Law rule. In addition, the interim final rule itself 36 The Code also includes definitions related to provided notice to affected parties and the plans subject to the prohibited transaction and Paragraph (c)(1)(x) of the final rule opportunity for comment. Therefore, the final rule excise tax provisions in Code section 4975. See states that the regulation does not retains the preemption provision. Code section 4975(e)(1) and (g).

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that the covered service provider failed effective date in the interim final rule in The final rule published in this notice, to disclose required information, the order to accommodate concerns as to however, includes a new effective date fiduciary must consider what steps the cost and burden associated with of July 1, 2012. The Department decided should be taken in response to the transitioning current and future service to further extend the effective date due covered service provider’s contracts or arrangements to satisfy the to delays in the publication of this final nondisclosure, and may in certain rule’s requirements. rule. Given the date of this notice, the circumstances have to terminate the Some commenters on the interim final Department determined that July 1, contract or arrangement with the service rule asserted that even one year is not 2012 would be a more appropriate enough time, suggesting that the provider. effective date to ensure that covered Several commenters asked how to Department delay the regulation’s service providers and other parties have determine the ‘‘amount involved’’ and effectiveness, for example, for another what would be required to ‘‘correct’’ the year. A few commenters also requested sufficient time to prepare for prohibited transaction that results from that the Department modify the effective compliance with the final rule. Thus, a failure to satisfy the disclosure date for existing contracts or contracts or arrangements between a requirements in the final rule. Under arrangements, giving affected parties covered service provider and a covered Reorganization Plan No. 4 described more time to bring them into plan that are entered into on or after above, the Secretary of the Treasury compliance with the regulation. July 1, 2012 must comply with the final retained interpretive and regulatory However, most of the commenters on rule, and contracts or arrangements in authority over the provisions in Code this issue primarily were concerned that existence prior to July 1, 2012 also must section 4975(a) and (b) regarding if significant modifications are made be brought into compliance as of such calculation of excise taxes and from the interim final to the final rule, date. correction of prohibited transactions.37 then the Department should consider Accordingly, those issues are beyond extending the effective date to ensure C. Welfare Plan Disclosure—Reserved the scope of this regulation. that parties have sufficient time to As explained in the Supplementary 12. Effective Date revise necessary systems and comply Information for the interim final rule, with such modifications. the Department reserved paragraph Commenters on the interim final rule The Department continues to believe (c)(2) of the final rule for a continued to express concern with the that both existing contracts and comprehensive disclosure framework effective date for the final regulation arrangements, as well as those entered and class exemption, which was July 16, into on or after the final regulation’s applicable to ‘‘reasonable’’ contracts or 2011 (one year following publication of effective date, must comply with the arrangements for welfare plans to be the interim final rule in the Federal final rule. However, given commenters’ developed by the Department. The Register).38 Both new and existing concerns about the burden associated Department believes that fiduciaries and contracts and arrangements between with updating all existing contracts and service providers to welfare benefit covered plans and covered service arrangements, and the fact that the final plans would benefit from regulatory providers must be in compliance as of rule does reflect some substantive guidance in this area for the same and following the rule’s effective date. modifications from the interim final reasons that apply to defined The Department extended the 90-day rule, the Department was persuaded that contribution and defined benefit plans. proposed effective date to a one-year the effective date should be delayed. The Department is persuaded that there Further, the final rule conforms to the are significant differences between 37 The Reorganization Plan at Section 102 Department’s final participant-level provides: ‘‘Except as otherwise provided in Section service and compensation arrangements 105 of this Plan, all authority of the Secretary of the disclosure regulation, which applies for of welfare plans and those involving Treasury to issue the following described plan years beginning on or after pension plans and that the Department documents pursuant to the statutes hereinafter November 1, 2011 (so, for calendar year should develop separate, more specified is hereby transferred to the Secretary of Labor: (a) Regulations, rulings, opinions, and plans, the plan year beginning on specifically tailored, disclosure exemptions under section 4975 of the Code * * * January 1, 2012). The Department requirements under ERISA section EXCEPT for (i) subsections 4975(a), (b), (c)(3), believes that all parties, including 408(b)(2) for welfare benefit plans. P(d)(3), (e)(1), and (e)(7) of the Code.’’ Section 105 covered service providers, responsible of the Reorganization Plan further details the scope Although one commenter on the interim of the Secretary of the Treasury’s authority relating plan fiduciaries (and their plan final rule argued that fee transparency to section 4975(a) & (b): ‘‘The transfers provided for administrators), and plan participants guidance, as a general matter, is in Section 102 of this Plan shall not affect the and beneficiaries, would benefit from unnecessary in the welfare plan context, ability of the Secretary of the Treasury, subject to closer alignment in the application of the provisions of Title III of ERISA relating to most of the commenters on this issue these two disclosure initiatives. jurisdiction, administration, and enforcement, (a) to supported the Department’s decision to Accordingly, the Department previously audit plans and employers and to enforce the excise separately address welfare plans. To tax provisions of subsections 4975(a) and 4975(b) of published a notice in the Federal the Code, to exercise the authority set forth in Register extending the effective date for further this distinct regulatory initiative, subsections 502(b)(1) and 502(h) of ERISA, or to 39 the Department held a public hearing on exercise the authority set forth in Title III of ERISA, the interim final rule to April 1, 2012. including the ability to make interpretations December 7, 2010, to explore necessary to audit, to enforce such taxes, and to 39 76 FR 42539 (July 19, 2011). The Department operational, disclosure, and fee exercise such authority * * *. However, in also made corresponding changes to the transition transparency issues concerning welfare enforcing such excise taxes and, to the extent rule for the participant-level disclosure regulation, benefit plans. Testimony and other applicable, in disqualifying such plans the which are discussed in the Supplementary Secretary of the Treasury shall be bound by the Information contained in such Federal Register materials submitted to the Department regulations, rulings, opinions, and exemptions notice. The revised effective date and transition rule in connection with this hearing are issued by the Secretary of Labor. * * *[.]’’ published at that time reflected the Department’s available on the Department’s Web site. 38 One commenter on the interim final rule review of public comments received in response to strongly supported the July 16, 2011, effective date, its proposal to extend these dates, published on arguing that the industry dialogue concerning fee June 1, 2011. 76 FR 31544. These comments transparency has been going on for years and that similarly influenced the Department’s decision to service providers have been adequately forewarned further extend the effective date herein. These Web site at http://www.dol.gov/ebsa/regs/cmt-1210- that increased transparency will be required. public comments are available on the Department’s AB08a.html.

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D. Existing Requirement Concerning the economy of $100 million or more in requiring specific disclosures of service Termination of Contract or any one year. Accordingly, the rule has provider compensation before a service Arrangement been reviewed by OMB. contract or arrangement can be considered reasonable under ERISA The interim final rule contained no 2. The Need for Regulatory Action amendments to the existing Section 408(b)(2). As documented in the regulatory requirements addressing termination of 3. Summary of Impacts contracts or arrangements for purposes impact analysis of the July 16, 2010 of section 408(b)(2). Although one interim final regulation, compensation As further discussed below, the commenter on the interim final rule arrangements in retirement plan Department is confident that this final generally requested additional guidance services market are complex. Payments rule will provide substantial benefits by on this requirement, no specific from third parties and among service reducing search time and costs for suggestions or problems were identified. providers can create conflicts of interest fiduciaries to identify the relevant fee No further comments or between service providers and their and compensation information that they recommendations were received. clients. For example, a 401(k) plan need to fulfill their fiduciary Accordingly, the Department has not vendor may receive ‘‘revenue sharing’’ responsibility under ERISA. The final revised this provision and adopted the from a mutual fund that it makes rule will also discourage harmful paragraph, without change, in paragraph available to its clients, and a consultant conflicts, reduce information gaps, (c)(3) of the final rule. may receive a ‘‘finder’s fee’’ from an improve fiduciary decision-making investment adviser it recommends to its about plan services, enhance value for E. Effect on Other Statutory and clients. plan participants, and increase the Administrative Exemptions Such compensation arrangements and Department’s ability to redress abuses A few commenters on the interim the conflicts they can create are myriad committed by service providers. final rule asked the Department to and in the past have been largely hidden Covered service providers will incur clarify the effect of the final rule on the from view. Their opacity has sometimes compliance and implementation costs to availability of previously issued prevented plan fiduciaries from create and provide disclosures that exemptions. The Department is assessing the reasonableness of the costs satisfy the requirements of the final rule, reviewing a number of pertinent class for plan services and allowed harmful but the Department is confident that the exemptions involving service provider conflicts to persist in the market. benefits of the final regulation will arrangements, and we anticipate In evaluating the reasonableness of exceed its costs. providing guidance in this regard in the contracts or arrangements for services, The final regulation retains the near future. responsible plan fiduciaries have a duty structure of the interim final rule by F. Regulatory Impact Analysis to consider compensation that will be requiring covered service providers to received by a covered service provider provide certain disclosures to 1. Executive Orders 12866 and 13563 from all sources in connection with the responsible plan fiduciaries in order to Executive Orders 12866 and 13563 services it provides to a covered plan qualify for the statutory exemption direct agencies to assess all costs and pursuant to the service provider’s under ERISA section 408(b)(2). benefits of available regulatory contract or arrangement. However, Generally, the Department has retained alternatives and, if regulation is many plans, especially small plans, lack most of the disclosure concepts and necessary, to select regulatory the knowledge and bargaining power to requirements from the interim final rule. approaches that maximize net benefits require service providers to disclose the The modifications in this final rule do (including potential economic, compensation that they expect to not significantly affect the costs and environmental, public health and safety receive from third parties as a result of benefits of the interim final rule. effects, distributive impacts, and the service provider’s arrangement with In accordance with OMB Circular equity). Executive Order 13563 the plan. To the extent that plan A–4,40 Table 2 below depicts an emphasizes the importance of fiduciaries are unable to obtain relevant accounting statement showing the quantifying both costs and benefits, of compensation information, or unable to Department’s assessment of the benefits reducing costs, of harmonizing rules, use it to choose among service providers and costs associated with the final rule. and of promoting flexibility. OMB has in a manner that upholds their fiduciary The estimates vary from those in the determined that this action is duty, a failure exists in the market for interim final rule by updating the ‘‘economically significant’’ within the services for employee benefit plans. analysis to reflect 2008 Form 5500 data meaning of 3(f)(1) of the executive order This final rule will improve the (the latest available data) and 2011 labor because it is likely to have an effect on transparency of service arrangements by rates.

TABLE 2—ACCOUNTING TABLE (TOTAL IMPACT OF THE FINAL RULE)

Primary Year Discount Period Category estimate dollar rate covered

40 Available at http://www.whitehouse.gov/omb/ circulars/a004/a-4.pdf.

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TABLE 2—ACCOUNTING TABLE (TOTAL IMPACT OF THE FINAL RULE)—Continued

Primary Year Discount Period Category estimate dollar rate covered

Costs:. Annualized Monetized ($millions/year) ...... $63.7 2011 7% 2012–2021 58.9 2011 3% 2012–2021

Transfers ...... Not Applicable.

4. Affected Entities and Other one hand, some of the service providers mandatory proactive disclosure will Assumptions counted here may not be covered reduce the plan’s information costs, This final rule will affect about 48,000 service providers, but the Department is discourage harmful conflicts, and defined benefit pension plans with over unable to further refine this group due enhance service value. Additional 42 million participants and almost to the limitations of the Schedule C benefits will flow from the Department’s 669,000 defined contribution pension data. On the other hand, because small enhanced ability to redress abuse. plans with approximately 83 million plans generally do not file Schedule C, Although the benefits and costs are participants. Out of these pension plans, the number of covered service providers difficult to quantify, the Department is about 38,000 are small defined benefit will be understated if a substantial confident that the benefits more than plans and 597,000 small individual number of them service only small justify the costs. account plans.41 Most of the defined plans. However, the Department contribution pension plans, believes that most small plans use the 6. Costs approximately 498,000, are participant- same service providers as large plans; This section summarizes the total directed individual account plans. therefore, the estimate based on the The final regulation applies to Schedule C filings by large plans is costs of the final regulation. The contracts or arrangements between reasonable.43 Department estimated costs for the rule covered plans and covered service Schedule C data was also used to over a ten-year time frame for purposes providers. In order to estimate the count the number of covered plan- of this analysis. In addition to the costs number of covered service providers service provider arrangements. On to service providers, the Department and the number of service provider-plan average, defined benefit plans employ also considered the potential costs to arrangements, the Department has used more covered service providers per plan plans. data from plan year 2008 submissions of than defined contribution plans, and These costs include the following: the Form 5500 and its Schedule C. large plans use more covered service Cost incurred for compliance review In general, only plans with 100 or providers per plan than small plans. In and implementation; costs to make more participants that have made total, the Department estimates that initial and investment disclosures and payments to a service provider of at defined benefit plans have over 120,000 to disclose additional information on least $5,000 are required to file the Form arrangements with covered service request; costs for responsible plan 5500 Schedule C. These plans are also providers, while defined contribution required to report the type of services plans have over 836,000 arrangements. fiduciaries to request additional provided by each service provider. The In the interim final rule, the information from service providers to Department counted the service Department assumed that 50 percent of comply with the class exemption and to providers most likely to provide the disclosures would be delivered prepare notices to the Department if the services described in paragraph electronically. The Department did not covered service provider fails to comply (c)(1)(iii) of the final rule, which defines receive any comments regarding this with the request, and costs to prepare which service providers are assumption; therefore, the Department the guide. These costs are identical to ‘‘covered.’’ 42 In total, there were nearly continues to assume that about 50 the estimates in the interim final 9,500 unique covered service providers percent of disclosures between covered regulation except they have been reported in the Form 5500 Schedule C service providers and responsible plan updated to reflect more recent Form data, almost 1,000 of which were fiduciaries are delivered only in 5500 data and 2011 labor rates. reported to have received in aggregate electronic format. As shown in Table 3 below, total costs $1 million or more in direct and indirect for covered service providers and compensation. 5. Benefits The Department acknowledges that As explained in the regulatory impact covered plans total approximately $164 this estimate may be imprecise. On the analysis for the interim final rule, million for the year 2012.

41 Estimates of the number of plans and 42 In order to provide a reasonable estimate, evaluations were assumed to be covered service participants are taken from the EBSA’s 2008 service providers with reported type codes providers. Pension Research File, http://www.dol.gov/ebsa/ corresponding to contract administrator, 43 While in general small plans are not required publications/form5500dataresearch.html#plan administration, brokerage (real estate), brokerage to file a Schedule C, some voluntarily file. Looking bulletins. Small pension plans are plans with (stocks, bonds, commodities), consulting (general), at Schedule C filings by small plans, the generally less than 100 participants, as specified in custodial (securities), insurance agents and brokers, Department verified that most small plans reporting investment management, recordkeeping, trustee data on Schedule C used the same group of service the Form 5500 instructions. (individual), trustee (corporate) and investment providers as larger plans.

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TABLE 3—TOTAL DISCOUNTED COSTS RULE (SHOWN WITH 7 PERCENT DISCOUNT RATE)

Cost of gen- Cost of invest- Cost of Year Cost of legal eral informa- ment informa- qualifying for Total costs review tion disclosure tion disclosure exemption

(A) (B) (C) (D) A + B + C + D

2012 ...... $64,061,000 $82,842,000 $14,584,000 $2,588,000 $164,076,000 2013 ...... 7,248,000 23,690,000 8,471,000 1,209,000 40,619,000 2014 ...... 6,774,000 22,140,000 7,917,000 1,130,000 37,962,000 2015 ...... 6,331,000 20,692,000 7,399,000 1,056,000 35,478,000 2016 ...... 5,917,000 19,338,000 6,915,000 987,000 33,157,000 2017 ...... 5,530,000 18,073,000 6,463,000 923,000 30,988,000 2018 ...... 5,168,000 16,891,000 6,040,000 862,000 28,961,000 2019 ...... 4,830,000 15,786,000 5,645,000 806,000 27,066,000 2020 ...... 4,514,000 14,753,000 5,275,000 753,000 25,296,000 2021 ...... 4,219,000 13,788,000 4,930,000 704,000 23,641,000

Total with 7% Discounting ...... 447,244,000

Total with 3% Discounting ...... 502,475,000 Note: The displayed numbers are rounded to the nearest thousand and therefore may not add up to the totals.

7. Final Regulatory Flexibility Analysis b. Affected Small Entities platform of investment options for participant-directed individual account The Department estimates that the The Regulatory Flexibility Act (5 plans. U.S.C. 601, et seq.) (RFA) imposes final rule will apply to approximately These small covered service providers certain requirements with respect to 9,300 small service providers (generally, will be required to disclose certain Federal rules that are subject to the those with revenue less than $7.0 written information to responsible plan notice and comment requirements of million per year). These service fiduciaries in connection with their section 553(b) of the Administrative providers generally consist of covered service arrangements. Such professional service enterprises that Procedure Act (5 U.S.C. 551, et seq.) and information will include a description provide a wide range of services to which are likely to have a significant of the services that will be included in plans, such as investment management economic impact on a substantial the arrangement and what direct and or advisory services for plans or plan indirect compensation the covered number of small entities. Unless an participants, and accounting, auditing, agency determines that a proposal is not service provider will receive, or that actuarial, appraisal, banking, consulting, will be paid among related parties, in likely to have such an impact, section custodial, insurance, legal, 604 of the RFA requires that the agency connection with the arrangement. recordkeeping, brokerage, third party Service providers whose arrangements present a final regulatory flexibility administration, or valuation services. include making investment products analysis (FRFA) describing the rule’s Many of these service providers have available to plans additionally must impact on small entities and explaining special education, training, and/or disclose specified investment-related how the agency made its decisions with formal credentials in fields such as information about such products. The respect to the application of the rule to ERISA and benefits administration, required disclosures must be provided small entities. Small entities include employee compensation, taxation, to the responsible plan fiduciary small businesses, organizations and actuarial science, law, accounting, or reasonably in advance of the parties governmental jurisdictions. finance. entering into the contract or a. Need for and Objectives of the Rule c. Compliance Requirements arrangement for covered services. Preparing compliant disclosures often Service providers to pension plans The classes of small service providers will require one or more professional increasingly have complex subject to the final rule include service skills such as financial or legal compensation arrangements that may providers who are ERISA fiduciaries (for expertise, and knowledge of financial present conflicts of interest. Thus, small example, because they manage plan products and services and related investments or are fiduciaries to plan fiduciaries face increasing compensation and revenue sharing investment vehicles holding plan difficulty in carrying out their duty to arrangements. assets), who provide services as assess whether the compensation paid registered investment advisers to plans, d. Agency Steps To Minimize Negative to their service providers is reasonable. who receive indirect compensation (or Impacts This rule is necessary to help both large certain compensation from related The Department took a number of and small plan fiduciaries get the parties) in connection with provision of steps to minimize any negative impact information they need to negotiate with specified services (namely, accounting, of the interim final rule on small service and select service providers who offer auditing, actuarial, appraisal, banking, providers. These include clarifying the high quality services at reasonable rates certain consulting, custodial, insurance, scope of the rule’s application to and to comply with their fiduciary participant investment advisory, legal, include only those categories of service duties. The Department’s requirement recordkeeping, securities or other providers likely to be involved in for covered service providers to provide investment brokerage, third party undisclosed or indirect compensation disclosures to responsible plan administration, or valuation services) or arrangements, excepting from the rule’s fiduciaries will be especially helpful to who provide recordkeeping or brokerage requirements contracts or arrangements small plan fiduciaries. services involving an investment for which compensation or fees are less

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than $1,000, omitting from the rule a Number 1210–0133 on May 20, 2010, number of service providers, plans, and requirement that all arrangements be which will expire on May 31, 2013. arrangements covered by the rule. Based maintained under formal contracts, and Although no public comments were on information from the 2008 Form not requiring covered service providers received that specifically addressed the 5500, the Department estimates that to disclose information in any particular paperwork burden analysis of the approximately 48,000 defined benefit format. Moreover, the disclosure information collections at the interim pension plans (DB plans) covering more requirements included in the final rule final rule stage, the comments that were than 42 million participants and are necessary to ensure that plan submitted and described earlier in this approximately 669,000 defined fiduciaries can efficiently and preamble, contained information contribution plans (DC plans) covering effectively carry out their duties in relevant to the costs and administrative almost 83 million participants are purchasing services for plans. burdens attendant to the proposals. The covered by the rule.44 The policy justification for these Department took into account such The Department also estimates that requirements includes benefits to public comments in connection with based on data from the 2008 Form 5500 fiduciaries, who will realize savings in making changes to the final rule and in Annual Return/Report and Schedule C the form of reduced search costs more developing the revised paperwork that there are about 9,500 covered than commensurate to the compliance burden analysis summarized below. service providers. The 2008 Form 5500 costs shouldered by service providers. In connection with publication of this Schedule C data was also used to count Small plan fiduciaries are likely to final rule, the Department submitted a the number of covered plan-covered benefit most—lacking economies of revised ICR to OMB for approval. The service provider arrangements. On scale and negotiating power, they would Department intends to publish a notice average, DB plans employ more covered otherwise face the greatest potential cost announcing OMB’s decision regarding service providers per plan than DC to obtain and consider the information the revised ICR upon completion of plans, and large plans use more covered necessary to the performance of their OMB review. An agency may not service providers per plan than small fiduciary duty. Small service providers, conduct or sponsor, and a person is not plans. In total, the Department estimates while shouldering the cost of providing required to respond to, a collection of that DB plans have approximately disclosure, will likely often pass these information unless it displays a 120,000 arrangements with covered costs to their plan clients, who in turn currently valid OMB control number. service providers, while DC plans have will reap a net benefit on average that A copy of the ICR may be obtained by an estimated 836,000 arrangements. For will more than offset this shifted contacting the PRA addressee shown purposes of this analysis, the compliance cost. below or at http://www.RegInfo.gov. Department assumes that about 50 The Department rejected as PRA Addressee: G. Christopher Cosby, percent of disclosures between covered unnecessarily costly approaches that Office of Policy and Research, U.S. service providers and responsible plan would have applied disclosure Department of Labor, Employee Benefits fiduciaries are made only electronically. requirements to arrangements involving Security Administration, 200 compensation or fees of less than Constitution Avenue NW., Room N– The final regulation retains the basic $1,000, or to a broader scope of service 5718, Washington, DC 20210. structure of the interim final rule by providers, or that would have required Telephone: (202) 693–8410; Fax: (202) requiring covered service providers to a formal, written contract. The 219–4745. These are not toll-free provide certain disclosures to Department also rejected these numbers. responsible plan fiduciaries in order to approaches as inadequate to achieve a The information collection qualify for the statutory exemption central policy and legal goal—namely, requirements of the final rule are under ERISA section 408(b)(2). enabling responsible plan fiduciaries, contained in paragraph (c)(1)(iv), which Generally, the Department has retained including especially small plan requires service providers to disclose, in most of the disclosure concepts and fiduciaries, to efficiently and effectively writing, specific information to requirements from the interim final rule. carry out their duty to assess responsible plan fiduciaries related to As noted above, the Department information needed to purchase of plan the compensation to be received under estimates that there are approximately services at a reasonable rate. the contract or arrangement. Generally, 9,500 covered service providers and the information must be disclosed 960,000 arrangements with covered 8. Paperwork Reduction Act reasonably in advance of the date the plans that are affected by this rule. In accordance with the requirements contract or arrangement is entered into, Summary of the Paperwork Reduction Act of 1995 or extended or renewed. These (PRA) (44 U.S.C. 3506(c)(2)), the disclosure requirements are discussed Table 4 shows the total hour burden Department submitted an information fully in Section B of this SUPPLEMENTARY of the information collection and Table collection request (ICR) to OMB in INFORMATION. 5 shows the total equivalent cost. The accordance with 44 U.S.C. 3507(d), total three-year average hour burden for contemporaneously with the Annual Hour Burden covered service providers and covered publication of the interim final In order to estimate the potential costs plans is estimated to be 1.6 million regulation, for OMB’s review. OMB of the disclosure provisions of the final hours with an equivalent cost of $134.7 approved the ICR under OMB Control rule, the Department estimated the million.

TABLE 4—HOUR BURDEN

Year 1 Year 2 Year 3 Average

Service Providers ...... 2,315,000 813,000 813,000 1,313,000

44 Out of these pension plans, about 38,000 are plans generally are those with less than 100 small DB plans and 597,000 small DC plans. Small participants.

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TABLE 4—HOUR BURDEN—Continued

Year 1 Year 2 Year 3 Average

Plans ...... 758,000 117,000 117,000 331,000

Total ...... 3,072,000 930,000 930,000 1,644,000 Note: The displayed numbers are rounded to the nearest thousand and therefore may not add up to the totals.

TABLE 5—EQUIVALENT COST

Year 1 Year 2 Year 3 Average

Service Providers ...... $202,623,000 $68,769,000 $68,769,000 $113,387,000 Plans ...... 48,912,000 7,563,000 7,563,000 21,346,000

Total ...... 251,535,000 76,332,000 76,332,000 134,733,000 Note: The displayed numbers are rounded to the nearest thousand and therefore may not add up to the totals.

Annual Cost Burden the disclosures will be sent estimates that the total cost burden of Table 6 reports the estimated printing electronically at no cost, and that the the rule in 2012 will be $9.5 million, and postage costs associated with each cost of printing and paper for the and $1.5 million in subsequent years. required disclosures and notices. The remaining 50 percent of documents will The three-year average cost burden is Department assumes that 50 percent of be 5 cents per page. The Department estimated to be more than $4.2 million.

TABLE 6—COST BURDEN

Year 1 Year 2 Year 3 Average

Initial Disclosure ...... $401,000 $54,000 $54,000 $170,000 Update Initial Disclosure ...... 0 107,000 107,000 71,000 Information Upon Request ...... 45,000 45,000 45,000 45,000

General Information Total ...... 446,000 206,000 206,000 286,000

Investment Disclosure ...... 8,929,000 1,210,000 1,210,000 3,783,000 Update Investment Disclosure ...... 116,000 116,000 116,000 116,000

Investment Disclosure Total ...... 9,045,000 1,326,000 1,326,000 3,899,000

Request for Additional Information for Exemption ...... 19,000 10,000 10,000 13,000 Notice to the Department ...... 2,000 1,000 1,000 1,000

Total ...... 9,513,000 1,543,000 1,543,000 4,200,000 Note: The displayed numbers are rounded to the nearest thousand and therefore may not add up to the totals

These paperwork burden estimates Estimated Annual Burden Cost: expenditures by State, local, or tribal are summarized as follows: $9,513,000 (first year); $4,200,000 governments in the aggregate of more Type of Review: Revision of existing (three-year average). than $100 million, adjusted for collection Congressional Review Act inflation, or increase expenditures by Agency: Employee Benefits Security the private sector of more than $100 Administration, Department of Labor. The final rule is subject to the million, adjusted for inflation. Title: Reasonable Contract or Congressional Review Act provisions of Arrangement Under Section 408(b)(2)— the Small Business Regulatory Federalism Statement Fee Disclosure. Enforcement Fairness Act of 1996 (5 OMB Control Number: 1210–0133. U.S.C. 801 et seq.) and will be Executive Order 13132 (August 4, Affected Public: Business or other for- transmitted to Congress and the 1999) outlines fundamental principles profit; not-for-profit institutions. Comptroller General for review. The of federalism, and requires the Estimated Number of Respondents: final rule is a ‘‘major rule’’ as that term adherence to specific criteria by Federal 81,000 (first year); 57,000 (three-year is defined in 5 U.S.C. 804, because it is agencies in the process of their average). likely to result in an annual effect on the formulation and implementation of Estimated Number of Responses: economy of $100 million or more. policies that have substantial direct 1,628,000 (first year); 1,274,000 (three- effects on the States, the relationship year average). Unfunded Mandates Reform Act between the national government and Frequency of Response: Annually; For purposes of the Unfunded States, or on the distribution of power occasionally. Mandates Reform Act of 1995 (Pub. L. and responsibilities among the various Estimated Annual Burden Hours: 104–4), as well as Executive Order levels of government. The final rule 3,072,000 (first year); 1,644,000 (three- 12875, the final rule does not include does not have federalism implications year average). any Federal mandate that may result in because it has no substantial direct

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effect on the States, on the relationship the requirements of this paragraph (c)(1) 101) and in which the covered plan has between the national government and are satisfied. The requirements of this a direct equity investment (a direct the States, or on the distribution of paragraph (c)(1) are independent of equity investment does not include power and responsibilities among the fiduciary obligations under section 404 investments made by the investment various levels of government. Section of the Act. contract, product, or entity in which the 514 of ERISA provides, with certain (ii) Covered plan. For purposes of this covered plan invests); or exceptions specifically enumerated, that paragraph (c)(1), a ‘‘covered plan’’ is an (3) Services provided directly to the the provisions of Titles I and IV of ‘‘employee pension benefit plan’’ or a covered plan as an investment adviser ERISA supersede any and all laws of the ‘‘pension plan’’ within the meaning of registered under either the Investment States as they relate to any employee section 3(2)(A) (and not described in Advisers Act of 1940 or any State law. benefit plan covered under ERISA. The section 4(b)) of the Act, except that the (B) Certain recordkeeping or requirements implemented in the final term ‘‘covered plan’’ shall not include a brokerage services. Recordkeeping rule do not alter the fundamental ‘‘simplified employee pension’’ services or brokerage services provided reporting and disclosure requirements described in section 408(k) of the to a covered plan that is an individual of the statute with respect to employee Internal Revenue Code of 1986 (the account plan, as defined in section 3(34) benefit plans, and, as such, have no Code); a ‘‘simple retirement account’’ of the Act, and that permits participants implications for the States or the described in section 408(p) of the Code; or beneficiaries to direct the investment relationship or distribution of power an individual retirement account of their accounts, if one or more between the national government and described in section 408(a) of the Code; designated investment alternatives will the States. an individual retirement annuity be made available (e.g., through a described in section 408(b) of the Code; platform or similar mechanism) in List of Subjects in 29 CFR Part 2550 or annuity contracts and custodial connection with such recordkeeping Employee benefit plans, Exemptions, accounts described in section 403(b) of services or brokerage services. Fiduciaries, Investments, Pensions, the Code issued to a current or former (C) Other services for indirect Prohibited transactions, Reporting and employee before January 1, 2009, for compensation. Accounting, auditing, recordkeeping requirements, and which the employer ceased to have any actuarial, appraisal, banking, consulting Securities. obligation to make contributions (i.e., consulting related to the For the reasons set forth in the (including employee salary reduction development or implementation of preamble, the Department of Labor is contributions), and in fact ceased investment policies or objectives, or the amending chapter XXV, subchapter F, making contributions to the contract or selection or monitoring of service part 2550 of title 29 of the Code of account for periods before January 1, providers or plan investments), Federal Regulations as follows: 2009, and for which all of the rights and custodial, insurance, investment benefits under the contract or account advisory (for plan or participants), legal, PART 2550—RULES AND are legally enforceable against the recordkeeping, securities or other REGULATIONS FOR FIDUCIARY insurer or custodian by the individual investment brokerage, third party RESPONSIBILITY owner of the contract or account administration, or valuation services without any involvement by the provided to the covered plan, for which ■ 1. The authority citation for part 2550 employer, and for which such the covered service provider, an continues to read as follows: individual owner is fully vested in the affiliate, or a subcontractor reasonably Authority: 29 U.S.C. 1135 and Secretary contract or account. expects to receive indirect of Labor’s Order No. 6–2009, 74 FR § 21524 (iii) Covered service provider. For compensation (as defined in paragraph (May 7, 2009). Sec. 2550.401c–1 also issued purposes of this paragraph (c)(1), a (c)(1)(viii)(B)(2) of this section or under 29 U.S.C. 1101. Sec. 2550.404a–1 also ‘‘covered service provider’’ is a service compensation described in paragraph issued under sec. 657, Pub. L. 107–16, 115 provider that enters into a contract or (c)(1)(iv)(C)(3) of this section). Stat. 38. Sections 2550.404c–1 and arrangement with the covered plan and (D) Limitations. Notwithstanding 2550.404c–5 also issued under 29 U.S.C. reasonably expects $1,000 or more in paragraphs (c)(1)(iii)(A), (B), or (C) of 1104. Sec. 2550.408b–1 also issued under 29 compensation, direct or indirect, to be this section, no person or entity is a U.S.C. 1108(b)(1) and sec. 102, received in connection with providing ‘‘covered service provider’’ solely by Reorganization Plan No. 4 of 1978, 5 U.S.C. App. 1. Sec. 2550.408b–19 also issued under one or more of the services described in providing services— sec. 611, Pub. L. 109–280, 120 Stat. 780, 972, paragraphs (c)(1)(iii)(A), (B), or (C) of (1) As an affiliate or a subcontractor and sec. 102, Reorganization Plan No. 4 of this section pursuant to the contract or that is performing one or more of the 1978, 5 U.S.C. App. 1. Sec. 2550.412–1 also arrangement, regardless of whether such services described in paragraphs issued under 29 U.S.C. 1112. services will be performed, or such (c)(1)(iii)(A), (B), or (C) of this section ■ 2. Section 2550.408b–2(c) is revised to compensation received, by the covered under the contract or arrangement with read as follows: service provider, an affiliate, or a the covered plan; or subcontractor. (2) To an investment contract, § 2550.408b–2 General statutory (A) Services as a fiduciary or product, or entity in which the covered exemption for services or office space. registered investment adviser. plan invests, regardless of whether or * * * * * (1) Services provided directly to the not the investment contract, product, or (c) Reasonable contract or covered plan as a fiduciary (unless entity holds assets of the covered plan, arrangement— otherwise specified, a ‘‘fiduciary’’ in other than services as a fiduciary (1) Pension plan disclosure. this paragraph (c)(1) is a fiduciary described in paragraph (c)(1)(iii)(A)(2) (i) General. No contract or within the meaning of section 3(21) of of this section. arrangement for services between a the Act); (iv) Initial disclosure requirements. covered plan and a covered service (2) Services provided as a fiduciary to The covered service provider must provider, nor any extension or renewal, an investment contract, product, or disclose the following information to a is reasonable within the meaning of entity that holds plan assets (as responsible plan fiduciary, in writing— section 408(b)(2) of the Act and determined pursuant to sections 3(42) (A) Services. A description of the paragraph (a)(2) of this section unless and 401 of the Act and 29 CFR 2510.3– services to be provided to the covered

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plan pursuant to the contract or including identification of the services respect to each investment contract, arrangement (but not including non- for which such compensation will be product, or entity that holds plan assets fiduciary services described in paid and identification of the payers and in which the covered plan has a paragraph (c)(1)(iii)(D)(2) of this and recipients of such compensation direct equity investment, and for which section). (including the status of a payer or fiduciary services will be provided (B) Status. If applicable, a statement recipient as an affiliate or a pursuant to the contract or arrangement that the covered service provider, an subcontractor). Compensation must be with the covered plan, unless such affiliate, or a subcontractor will provide, disclosed pursuant to this paragraph information is disclosed to the or reasonably expects to provide, (c)(1)(iv)(C)(3) regardless of whether responsible plan fiduciary by a covered services pursuant to the contract or such compensation also is disclosed service provider providing arrangement directly to the covered plan pursuant to paragraph (c)(1)(iv)(C)(1) or recordkeeping services or brokerage (or to an investment contract, product or (2), (c)(1)(iv)(E), or (c)(1)(iv)(F) of this services as described in paragraph entity that holds plan assets and in section. This paragraph (c)(1)(iv)(C)(3) (c)(1)(iii)(B) of this section— which the covered plan has a direct shall not apply to compensation (1) A description of any compensation equity investment) as a fiduciary received by an employee from his or her that will be charged directly against an (within the meaning of section 3(21) of employer on account of work performed investment, such as commissions, sales the Act); and, if applicable, a statement by the employee. loads, sales charges, deferred sales that the covered service provider, an (4) Compensation for termination of charges, redemption fees, surrender affiliate, or a subcontractor will provide, contract or arrangement. A description charges, exchange fees, account fees, or reasonably expects to provide, of any compensation that the covered and purchase fees; and that is not services pursuant to the contract or service provider, an affiliate, or a included in the annual operating arrangement directly to the covered plan subcontractor reasonably expects to expenses of the investment contract, as an investment adviser registered receive in connection with termination product, or entity; under either the Investment Advisers of the contract or arrangement, and how (2) A description of the annual Act of 1940 or any State law. any prepaid amounts will be calculated operating expenses (e.g., expense ratio) (C) Compensation—(1) Direct and refunded upon such termination. if the return is not fixed and any compensation. A description of all (D) Recordkeeping services. Without ongoing expenses in addition to annual direct compensation (as defined in regard to the disclosure of compensation operating expenses (e.g., wrap fees, paragraph (c)(1)(viii)(B)(1) of this pursuant to paragraph (c)(1)(iv)(C), mortality and expense fees), or, for an section), either in the aggregate or by (c)(1)(iv)(E), or (c)(1)(iv)(F) of this investment contract, product, or entity service, that the covered service section, if recordkeeping services will that is a designated investment provider, an affiliate, or a subcontractor be provided to the covered plan— alternative, the total annual operating reasonably expects to receive in (1) A description of all direct and expenses expressed as a percentage and connection with the services described indirect compensation that the covered calculated in accordance with 29 CFR pursuant to paragraph (c)(1)(iv)(A) of service provider, an affiliate, or a 2550.404a–5(h)(5); and this section. subcontractor reasonably expects to (3) For an investment contract, (2) Indirect compensation. A receive in connection with such product, or entity that is a designated description of all indirect compensation recordkeeping services; and investment alternative, any other (as defined in paragraph (c)(1)(viii)(B)(2) (2) If the covered service provider information or data about the designated of this section) that the covered service reasonably expects recordkeeping investment alternative that is within the provider, an affiliate, or a subcontractor services to be provided, in whole or in control of, or reasonably available to, reasonably expects to receive in part, without explicit compensation for the covered service provider and that is connection with the services described such recordkeeping services, or when required for the covered plan pursuant to paragraph (c)(1)(iv)(A) of compensation for recordkeeping administrator to comply with the this section; including identification of services is offset or rebated based on disclosure obligations described in 29 the services for which the indirect other compensation received by the CFR 2550.404a–5(d)(1). compensation will be received, covered service provider, an affiliate, or (F) Investment disclosure— identification of the payer of the a subcontractor, a reasonable and good recordkeeping and brokerage services. indirect compensation, and a faith estimate of the cost to the covered (1) In the case of a covered service description of the arrangement between plan of such recordkeeping services, provider described in paragraph the payer and the covered service including an explanation of the (c)(1)(iii)(B) of this section, the provider, an affiliate, or a subcontractor, methodology and assumptions used to additional information described in as applicable, pursuant to which such prepare the estimate and a detailed paragraph (c)(1)(iv)(E)(1) through (3) of indirect compensation is paid. explanation of the recordkeeping this section with respect to each (3) Compensation paid among related services that will be provided to the designated investment alternative for parties. A description of any covered plan. The estimate shall take which recordkeeping services or compensation that will be paid among into account, as applicable, the rates brokerage services as described in the covered service provider, an that the covered service provider, an paragraph (c)(1)(iii)(B) of this section affiliate, or a subcontractor, in affiliate, or a subcontractor would will be provided pursuant to the connection with the services described charge to, or be paid by, third parties, contract or arrangement with the pursuant to paragraph (c)(1)(iv)(A) of or the prevailing market rates charged, covered plan. this section if it is set on a transaction for similar recordkeeping services for a (2) A covered service provider may basis (e.g., commissions, soft dollars, similar plan with a similar number of comply with this paragraph (c)(1)(iv)(F) finder’s fees or other similar incentive covered participants and beneficiaries. by providing current disclosure compensation based on business placed (E) Investment disclosure—fiduciary materials of the issuer of the designated or retained) or is charged directly services. In the case of a covered service investment alternative, or information against the covered plan’s investment provider described in paragraph replicated from such materials, that and reflected in the net value of the (c)(1)(iii)(A)(2) of this section, the include the information described in investment (e.g., Rule 12b–1 fees); following additional information with such paragraph, provided that:

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(i) The issuer is not an affiliate; covered service provider’s control, in trips), but does not include non- (ii) The issuer is a registered which case the information must be monetary compensation valued at $250 investment company, an insurance disclosed as soon as practicable. or less, in the aggregate, during the term company qualified to do business in any (2) A covered service provider must, of the contract or arrangement. State, an issuer of a publicly traded at least annually, disclose any changes (1) ‘‘Direct’’ compensation is security, or a financial institution to the information required by compensation received directly from the supervised by a State or federal agency; paragraph (c)(1)(iv)(E) and (F) of this covered plan. and section. (2) ‘‘Indirect’’ compensation is (iii) The covered service provider acts (vi) Reporting and disclosure compensation received from any source in good faith and does not know that the information; timing. other than the covered plan, the plan materials are incomplete or inaccurate, (A) Upon the written request of the sponsor, the covered service provider, and furnishes the responsible plan responsible plan fiduciary or covered or an affiliate. Compensation received fiduciary with a statement that the plan administrator, the covered service from a subcontractor is indirect covered service provider is making no provider must furnish any other compensation, unless it is received in representations as to the completeness information relating to the connection with services performed or accuracy of such materials. compensation received in connection under the subcontractor’s contract or (G) Manner of receipt. A description with the contract or arrangement that is arrangement described in paragraph of the manner in which the required for the covered plan to comply (c)(1)(viii)(F) of this section. compensation described in paragraph with the reporting and disclosure (3) A description of compensation or (c)(1)(iv)(C) through (F) of this section, requirements of Title I of the Act and cost may be expressed as a monetary as applicable, will be received, such as the regulations, forms and schedules amount, formula, percentage of the whether the covered plan will be billed issued thereunder. covered plan’s assets, or a per capita or the compensation will be deducted (B) The covered service provider must charge for each participant or directly from the covered plan’s disclose the information required by beneficiary or, if the compensation or account(s) or investments. paragraph (c)(1)(vi)(A) of this section cost cannot reasonably be expressed in (H) Guide to initial disclosures. reasonably in advance of the date upon such terms, by any other reasonable [Reserved] which such responsible plan fiduciary method. The description may include a (v) Timing of initial disclosure or covered plan administrator states that reasonable and good faith estimate if the requirements; changes. it must comply with the applicable covered service provider cannot (A) A covered service provider must reporting or disclosure requirement, otherwise readily describe disclose the information required by unless such disclosure is precluded due compensation or cost and the covered paragraph (c)(1)(iv) of this section to the to extraordinary circumstances beyond service provider explains the responsible plan fiduciary reasonably in the covered service provider’s control, methodology and assumptions used to advance of the date the contract or in which case the information must be prepare such estimate. Any description, arrangement is entered into, and disclosed as soon as practicable. including any estimate of recordkeeping extended or renewed, except that— (vii) Disclosure errors. No contract or cost under paragraph (c)(1)(iv)(D), must (1) When an investment contract, arrangement will fail to be reasonable contain sufficient information to permit product, or entity is determined not to under this paragraph (c)(1) solely evaluation of the reasonableness of the hold plan assets upon the covered because the covered service provider, compensation or cost. plan’s direct equity investment, but acting in good faith and with reasonable (C) Designated investment alternative. subsequently is determined to hold plan diligence, makes an error or omission in A ‘‘designated investment alternative’’ assets while the covered plan’s disclosing the information required is any investment alternative designated investment continues, the information pursuant to paragraph (c)(1)(iv) of this by the covered plan into which required by paragraph (c)(1)(iv) of this section (or a change to such information participants and beneficiaries may section must be disclosed as soon as disclosed pursuant to paragraph direct the investment of assets held in, practicable, but not later than 30 days (c)(1)(v)(B) of this section) or paragraph or contributed to, their individual from the date on which the covered (c)(1)(vi) of this section, provided that accounts. The term ‘‘designated service provider knows that such the covered service provider discloses investment alternative’’ shall not investment contract, product, or entity the correct information to the include brokerage windows, self- holds plan assets; and responsible plan fiduciary as soon as directed brokerage accounts, or similar (2) The information described in practicable, but not later than 30 days plan arrangements that enable paragraph (c)(1)(iv)(F) of this section from the date on which the covered participants and beneficiaries to select relating to any investment alternative service provider knows of such error or investments beyond those designated by that is not designated at the time the omission. the covered plan. contract or arrangement is entered into (viii) Definitions. For purposes of (D) Recordkeeping services. must be disclosed as soon as paragraph (c)(1) of this section: ‘‘Recordkeeping services’’ include practicable, but not later than the date (A) Affiliate. A person’s or entity’s services related to plan administration the investment alternative is designated ‘‘affiliate’’ directly or indirectly (through and monitoring of plan and participant by the covered plan. one or more intermediaries) controls, is and beneficiary transactions (e.g., (B) (1) A covered service provider controlled by, or is under common enrollment, payroll deductions and must disclose a change to the control with such person or entity; or is contributions, offering designated information required by paragraph an officer, director, or employee of, or investment alternatives and other (c)(1)(iv)(A) through (D), and (G) of this partner in, such person or entity. Unless covered plan investments, loans, section as soon as practicable, but not otherwise specified, an ‘‘affiliate’’ in withdrawals and distributions); and the later than 60 days from the date on this paragraph (c)(1) refers to an affiliate maintenance of covered plan and which the covered service provider is of the covered service provider. participant and beneficiary accounts, informed of such change, unless such (B) Compensation. Compensation is records, and statements. disclosure is precluded due to anything of monetary value (for (E) Responsible plan fiduciary. A extraordinary circumstances beyond the example, money, gifts, awards, and ‘‘responsible plan fiduciary’’ is a

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fiduciary with authority to cause the (9) A statement as to whether the without regard to whether the contract covered plan to enter into, or extend or covered service provider continues to or arrangement was entered into prior to renew, the contract or arrangement. provide services to the plan; such date; for contracts or arrangements (F) Subcontractor. A ‘‘subcontractor’’ (E) The notice shall be filed with the entered into prior to the effective date, is any person or entity (or an affiliate of Department not later than 30 days the information required to be disclosed such person or entity) that is not an following the earlier of— pursuant to paragraph (c)(1)(iv) of this affiliate of the covered service provider (1) The covered service provider’s section must be furnished no later than and that, pursuant to a contract or refusal to furnish the information the effective date. arrangement with the covered service requested by the written request (2) Welfare plan disclosure. provider or an affiliate, reasonably described in paragraph (c)(1)(ix)(B) of [Reserved] expects to receive $1,000 or more in this section; or (3) Termination of contract or compensation for performing one or (2) 90 days after the written request arrangement. No contract or more services described pursuant to referred to in paragraph (c)(1)(ix)(B) of arrangement is reasonable within the paragraph (c)(1)(iii)(A) through (C) of this section is made; meaning of section 408(b)(2) of the Act this section provided for by the contract (F) The notice required by paragraph and paragraph (a)(2) of this section if it or arrangement with the covered plan. (c)(1)(ix)(C) of this section shall be sent does not permit termination by the plan (ix) Exemption for responsible plan to the following address: U.S. without penalty to the plan on fiduciary. Pursuant to section 408(a) of Department of Labor, Employee Benefits reasonably short notice under the the Act, the restrictions of section Security Administration, Office of circumstances to prevent the plan from 406(a)(1)(C) and (D) of the Act shall not Enforcement, 200 Constitution Ave. becoming locked into an arrangement apply to a responsible plan fiduciary, NW., Suite 600, Washington, DC 20210; that has become disadvantageous. A notwithstanding any failure by a or may be sent electronically to OE- long-term lease which may be covered service provider to disclose [email protected]; and terminated prior to its expiration information required by paragraph (G) If the covered service provider (without penalty to the plan) on (c)(1)(iv) or (vi) of this section, if the fails to comply with the written request reasonably short notice under the following conditions are met: referred to in paragraph (c)(1)(ix)(C) of circumstances is not generally an (A) The responsible plan fiduciary did this section within 90 days of such unreasonable arrangement merely not know that the covered service request, the responsible plan fiduciary because of its long term. A provision in provider failed or would fail to make shall determine whether to terminate or a contract or other arrangement which required disclosures and reasonably continue the contract or arrangement reasonably compensates the service believed that the covered service consistent with its duty of prudence provider or lessor for loss upon early provider disclosed the information under section 404 of the Act. If the termination of the contract, required by paragraph (c)(1)(iv) or (vi) of requested information relates to future arrangement, or lease is not a penalty. this section; services and is not disclosed promptly For example, a minimal fee in a service (B) The responsible plan fiduciary, after the end of the 90-day period, then contract which is charged to allow upon discovering that the covered the responsible plan fiduciary shall recoupment of reasonable start-up costs service provider failed to disclose the terminate the contract or arrangement as is not a penalty. Similarly, a provision required information, requests in expeditiously as possible, consistent in a lease for a termination fee that writing that the covered service with such duty of prudence. covers reasonably foreseeable expenses (x) Preemption of State law. Nothing provider furnish such information; related to the vacancy and reletting of in this section shall be construed to (C) If the covered service provider the office space upon early termination supersede any provision of State law fails to comply with such written of the lease is not a penalty. Such a that governs disclosures by parties that request within 90 days of the request, provision does not reasonably provide the services described in this then the responsible plan fiduciary compensate for loss if it provides for section, except to the extent that such notifies the Department of Labor of the payment in excess of actual loss or if it law prevents the application of a covered service provider’s failure, in fails to require mitigation of damages. requirement of this section. accordance with paragraph (c)(1)(ix)(E) * * * * * of this section; (xi) Internal Revenue Code. Section (D) The notice shall contain the 4975(d)(2) of the Code contains Signed at Washington, DC, this 25th day of following information— provisions parallel to section 408(b)(2) January 2012. (1) The name of the covered plan; of the Act. Effective December 31, 1978, Phyllis C. Borzi, (2) The plan number used for the section 102 of the Reorganization Plan Assistant Secretary, Employee Benefits covered plan’s Annual Report; No. 4 of 1978, 5 U.S.C. App. 214 (2000 Security Administration, Department of (3) The plan sponsor’s name, address, ed.), transferred the authority of the Labor. and EIN; Secretary of the Treasury to promulgate Note: The following appendix will not (4) The name, address, and telephone regulations of the type published herein appear in the Code of Federal Regulations. number of the responsible plan to the Secretary of Labor. All references fiduciary; herein to section 408(b)(2) of the Act Appendix—Sample Guide to Initial (5) The name, address, phone number, and the regulations thereunder should Disclosures and, if known, EIN of the covered be read to include reference to the ABC Service Provider, Inc. (ABC) service provider; parallel provisions of section 4975(d)(2) (6) A description of the services of the Code and regulations thereunder Guide to Services and Compensation provided to the covered plan; at 26 CFR 54.4975–6. Prepared for the XYZ 401(k) Plan (7) A description of the information (xii) Effective date. Paragraph (c) of this section shall be effective on July 1, The following is a guide to important that the covered service provider failed information that you should consider in to disclose; 2012. Paragraph (c)(1) of this section connection with the services to be provided (8) The date on which such shall apply to contracts or arrangements by ABC to the XYZ 401(k) Plan. information was requested in writing between covered plans and covered Should you have any questions concerning from the covered service provider; and service providers as of the effective date, this guide or the information provided to you

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concerning our services or compensation, of person and/or office] at [enter phone please do not hesitate to contact [enter name number and/or email address]. BILLING CODE 4510–29–P

[FR Doc. 2012–2262 Filed 2–2–12; 8:45 am] BILLING CODE 4510–29–C

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Part III

Department of Housing and Urban Development

24 CFR Parts 5, 200, 203, et al. Equal Access to Housing in HUD Programs Regardless of Sexual Orientation or Gender Identity; Final Rule

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DEPARTMENT OF HOUSING AND all.1 In the January 24, 2011, proposed sexual orientation or gender identity, in URBAN DEVELOPMENT rule, HUD noted that many state and the January 2011 rule, HUD proposed to local governments share the concern prohibit inquiries regarding sexual 24 CFR Parts 5, 200, 203, 236, 400, 570, over equal housing opportunity for orientation or gender identity. As 574, 882, 891, and 982 LGBT individuals and families. Twenty proposed, the prohibition precludes [Docket No. FR 5359–F–02] states, the District of Columbia, and over owners and operators of HUD-assisted 200 localities have enacted laws housing or housing whose financing is RIN 2501–AD49 prohibiting discrimination in housing insured by HUD from inquiring about on the basis of sexual orientation or the sexual orientation or gender identity Equal Access to Housing in HUD 2 gender identity. of an applicant for, or occupant of, the Programs Regardless of Sexual As the Nation’s housing agency, it is dwelling, whether renter- or owner- Orientation or Gender Identity important not only that HUD ensure that occupied. In the January 2011 rule, HUD its own programs do not involve AGENCY: Office of the Secretary, HUD. proposed to institute this policy in its ACTION: Final rule. arbitrary discrimination against any individual or family otherwise eligible rental assistance and homeownership programs, which include HUD’s Federal SUMMARY: Through this final rule, HUD for HUD-assisted or -insured housing, implements policy to ensure that its but that its policies and programs serve Housing Administration (FHA) core programs are open to all eligible as models for equal housing mortgage insurance programs, individuals and families regardless of opportunity. In July 2010, HUD issued community development programs, and 3 sexual orientation, gender identity, or guidance to assist LGBT individuals and public and assisted housing programs. marital status. This rule follows a families facing housing discrimination. While the January 2011 rule proposed to January 24, 2011, proposed rule, which (See http://portal.hud.gov/hudportal/ prohibit inquiries regarding sexual noted evidence suggesting that lesbian, HUD?src=/program_offices/ orientation or gender identity, nothing gay, bisexual, and transgender (LGBT) fair_housing_equal_opp/ in the rule proposed to prohibit any individuals and families are being LGBT_Housing_Discrimination.) In individual from voluntarily self- arbitrarily excluded from housing addition to the guidance, HUD initiated identifying his or her own sexual opportunities in the private sector. Such this rulemaking in January 2011 in an orientation or gender identity. information was of special concern to effort to ensure that HUD’s rental Additionally, the January 2011 rule did HUD, which, as the Nation’s housing housing and homeownership programs not propose to prohibit otherwise lawful agency, has the unique charge to remain open to all eligible persons inquiries of an applicant or occupant’s promote the federal goal of providing regardless of sexual orientation, gender sex where the housing involves the decent housing and a suitable living identity, or marital status. sharing of sleeping areas or bathrooms. environment for all. It is important not HUD’s January 24, 2011, rule This prohibition of inquiries regarding only that HUD ensure that its own proposed to amend 24 CFR 5.100 to sexual orientation or gender identity programs do not involve discrimination include definitions of ‘‘sexual was proposed to be provided in a new against any individual or family orientation’’ and ‘‘gender identity’’ paragraph (a)(2) to 24 CFR 5.105. otherwise eligible for HUD-assisted or among the definitions generally Additionally, the January 24, 2011, -insured housing, but that its policies applicable to HUD programs. Under the proposed rule clarified in the and programs serve as models for equal proposed rule, 24 CFR 5.100 would housing opportunity. define ‘‘sexual orientation’’ as regulations governing HUD’s housing programs that all otherwise eligible DATES: Effective Date: March 5, 2012. ‘‘homosexuality, heterosexuality, or bisexuality,’’ a definition that the Office families, regardless of sexual FOR FURTHER INFORMATION CONTACT: orientation, gender identity, or marital Kenneth J. Carroll, Director, Fair of Personnel Management (OPM) uses in the context of the federal workforce in status have the opportunity to Housing Assistance Program Division, participate in HUD programs. As noted Office of Fair Housing and Equal its publication ‘‘Addressing Sexual in the January 2011 proposed rule, the Opportunity, Department of Housing Orientation in Federal Civilian majority of HUD’s rental housing and and Urban Development, 451 7th Street Employment: A Guide to Employee homeownership programs already SW., Room 5206, Washington, DC Rights.’’ (See www.opm.gov/er/ interpret the term ‘‘family’’ broadly. The 20410–8000; telephone number (202) address.pdf at page 4.) The January 24, 708–2333 (this is not a toll-free 2011, rule proposed to define ‘‘gender proposed rule clarified that families, number). Persons with hearing or identity’’ as ‘‘actual or perceived who are otherwise eligible for HUD speech impairments may access this gender-related characteristics,’’ programs, may not be excluded because number through TTY by calling the toll- consistent with the definition of one or more members of the family may free Federal Relay Service at (800) 877– ‘‘gender identity’’ in the Matthew be LGBT or perceived to be LGBT. 8339. Shepard and James Byrd, Jr. Hate Finally, the rule proposed to revise 24 Crimes Prevention Act, Public Law 111– SUPPLEMENTARY INFORMATION: CFR 203.33(b), by adding sexual 84, Division E, Section 4707(c)(4) (18 orientation and gender identity to the I. Background—the January 24, 2011, U.S.C. 249(c)(4)). characteristics that an FHA lender may Proposed Rule To promote equal access to HUD’s housing programs without regard to not take into consideration in HUD published a proposed rule on determining the adequacy of a January 24, 2011 (76 FR 4194), which 1 This goal is rooted in section 2 of the Housing mortgagor’s income. Marital status is advised of evidence suggesting that Act of 1949, 42 U.S.C. 1441. already a prohibited consideration LGBT individuals and families do not 2 See, e.g., Laws Prohibiting Discrimination Based under the current version of 24 CFR have equal access to housing. Such on Sexual Orientation and Gender Identity, Institute 203.33(b). information concerned HUD because of Real Estate Management (IREM) Legislative Staff, July 2007, which is available at www.irem.org/pdfs/ HUD is charged with promoting the publicpolicy/Anti-discrimination.pdf; see also 3 Institution of this policy in HUD’s Native federal goal of providing decent housing http://www.hrc.org/files/assets/resources/ American programs will be undertaken by separate and a suitable living environment for Housing_Laws_and_Policies.pdf. rulemaking.

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II. Changes Made at the Final Rule ‘‘family’’ in 24 CFR 5.403, as revised by minority of the commenters opposed the Stage this rule. rule. There is one issue of significant Commenters supporting the rule In response to public comment and comment for which HUD is not making stated that it was long overdue and upon further consideration by HUD of a change at the final rule stage. This noted that HUD, as the Nation’s housing the issues presented in this rulemaking, pertains to development and agency, should lead the efforts to HUD makes the following changes at implementation of a national system prevent discrimination against LGBT this final rule stage: that reports the sexual orientation and persons in housing. The commenters • New § 5.105(a)(2) is revised to make gender identity of beneficiaries of HUD supportive of the rule all pointed to the explicit that eligibility determinations housing programs, to allow HUD to importance of equal housing for HUD-assisted or -insured housing better understand the extent to which opportunity for LGBT persons. must be made without regard to actual HUD programs are serving LGBT Commenters opposing the rule stated or perceived sexual orientation, gender persons. HUD is not making the that of the many important topics that identity, or marital status. Also, new requested change to the rule because should be addressed in the housing § 5.105(a)(2) is revised by dividing this HUD needs more time to consider the area, this is not one of them. One paragraph into two sections. Section feasibility of such a system and the commenter viewed the rule as excessive 5.105(a)(2)(i) will affirmatively state that issues it raises; foremost among them government regulation. Other housing assisted or insured by HUD being maintaining the privacy rights of commenters opined that the rule will must be made available without regard the individual who would be the subject cause owners of multifamily housing to to actual or perceived sexual of such reporting. However, in response decline to participate in the Housing orientation, gender identity, or marital to comments highlighting the beneficial Choice Voucher program. A minority of status. New § 5.105(a)(2)(ii) includes the uses of data on LGBT individuals commenters opposing the rule prohibition of inquiries regarding sexual seeking assistance under HUD expressed concern that HUD’s proposal orientation or gender identity for the programs, and in deference to other will create an unsuitable housing purpose of determining eligibility or government agencies that do collect environment. otherwise making housing available and such data, HUD is clarifying that the In proceeding with this final rule, further allows inquiries related to an prohibition on inquiries is not intended HUD expresses its disagreement with applicant or occupant’s sex for the to prohibit mechanisms that allow for the commenters opposing the rule. HUD limited purpose of determining voluntary and anonymous reporting of believes that the concerns they have placement in temporary, emergency sexual orientation or gender identity voiced will not be realized in practice. shelters with shared bedrooms or solely for compliance with data bathrooms, or for determining the B. Significant Public Comments and collection requirements of state or local HUD’s Responses number of bedrooms to which a governments or other federal assistance household may be entitled. programs. This section presents significant • The term ‘‘family’’ in § 5.403 is With respect to permissible inquiries issues raised by commenters and HUD’s slightly reorganized in the opening as to sex where the accommodations responses to these comments. clause to read as follows: ‘‘Family provided to an individual involve Terminology Changes includes but is not limited to the shared sleeping or bathing areas, HUD following, regardless of actual or clarifies that the lawful inquiries as to Several commenters recommended perceived sexual orientation, gender sex would be permitted primarily for some changes to the terms proposed to identity, or marital status * * *.’’ This emergency shelters and like facilities. be included in 24 CFR part 5, including reorganization makes explicit that This temporary housing, unlike other for ‘‘family,’’ ‘‘gender identity,’’ and perceived, as well as actual, sexual HUD subsidized housing and unlike ‘‘sexual orientation.’’ Commenters also orientation, gender identity, and marital housing insured by the FHA, involves proposed adding definitions of ‘‘child,’’ status cannot be factors for determining no application process to obtain ‘‘marital status,’’ and ‘‘sex.’’ eligibility for HUD-assisted housing or housing, but rather involves immediate Family. For the convenience of the FHA-insured housing. provision of temporary, short-term reader and the discussion to follow, the term ‘‘family’’ proposed to be included • The term ‘‘family’’ in 24 CFR 574.3 shelter for homeless individuals. in 24 CFR 5.403 is restated below: of the program regulations for the III. Public Comments Submitted on Family includes, but is not limited to, Housing Opportunities for Persons With Proposed Rule and HUD’s Responses regardless of marital status, actual or AIDS (HOPWA) program is slightly A. Overview of Public Comments perceived sexual orientation, or gender revised to reinsert a clause in the identity, the following: definition of ‘‘family’’ in the codified The public comment period for the (1) A single person, who may be an HOPWA regulations that was proposed rule closed on March 25, elderly person, displaced person, inadvertently omitted at the proposed 2011. At the close of the public disabled person, near-elderly person, or rule stage. As stated below in the comment period, approximately 376 any other single person; or discussion of public comments, the public comments were received from a (2) A group of persons residing insertion of this clause serves to variety of commenters, including together, and such group includes, but combine the original meaning of individuals, advocacy groups, legal aid is not limited to: ‘‘family’’ as provided in the HOPWA offices, tenant and fair housing (a) A family with or without children regulations with the meaning given the organizations, realtors and their (a child who is temporarily away from term ‘‘family’’ in 24 CFR 5.403, as representatives, law school clinics, the home because of placement in foster revised by this rule. public housing authorities, local care is considered a member of the • The regulations for HUD’s Section government officials, and members of family); 202 Supportive Housing for the Elderly Congress. The overwhelming majority of (b) An elderly family; and Section 811 Supportive Housing for comments were supportive of the rule. (c) A near-elderly family; Persons with Disabilities programs are Some commenters, while supporting the (d) A disabled family; revised to provide a cross-reference to rule, suggested modifications, and a (e) A displaced family; and

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(f) The remaining member of a tenant stated that HOPWA regulations are Comment: A commenter asked family. intended to ensure that AIDS patients whether a family can be one individual. Comment: One commenter proposed can structure their living situations Response: Yes, in accordance with expanding the definition of ‘‘family’’ to broadly, according to their health needs. section 3(b)(3)(A) of the U.S. Housing include any person or persons, Response: At this final rule stage, Act of 1937, HUD’s longstanding regardless of their sex or relationship to HUD makes a slight change to the definition of ‘‘family’’ has always one another, with the only restriction definition of the term ‘‘family’’ in 24 included a single person. being to allow at least one, but no more CFR 574.3, the definition section of the Comment: A commenter stated that than two, persons per bedroom. HOPWA program regulations, to reinsert the term ‘‘family’’ as provided in 24 CFR Response: HUD believes the term in the definition of ‘‘family’’ the clause 5.403 of the proposed rule fails to give ‘‘family,’’ as presented in 24 CFR 5.403, ‘‘who are determined to be important to a ‘‘definite meaning to family’’ and addresses the concern of the their care or well-being.’’ This clause leaves the door open for program abuse commenter. With respect to bedroom was inadvertently omitted in the by allowing any group that wants to live size, the existing occupancy proposed rule. Through insertion of this together to call itself a family. Another requirements of HUD’s public and clause, the final rule combines the commenter stated that the proposed assisted housing programs already definition of family in the proposed 24 regulation, with its expansion of the address the number of persons who may CFR 5.403 with the other elements of term ‘‘family,’’ could potentially allow occupy one bedroom. the original term ‘‘family’’ in 24 CFR any combination of persons to qualify as Comment: Other commenters 574.3. a family without the requirement of a suggested that it is important that the Comment: Commenters stated that the legally recognized relationship. Another term ‘‘family’’ in HUD’s rule prevent definition for disabled households may commenter stated that the term ‘‘family’’ from exclusion family members who be read to exclude same-sex couples. as proposed in the January 2011 rule may identify as LGBT individuals or They suggested that HUD amend the will make it impossible for the PHA to who have LGBT relationships, or who determine the family composition, the definition of disabled households to add may be perceived as such. family income, or who is on the lease, an additional cross-reference to the term Response: HUD submits that the term as families could change on a weekly ‘‘family’’ in 24 CFR 5.403 to capture ‘‘family,’’ as provided in 24 CFR 5.403, basis. The commenter submitted that ‘‘regardless of marital status, sexual and as proposed to be slightly revised the proposed change will take away the orientation, or gender identity.’’ by this final rule, prevents such security and stability of the family, as arbitrary exclusion. Response: HUD’s regulations for the well as the PHA’s power to determine Comment: Commenters suggested that Section 202 Supportive Housing for the if a tenant is suitable or whether the the rule include in 24 CFR 982.201(c), Elderly and Section 811 Supportive tenant’s behavior would have an a Public and Indian Housing program Housing for Persons with Disabilities adverse effect on other residents. regulation permitting public housing programs, codified in 24 CFR part 891, Response: As discussed in this agencies (PHAs) to determine who include broad definitions of ‘‘elderly rulemaking, in both the proposed and qualifies as a family, an explicit family’’ and ‘‘disabled household.’’ final rules, ‘‘family’’ in HUD programs statement that PHAs do not have Nevertheless, similar to the approach had broad meaning long before these discretion to define family groupings in that HUD took with the HOPWA regulatory amendments. By way of this a way that excludes LGBT persons, and definition of the term ‘‘family,’’ HUD is rule, HUD is merely affirming that an that a PHA’s discretion cannot conflict adding to the regulations in 24 CFR part eligible family may not be excluded with 24 CFR 5.403. To accomplish this, 891 a cross-reference to the term because of actual or perceived sexual a commenter recommended adding to ‘‘family’’ in 24 CFR 5.403. The cross- orientation, gender identity, or marital 24 CFR 982.201(c) the phrase reference to ‘‘family’’ in 24 CFR 5.403 status. This rule’s clarification of the ‘‘regardless of marital status, sexual will supplement the meanings already term ‘‘family’’ has no impact on other orientation, or gender identity.’’ provided to ‘‘family’’ in 24 CFR part program eligibility requirements, such Response: HUD maintains that 891. as income qualification, annual amendment of 24 CFR 982.201(c) is not Comment: Commenters suggested that certification, or the requirement that all required. The rule already proposes an the term ‘‘family’’ could be made more family members are named on the amendment to 24 CFR 982.4 requiring inclusive by moving the phrase ‘‘actual household lease. The rule in no way that PHA determinations regarding or perceived’’ to explicitly include precludes a PHA from consistently family be consistent with 24 CFR 5.403. marital status, and clarifying who applying its otherwise lawful policies to PHAs submit administrative plans to qualifies as a ‘‘child,’’ as many LGBT a family consisting of LGBT members, HUD. These administrative plans must parents lack the ability to create legal just as it would a family with no LGBT include family definitions that are at relationships with their children. members. least as inclusive as HUD’s definition. Response: In response to the Gender Identity. For the convenience This requirement has generally proven commenters’ concern and as noted in of the reader and the discussion to an effective means of ensuring Section II of this preamble, the final rule follow, the term ‘‘gender identity’’ in compliance with HUD eligibility restates the term ‘‘family’’ to provide in proposed 24 CFR 5.403 is restated requirements for beneficiaries of its relevant part, as follows: ‘‘Family below: public housing programs. If this includes but is not limited to the Gender identity means actual or approach is not effective following following, regardless of actual or perceived gender-related characteristics. implementation of this rule, HUD will perceived sexual orientation, gender Comment: One commenter stated that revisit the issue. identity, or marital status * * *.’’ the term ‘‘gender-related Comment: A commenter requested However, with respect to the second characteristics’’ is ambiguous and that that HUD ensure that the term ‘‘family’’ request, who qualifies as a child has not this ambiguity could result in as presented in 24 CFR 5.403 not have arisen as an issue in determining discriminatory application of the rule. an adverse impact on Housing eligibility for housing. Accordingly, The commenter called for a more Opportunities for Persons With AIDS HUD will not add a definition of precise definition for ‘‘gender identity,’’ (HOPWA) recipients. The commenter ‘‘child’’ to the final rule. but did not offer suggested language.

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Another commenter was concerned that individuals from targeted violence. considered in light of transgender it would be very difficult to predict how Passage of the law resulted from the individuals. One of the commenters the term ‘‘gender identity,’’ as defined ongoing efforts of individuals personally stated that the term sexual orientation in the statute, would actually be impacted by hate crime violence, should specifically include transgender applied. Another commenter expressed together with nearly 300 civil rights and individuals, due to uncertainty about similar concern that the rule does not religious organizations, education whether general ‘‘sexual orientation’’ address how ‘‘actual or perceived groups, and civic associations language would protect such gender-related characteristics’’ would be committed to gaining legal protections individuals and in light of the historical interpreted in a given case, and for members of the LGBT community. In treatment of such individuals. recommended incorporation of an addition, the bill received support from Another commenter stated that the express reasonableness standard. The many major law enforcement rule should broaden protections for commenter stated that a reasonableness organizations, including the ‘‘sexual orientation’’ to include persons standard ‘‘will require claimants to meet International Association of Chiefs of who self-identify as heterosexuals but a strenuous standard for relief, without Police, the National District Attorneys who have histories of same-sex placing them in the dubious position of Association, the National Sheriffs relationships. Such histories could be having to produce proof that is most Association, the Police Executive an issue in small communities, in readily available to potential Research Forum, and 31 state Attorneys particular. The commenter states that defendants.’’ General. Congress considered the issue protection for persons who identify as A commenter suggested replacing the over multiple sessions through public bisexuals would not be sufficient to term ‘‘gender identity’’ with the more hearings, reports, and floor debates. The cover this situation. comprehensive ‘‘gender identity or purpose of HUD’s rule, as with the Hate Response: As with commenters’ expression.’’ Another commenter also Crimes Prevention Act, is to provide suggested revisions to the definition of stated that the definition of ‘‘gender greater protection for LGBT persons. ‘‘gender identity,’’ HUD appreciates the identity’’ should include gender-related Accordingly, HUD believes it suggested revisions to the definition of expression, to better protect transgender appropriate to use the same definition of ‘‘sexual orientation’’ offered by individuals from discrimination. ‘‘gender identity’’ as applies in the Hate commenters, but for the same reasons as Another commenter stated that Crimes Prevention Act. HUD seeks to provided in the preceding response, ‘‘without more, ‘actual or perceived experience how this term works in its HUD declines to make changes at this gender-related characteristics’ could be programs before determining what, if final rule stage. The definition of interpreted to be limited to those any, changes are needed for its effective ‘‘sexual orientation,’’ which HUD characteristics traditionally associated application in the housing context. provided in the proposed rule, is based with the individual’s sex at birth.’’ The Commenters should note, however, that in federal policy—the Office of commenter further stated, ‘‘To pre-empt since the definition is intended to cover Personnel Management (OPM) any suggestion that HUD condones this actual or perceived gender-related ‘‘Addressing Sexual Orientation in view,’’ HUD should amend the language characteristics of all persons, including to read: ‘‘Gender identity means actual Federal Civilian Employment: A Guide transgender persons, HUD will interpret to Employee Rights.’’ (See http:// or perceived gender related it to include those gender-related characteristics, whether or not those www.opm.gov/er/address.pdf at page 4.) characteristics not stereotypically The purpose of the OPM publication is characteristics are stereotypically associated with a person’s designated to implement the Federal Government’s associated with the person’s designated sex at birth. commitment to equal employment sex at birth.’’ This commenter stated Sexual Orientation. For the that the definition mirrors language convenience of the reader and the opportunity for LGBT individuals in the currently adopted by a number of states discussion to follow, the term ‘‘sexual federal civil service. The OPM and municipalities. Another commenter orientation’’ in proposed 24 CFR 5.403 publication serves a goal analogous to endorsed the definition suggested by the is restated below: the one served by HUD’s proposed rule, preceding commenter. Sexual orientation means and, as with the definition of ‘‘gender Response: HUD appreciates the homosexuality, heterosexuality, or identity,’’ HUD seeks to experience how suggested revisions to the definition of bisexuality. this term will work in practice before ‘‘gender identity’’ offered by the Comment: A commenter claimed that making changes to a definition currently commenters, and will consider these defining sexual orientation as established in federal policy. suggested revisions further. However, ‘‘homosexuality, heterosexuality, or HUD notes that its rule covers actual HUD declines to make changes to this bisexuality’’ alone excludes many or perceived sexual orientation, as well term at this final rule stage. The number people. Another commenter stated that as gender identity. As such, the rule of suggested revisions to the definition HUD should ‘‘broaden the definition of covers most of the situations presented highlights the differing views among the ‘‘sexual orientation’’ to ‘‘homosexuality, by the commenters, such as identifying commenters regarding the meaning of heterosexuality, bisexuality, or sexuality as transgender; being perceived as this term. Given this, HUD believes that as defined by the individual’’ [emphasis transgender, multi-gendered, or between any changes to the definition should be added by commenter]. genders; or having a history of same-sex the subject of further public comment Other commenters stated that HUD relationships. No one definition in the before HUD submits the term as the could add the word ‘‘including’’ prior to rule need cover every situation. established definition under which the list in the proposed definition of Marital Status. HUD programs will operate. The ‘‘sexual orientation’’ to clarify that the Comment: One commenter definition of ‘‘gender identity’’ that is list is not exhaustive. The commenters recommended adding a definition of being established by this rule is based stated that, as written, the definition ‘‘marital status’’ that would define this on the definition of ‘‘gender identity’’ in ‘‘excludes transgender individuals who term as ‘‘the state of being unmarried, the Matthew Shepard and James Byrd, self-identify as multi-gendered or married, or separated, as defined by Jr. Hate Crimes Prevention Act, 18 between genders.’’ Still other applicable state law. The term U.S.C. 249(c)(4). This federal statute was commenters stated that the fluidity of ‘unmarried’ includes persons who are enacted in 2009 to protect LGBT the term sexual orientation must be single, divorced, or widowed.’’

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Response: The term ‘‘marital status’’ determining an individual’s adequacy additional program requirements do not, is not currently defined in HUD for a mortgage and would (2) provide however, create additional protected regulations and HUD does not find that greater protection to LGBT individuals classes in existing civil rights laws such the focus of this rule calls for a from housing discrimination.’’ as the federal Fair Housing Act. The Fair definition of ‘‘marital status.’’ Other commenters agreed, stating that Housing Act prohibits discrimination Sex. the rule could provide stronger based on race, color, national origin, Comment: One commenter stated that protection by completely prohibiting religion, sex, disability, and familial to foreclose the possibility of using the ‘‘discrimination based on sexual status. Sexual orientation and gender allowed inquiry into sex in 24 CFR orientation or gender identity toward identity are not identified as protected 5.105(a)(2) against transgender occupants of or applicants for HUD- classes in the Fair Housing Act. As individuals, the rule should either: (a) assisted housing (or housing with discussed in the following section, Define ‘‘sex’’ broadly as ‘‘the state of financing insured by HUD),’’ rather than however, the Fair Housing Act’s being or becoming male or female or by prohibiting certain inquiries. The prohibition of discrimination on the transsexual;’’ or (b) substitute the more commenters stated that there are ways basis of sex prohibits discrimination inclusive term ‘‘gender’’ for ‘‘sex,’’ and other than direct inquiry that LGBT against LGBT persons in certain define ‘‘gender’’ as ‘‘sex, including a individuals could be identified or circumstances, such as those involving person’s gender identity and gender- discriminated against. nonconformity with gender stereotypes. related appearance and behavior Still other commenters expressed whether or not stereotypically concern that people who are gender- Interpret Sex Discrimination Under the associated with the person’s assigned nonconforming may be perceived as gay Fair Housing Act To Reach sex at birth.’’ or lesbian without any inquiry into their Discrimination and Harassment of LGBT Response: HUD declines to define sexual orientation and that most Persons ‘‘sex’’ or to substitute ‘‘gender identity’’ discrimination against LGBT persons A commenter stated that proposed 24 for ‘‘sex’’ in HUD programs. HUD occurs not because a person answered CFR 5.403, prohibiting inquiries of recognizes the difficulty that an inquiry about sexual orientation or ‘‘actual or perceived sexual transgender persons have faced in gender identity, but because of orientation,’’ could be revised to finding adequate emergency shelter. assumptions about a person’s gender prohibit inquiries of ‘‘actual or HUD does not, however, believe that it identity or sexual orientation. Those perceived sex.’’ The commenter stated is necessary to define ‘‘sex’’ as the commenters proposed adding language that sex is already a protected class commenter suggests. The rule makes that clearly prevents discrimination on under the Civil Rights Act of 1964 and clear that housing must be available the basis of real or perceived sexual could be used to reach discrimination without regard to actual or perceived orientation or gender identity. against LGBT persons. gender identity and prohibits inquiries One commenter suggested that Response: HUD declines to revise the concerning such. Inquiries as to sex are proposed 24 CFR 5.105(a) be revised to proposed rule to prohibit inquiries of permitted only when determining cite 18 U.S.C. 249, the Hate Crimes sex, but notes that certain complaints eligibility for a temporary, emergency Prevention Act, ‘‘for the inference that from LGBT persons would be covered shelter that is limited to one sex because Congress intends to discourage animus by the Fair Housing Act. If an LGBT it has shared sleeping areas and/or against others based on their sexual person experiences any of the forms of bathrooms, or to determine the number orientation, and therefore HUD will discrimination enumerated in the Fair of bedrooms to which a household may similarly disallow animus against others Housing Act, such as race or sex be entitled. Such inquiries are not based on their sexual orientation.’’ discrimination, that person can invoke permitted in any other homeless shelter Another commenter also referenced the the protections of the Fair Housing Act or housing. In light of the narrow Hate Crimes Prevention Act, stating that to remedy that discrimination. breadth of the exception and the HUD’s rule falls short of the goals of that Discrimination based on sex under the regulation’s overall purpose, HUD Act. The commenter stated that a rule Fair Housing Act includes anticipates that transgender individuals prohibiting inquiries will have little discrimination because of will have greater access to shelters and effect on those who discriminate based nonconformity with gender stereotypes. other housing and will monitor its on their unverified perceptions. For example, if a PHA denies a voucher programs so as to ascertain whether Response: HUD believes that the to a person because the person does not additional guidance may be necessary. revision made to § 5.105(a)(2), as conform to gender stereotypes, that person may file a Fair Housing Act Rule Should More Directly Prohibit discussed in Section II of this preamble, addresses the commenters’ concern. complaint with HUD alleging sex Discrimination discrimination. Several commenters requested that Interpret the Fair Housing Act To Cover HUD may also have jurisdiction to HUD more directly prohibit Discrimination Based on Sexual process a complaint filed under the Fair discrimination. One commenter stated Orientation or Gender Identity Housing Act if an LGBT person obtains that ‘‘a different section of the proposed One commenter suggested that HUD housing but then experiences regulation completely prohibits a interpret ‘‘discriminatory practice’’ in discrimination in the form of sexual mortgagee from taking into account the the Fair Housing Act to include harassment. Sexual harassment is illegal sexual orientation or gender identity of discrimination against persons on the under the Fair Housing Act if the an individual in determining whether to basis of sexual orientation or gender conduct is motivated by sex and is provide a mortgage to that person. identity. either so severe or pervasive that it Amending the proposed regulation to Response: In order to ensure equal creates a hostile environment or the completely ban housing discrimination access for all eligible families to HUD provision of housing or its benefits is towards individuals based on their programs, this rule requires that conditioned on the receipt of sexual sexual orientation or gender identity eligibility determinations for HUD- favors (for example, as a quid pro quo). * * * would (1) be more consistent assisted or -insured housing be made Harassment may be motivated by sex if, with the complete prohibition on using without regard to sexual orientation, for example, it is due to the landlord’s sexual orientation or gender identity in gender identity, or marital status. These view that the tenant’s appearance or

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mannerisms fail to conform with Prohibition on Inquiries Lawful Inquiries of Sex stereotypical expectations of how a man Several commenters requested or woman should look or act. Housing Several commenters suggested changes to the prohibition on inquiries clarification of the rule’s lawful inquiry owners or operators may be liable for provision or expressed concern that the their own actions or the actions of their in proposed 24 CFR 5.105(a)(2). The proposed rule provided as follows: provision would allow for employees or other residents. discrimination. The lawful inquiry If HUD determines that it does not No owner or administrator of HUD-assisted provision provided by the proposed rule have jurisdiction to investigate a or HUD-insured housing, approved lender in stated as follows: complaint from an LGBT person, the an FHA mortgage insurance program, nor any (or any other) recipient or subrecipient of [The] prohibition on inquiries regarding person may still be protected under sexual orientation or gender identity does not state and local laws that include sexual HUD funds may inquire about the sexual orientation, or gender identity of an applicant prohibit lawful inquiries of an applicant or orientation or gender identity as for, or occupant of, a HUD-assisted dwelling occupant’s sex where the housing provided or to be provided to the individual involves protected classes. or a dwelling whose financing is insured by the sharing of sleeping areas or bathrooms. Expand the Rule’s Protection To Cover HUD, whether renter- or owner-occupied. Discrimination Beyond Refusal To Rent This prohibition on inquiries regarding Comment: A commenter stated that sexual orientation or gender identity does not the lawful inquiry exception for the A commenter recommended prohibit any individual from voluntarily self- sharing of sleeping areas or bathrooms expanding the proposed rule to prohibit identifying the individual’s sexual may exacerbate extant stereotypes about harassment and disparate treatment on orientation or gender identity. gays and lesbians living in close the basis of sexual orientation or gender quarters with heterosexuals. The Comment: A commenter stated that identity. The commenter explained that commenter stated that numerous the prohibition on inquiries may in order for the proposed rule to scenarios come to mind where landlords discourage open dialogue when maximize its effectiveness, owners and abuse this exception to refuse to rent to determining appropriate placement of operators of HUD-assisted housing or homosexuals, purportedly because families applying for HUD programs. housing whose financing is insured by heterosexuals feel uncomfortable Inquiries regarding sexual orientation or HUD should be precluded from negative ‘‘sharing bathrooms or living space’’ gender identity may be appropriate decisionmaking based on these with homosexuals. The only legitimate where the safety of the individual or protected categories. HUD should be purpose of such an exception, the family being placed is of concern. There clear about its power to enforce commenter stated, would be in single- also may be other nondiscriminatory nondiscrimination and the remedies sex housing situations. But even there, reasons for a person responsible for available to individuals who have been the commenter stated, the inquiry is program placement to inquire about an discriminated against. ‘‘entirely irrelevant and inappropriate’’ individual’s sexual orientation or as to transgender status, because the Another commenter suggested that gender identity. This commenter states person would have already acquired a the prohibition on inquiries be that ‘‘the language [should] be changed strengthened so that no information new gender. to simply include ‘actual and perceived A commenter stated that the about a person’s sexual orientation or sexual orientation and gender identity’ gender identity can be used to deny a assumption that one person’s sexual in the section for nondiscrimination; or orientation might disturb the rights of tenancy, harass a tenant, evict a tenant, that the prohibition on inquiries [should or terminate a voucher. another person in a setting where be] limited to discriminatory purposes.’’ bathrooms and bedrooms would be Yet other commenters recognized the Response: Revised § 5.105(a)(2) shared reinforces stereotypes and biases, intent behind prohibiting inquiries addresses the commenters’ rather than countering them. Another regarding sexual orientation or gender nondiscrimination concerns. In commenter made a similar comment, identity, but submitted that the addition, the prohibition on inquiries stating that the proposal continues to prohibition will not adequately protect regarding sexual orientation or gender promote negative stereotypes and LGBT persons from harassment in identity does not prevent individuals violence against LGBT persons. A housing, as much housing from volunteering to identify their commenter speculated that while such discrimination occurs when a housing sexual orientation or gender identity. language was placed in the proposal provider infers a person’s sexual They may choose to do so to address with the intention of ensuring that other orientation or gender identity based on any safety concerns or for other tenants remain comfortable and safe, stereotypes, appearances, mannerisms, placement-related issues, for example. there are several issues with that goal, or information from a third party. The Also, the commenter’s concern is one the first of which is whether ‘‘leaving so commenters urged HUD to adopt a final that prompted HUD to include in the much up to the discretion of the rule that prohibits discrimination based proposed rule its language on the landlord will lead to greater potential on sexual orientation and gender permissibility of lawful inquiries as to risk of danger for these tenants.’’ identity in all HUD-assisted and HUD- sex, which is discussed below. Another commenter stated that this insured housing. However, as noted in the discussion of provision creates numerous problems in Response: HUD believes the revision Section II of this preamble, and application. The commenter states that made to § 5.105(a)(2), as discussed in addressed in revised § 5.105(a)(2), the asking someone who identifies with the Section II of this preamble, addresses inquiries permissible in determining so-called ‘‘opposite’’ gender to identify the commenters’ concern. In order to program eligibility are contemplated their sex implies that their identification ensure equal access for all eligible generally only where temporary, is not ‘‘real’’ or ‘‘genuine,’’ and that families to HUD programs, § 5.105(a)(2) emergency shelter is provided to reinforces the very problems the requires that eligibility determinations homeless individuals that involves the regulation seeks to resolve. This for HUD-assisted or -insured housing be sharing of sleeping areas or bathrooms, commenter stated that as with sexual made without regard to sexual or for a determination of the number of orientation, it is difficult to imagine orientation, gender identity, or marital bedrooms to which a household may be how one’s gender identity, even in a status. entitled. shared situation, would be a problem for

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any other person, as few programs rule is not unrestricted. As provided in Comment: Several commenters require individuals to share bedrooms this final rule, HUD believes it is expressed concern that inquiries as to a with strangers. appropriate to make inquiries as to sex person’s ‘‘sex’’ in situations involving Another commenter also expressed in temporary, emergency shelters that shared sleeping areas and bathrooms is concern about the practical effect of have shared bedrooms or bathrooms. not sufficiently clear to guard against allowing inquiries into the applicant’s This housing, unlike other HUD discrimination based on gender identity or occupant’s sexual orientation or subsidized housing and housing insured and asked HUD to provide further gender identity. The commenter stated by FHA, necessitates immediate guidance. One commenter stated that that it is not clear from the proposed provision of temporary shelter for this exception for lawful inquiries rule whether this language provides an homeless individuals. ‘‘leaves landlords with significant exhaustive or merely illustrative list of Comment: Another commenter discretion to deny housing on scenarios under which it is appropriate expressed concern that the proposed illegitimate grounds.’’ This same to inquire about an individual’s gender. prohibition on inquiries concerning commenter stated that HUD ‘‘should The commenter claimed that if the gender identity may adversely affect the add language to more clearly confine language is merely illustrative, a assignment of households to this exception to its legitimate ends.’’ housing provider will likely be appropriately sized housing. The Another commenter requested that HUD authorized to make broad inquiries into commenter explained that many local clarify what type of inquiries are an applicant’s gender identity when any programs determine housing size in part acceptable and in what specific shared living space is anticipated. A based on the gender of household circumstances, so as not to allow this commenter stated that this ‘‘lawful members, because household members exception to become a pretext for inquiry’’ into sex could be used to of different genders other than spouses discrimination based on gender identity. indirectly reach gender identity, for are not required to share a bedroom. Several commenters stated that the instance in the case of a transgender According to the commenter, sponsors allowed inquiry into sex provided could individual, and this allowed inquiry may assign households to housing that be used to identify and target could be used to accomplish the kind of is too small or too large based on transgender individuals, in particular, discrimination the rule is meant to members’ genders, consuming because the term ‘‘sex’’ used in the rule prevent. Another commenter expressed unnecessary housing assistance is vague and because the ‘‘lawful concern about the impact unrestricted resources. A commenter suggested that inquiries’’ exception is too broadly inquiries would have on low-income HUD clarify the existing exception or defined, leaving landlords ‘‘significant transgender people who cannot afford to add another exception to the blanket discretion to deny housing on access legal gender change petitions. prohibition against inquiries to permit illegitimate grounds.’’ Some of these Response: The allowance of lawful the assignment of households to commenters thought the exception inquiries of sex for housing that properly sized housing. should be more narrowly defined. provides shared bathrooms or sleeping Response: With the clarification One commenter stated that the arrangements is not a license to exclude provided in this final rule that HUD proposed rule does not provide LGBT persons from HUD-assisted intended to allow lawful inquiries to a sufficient guidance to clarify for housing housing. HUD programs must be open limited sector of HUD-assisted providers the limits of permissible and available to persons regardless of programs, HUD does not believe the inquiry into the applicant’s sex, thus sexual orientation or gender identity. commenter’s concerns will be realized. placing housing administrators in the The allowance of the limited inquiry of Comment: A commenter expressed position of arbiter of the transgender sex provided in the proposed rule is concern about the lawful inquiries individual’s sex for the purpose of their intended to apply primarily in provision in the rule because the housing applications, and exposing emergency shelters for homeless commenter believed the provision transgender persons to harm and persons, to ensure privacy if the shelter would allow housing providers to discrimination because of varying consists of shared sleeping or bathing inquire about someone’s human interpretations. Another commenter areas. HUD addressed the harassment immunodeficiency virus/acquired similarly stated that ‘‘the exception for issue earlier in this preamble. immune deficiency syndrome (HIV/ inquiries about sex for determining Comment: A commenter noted that AIDS) status, and explained that gay eligibility for single sex-dormitories or HUD had not proposed a definition of men are often discriminated against housing with single-sex shared- what is meant by the term ‘‘housing when they are considered to have HIV/ bathrooms might create opportunities provided * * * to the individual (that) AIDS. for discrimination against transgender involves the sharing of sleeping areas or Response: Nothing in the lawful persons.’’ The commenter asked HUD bathrooms.’’ The commenter stated that inquiries provision of this rule and no ‘‘to establish strict limitations on when ‘‘[t]here was presumably no intention to provision in HUD’s existing regulations these questions are appropriate.’’ permit inquiry of any person applying for its housing programs allows a A commenter stated that opponents of to any development that had bathrooms housing provider to inquire about the rule will likely focus on the ‘‘niche in common space. Additionally, by not someone’s HIV status, except where issue of the placement of transgender providing that the ‘‘sharing’’ reference providing HIV/AIDS-related housing individuals (or those that are pretending applies only to persons who are not part assistance and supportive services (e.g. to be transgender) in single sex of the same household,’’ it would open activities under the HOPWA program facilities.’’ The commenter stated that the door to inquiries of all applicants for (24 CFR part 574)), and subject to HUD, in the interest of addressing these all housing that permits households of confidentiality requirements. Moreover, critics and for clarity overall, ‘‘should more than one individual. the federal Fair Housing Act, which fully analyze this question instead of Response: HUD believes that revised HUD enforces and administers, merely stating that the rule is ‘not § 5.105(a)(2), in this final rule, expressly prohibits discrimination against intended to prohibit otherwise lawful provides that LGBT status cannot be a someone who has or is regarded as inquiries’’’ of sex, which is vague. The basis for denying participation in a having a disability, including HIV/ commenter asked, as an example, ‘‘[c]an program funded or insured by HUD. AIDS. (See 42 U.S.C. 3602(h)(3) and a battered women’s shelter still receive Moreover, the inquiry permitted by the 3604(f)(1).) funding from HUD if it denies shelter to

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a man, who perceives himself to be a persons may change their sex would 50059 is used to determine the number woman? What would be the lead to a considerable lack of uniformity of bedrooms a family may need, based adjudicatory process in such an event? across HUD programs. The commenter on the age and sex of the children. The Is this event a realistic scenario? HUD further stated that transgender persons commenter submitted that requiring should further analyze issues such as may be arbitrarily excluded from HUD information on sex to be reported on these both to undercut critics’ programs if they are forced to report Form 50059 conflicts with the proposed arguments that the proposed rule would their sex as defined by their state rule prohibiting inquiries about sex, and be unworkable and to better guide its government, instead of being permitted suggested that individuals should self- local program coordinators in proper to report a gender identity that more identify their gender and sex. practices. The overarching goal of this accurately describes them. Several Response: HUD will further examine proposed rule change is too important commenters expressing similar concerns this form, to determine whether a for it to be scrapped because of this rare recommended that the rule be revised so change is needed. The form is subject to and currently murky legal scenario.’’ that a person is required only to disclose the Paperwork Reduction Act of 1995 Another commenter stated that a the gender they identify as regardless of (44 U.S.C. 3501 et seq.), which requires transgender person’s actual sex may be sex assigned at birth and not be asked notice and comment when changes are at odds with his or her appearance, and to provide proof of that identity. made. Accordingly, any changes made questioned the meaning of this Other commenters stated that the rule to this form will provide the public the provision for such a person. A should allow for voluntary self- opportunity to comment, and such commenter asked if transgender persons reporting where sex designations are comment will not only be helpful in may be excluded from shared housing required. In such cases, the commenter addressing the specific issues raised or gay men excluded from sharing stated that ‘‘HUD could allow applicants about this form, but may inform HUD on housing with other men. If so, would to list the sex designation they would changes that may be needed to other other accommodations be made for like to have rather than their biological forms. excluded groups? Other commenters or as yet medically un-reassigned sex.’’ Collect Data To Protect LGBT urged HUD to clarify the rule to state The commenter stated that this would Community that a housing provider may only help to avoid the problem of using inquire about individuals’ gender allowed inquiries regarding sex to get to Several commenters suggested that identity for the purpose of placing them issues of gender identity. Another HUD establish a confidential data in gender-specific accommodations, but commenter stated that it is important to collection system to identify LGBT cannot inquire about a person’s birth ensure that persons are able to self- beneficiaries of HUD housing programs sex, anatomy, or medical history. select their sex in order to protect the to ensure that their housing needs are Response: In Section II of this access of transgender persons to housing met and that they are protected from preamble, HUD has already addressed facilities. Another commenter, after discrimination. several of the concerns raised by the querying how the ‘‘lawful inquiries’’ Comment: Several commenters commenters. HUD is committed to regarding sex will apply to transgender proposed that HUD provide a further review of this issue and, as individuals, stated that ‘‘in these mechanism by which applicants and necessary, will issue guidance that, instances, self-identification is probably tenants of HUD-assisted housing or through examples, elaborates on how the best way to go; however, this may HUD-insured housing can voluntarily the prohibition of inquiries on sexual be an area best left with some report their sexual orientation and orientation and gender identity, and the discretion.’’ gender identity. Such data would be allowance for lawful inquiries as to sex, Response: HUD recognizes the serious collected for informational purposes will work in practice. problem of housing instability among only, and in a manner to protect the Comment: Several commenters transgender persons. The housing confidentiality of the responder. suggested that HUD-funded programs discrimination, harassment, and Commenters identified varying need should accept an individual’s gender homelessness that transgender persons for such data. One commenter explained identity, as opposed to ‘‘sex’’ in face are part of what precipitated HUD’s that data on the sexual orientation and determining housing placement in sex- rulemaking in this area. These issues gender identity of HUD program segregated housing programs. One also contributed to HUD’s recent participants is crucial to demonstrate commenter stated that lawful inquiries recognition that housing discrimination the need for affirmative outreach, assess of a consumer’s ‘‘sex’’ where housing because of nonconformity with gender its effect, and attract resources to involves the sharing of sleeping areas stereotypes may constitute sex address problems in this area. Other and bathrooms leave transgender discrimination under the Fair Housing commenters stated that the data would individuals, who may need the most Act. HUD is aware of the significant be of substantial value for the protection, particularly vulnerable to challenges that transgender persons face development of appropriate programs discrimination. Another commenter when attempting to access shelters. By and policies. One commenter specified stated that even inquiries of individuals way of this rule, however, HUD is not that information on program who have obtained legal gender change mandating a national policy related to participants’ sexual orientation and documents would lead to harassment appropriate placement of transgender gender identity can be useful to and discrimination. For this reason, the persons in shelters limited to one sex. determine whether appropriate servicers commenter suggested that inquiries HUD needs additional time to review are being delivered and to assess about sex for sex-specific housing this issue and determine whether setting whether progress is being made in should be made in reference to an national policy is appropriate. meeting the housing needs of LGBT individual’s gender identity. Comment: A commenter expressed youth and adults. Other commenters Another commenter stated that if concern about being required to identify stated that data should be collected only applicants are not allowed to report the sex of tenants on the Form HUD– to assess whether the rule is achieving their gender identity rather than their 50059, given that the applicant/tenant is its goals. sex as legally defined by their state not asked to self-identify sex but rather Commenters provided specific government, the considerable the information is assigned by a third suggestions for safeguarding differences among states as to how party based on observation. Form HUD– confidentiality. One commenter

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proposed that inquiries should not be of a database containing gender identity Opportunity. (See http://portal.hud.gov/ permitted until after admission information of applicants. hudportal/HUD?src=/topics/ decisions have been made, and another Response: For the reasons discussed housing_discrimination.) stated that only staff involved in the in Section II of the preamble, HUD Enforcement Procedures collection and analysis of the data declines to include in this regulation a should have access to it. Other national reporting system of sexual Comment: Several commenters noted commenters urged HUD to continue to orientation and gender identity. HUD that the proposed rule was not explicit work with fair housing organizations understands the concerns of the as to how HUD plans to enforce the rule. and the housing community to collect commenters, but believes that further One commenter stated that there must demographic information on the LGBT consideration must be given to this be a mechanism by which claims of community in a way that cannot be used proposal. This final rule is not intended discrimination in HUD programs can be to discriminate, by including to prohibit mechanisms that allow for voiced by the LGBT community. appropriate restrictions on the voluntary and anonymous reporting of Another commenter echoed that acquisition, retention, and use of the sexual orientation or gender identity for concern, stating that if sexual information to protect the privacy of compliance with data collection orientation or gender identity those whose data is being collected. requirements of state and local discrimination does occur, it must be Several commenters discussed the effect governments or other federal assistance clear to the landlords and future tenants of the proposed prohibition on inquiries programs, but only after determining the that these matters will be addressed in on data collection. One commenter individual’s or family’s eligibility for a fair and timely manner. stated there are a myriad of potential HUD assistance. A commenter suggested that HUD mechanisms for achieving the dual goals Comment: Commenters urged HUD to include in the final rule a clear of protection against discrimination look for ways to collect and maintain procedure for submitting complaints, while gathering sufficient data to data to help identify and combat LGBT holding hearings, and making monitor LGBT housing discrimination. housing discrimination, while determinations of violations of HUD The commenter proposed a voluntary protecting and preserving privacy and program rules. Another commenter reporting system that would allow safety, and preventing further suggested including an appeals process. persons who wish to self-identify to discrimination or retaliation so that One commenter suggested that HUD bypass housing providers and PHAs and additional policy efforts can be further create a centralized complaint system submit demographic information developed. The commenters stated that through which persons can submit directly to HUD. The commenter because discrimination against LGBT information about discrimination under suggested that language be added to individuals is substantially the rule. That commenter proposed that existing forms that would direct all underreported, the final rule should HUD establish a telephone number for applicants and occupants of HUD- contain language requiring covered complaints based on violations of the assisted housing wishing to provide housing providers and grantees to proposed rule, and that HUD designate such information to a Web site and provide accessible information about a coordinator to direct complaints to the mailing address for HUD’s Office of Fair these protections, as well as necessary appropriate persons in the program Housing and Equal Opportunity. The information on how people can submit offices. The commenter proposed that commenter stated that this could enable complaints when they believe their HUD create a complaint intake form the person to submit the information rights have been violated. similar to the existing Form HUD–903 anonymously, while providing HUD One commenter urged HUD to work that persons use to file complaints with sufficient demographic with the LGBT community and fair under the Fair Housing Act. The information to monitor discrimination. housing organizations to collect commenter stated that creating a Another commenter also viewed demographic data on sexual orientation centralized intake system would have voluntary disclosure as the appropriate and gender identity to better enable the the benefit of facilitating the filing of balancing of the right to privacy LGBT community to advocate for reports of discrimination, as well as ‘‘against the rule’s purpose in ensuring increased funding for geographic and providing more information about the equal access to housing.’’ But according programmatic areas where LGBT occurrence of discrimination in HUD to the commenter, ‘‘[w]hile the rule persons remain vulnerable. Another programs. The commenter stated that proposal notes that the inquiry commenter stated that because sexual ‘‘[p]ractical mechanisms for prohibition does nothing to limit orientation and gender identity are still enforcement will allow LGBT families voluntary disclosure, it also does not identified in the Fair Housing Act as and advocates to fully utilize these nothing to channel such disclosures in prohibited bases for discrimination, data changes to access housing.’’ a way that promotes the rule’s must be collected to reflect the number One commenter questioned whether underlying goal.’’ of LGBT individuals and families HUD anticipates an expansion of its One commenter recommended that seeking access to HUD programs and Investigations Division to support the HUD conform its data collection services to help advocate for necessary proposed rule, and if so, what if any systems related to the sex of household policy changes and to identify areas training the existing staff would members to the proposed prohibition of where LGBT persons remain undergo to adequately prepare for this inquiries concerning gender identity. particularly vulnerable to type of investigation. Another Another commenter stated that the discrimination. commenter simply suggested that HUD prohibition on inquiries regarding Response: HUD appreciates all the consider expanding its investigative gender identity could result in the proposals submitted by the commenters. units to respond to the likely increase in inadvertent housing of dangerous As discussed in Section II of the complaints. individuals because, in the commenter’s preamble, HUD declines to add a data A commenter inquired whether the view, gender identity is an important collection mechanism to the rule. HUD regulations create a new right for component of the applicant information notes, however, that it has existing aggrieved parties. The commenter collected to gather accurate criminal mechanisms for collecting and reporting explained that while an aggrieved party background information. The on discrimination claims filed with its can file a complaint alleging commenter supported the establishment Office of Fair Housing and Equal discrimination on grounds expressly

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forbidden in the Fair Housing Act, the provide remedies under the rule, any behavior or comment that proposed rule does not seem to give whether it is to sanction, suspend, discriminates against individuals victims of discrimination based on debar, or seek civil penalties against covered under HUD’s policies. sexual orientation or gender identity the those individuals or entities who deny Employees who are sensitive to LGBT same right. The commenter requested individuals and families safe, clean, issues should be enlisted to provide clarification regarding what method of affordable housing because of their information to assist LGBT individuals enforcement HUD will implement if it gender identity or sexual orientation. and their families in making decisions does not explicitly extend this right to The commenters believe that ‘‘setting as to the most comfortable and safe victims of discrimination based on the rules in stone’’ would deter housing housing. Another of the commenters sexual orientation or gender identity. providers from violating the terms of the stated that in order to ensure The commenter concluded that without rule. compliance with the proposed rule, it zealous and informed enforcement, Response: Whenever a participant in will be necessary to educate the affected these regulations will provide only lip a HUD program fails or refuses to agencies and programs on the meaning service to the broader goals of comply with regulatory requirements, of ‘‘actual or perceived gender-related promoting access to HUD programs for such failure or refusal shall constitute a characteristics,’’ a definition cited in the all eligible families. violation of the requirements under the rule and drawn from the Matthew Response: As noted in response to an program in which the participant is Shepard and James Byrd, Jr. Hate earlier comment, this rule creates operating and the participant will be Crimes Prevention Act of 2009. additional program requirements to subject to all sanctions and penalties for Another commenter recommended ensure equal access to HUD programs violation of program requirements, as that HUD develop comprehensive for all eligible families. Therefore, a provided for under the applicable outreach goals and advertise in the violation of the program requirements program, including the withholding of LGBT media. The commenter established by this rule will be handled HUD assistance. In addition, as is recommended that forms HUD–935.2(a) in the same manner that violations of discussed in the prior response, HUD or (b) be amended for this purpose to other program requirements are may pursue an enforcement action include categories for gender identity handled. Each HUD program has in when the Fair Housing Act is and sexual orientation as target groups, place mechanisms for addressing implicated. A housing provider who is and that such forms be available for all violations of program requirements. If a found to have violated the Fair Housing HUD-assisted programs. The commenter participant in HUD-assisted or HUD- Act may be liable for actual damages, also suggested that PHAs affirmatively insured housing programs believes that injunctive and other equitable relief, market to underrepresented populations the housing provider is not complying civil penalties, and attorney’s fees. as they are required to affirmatively with program requirements, the market housing under the Fair Housing Education, Outreach, and Guidance individual may complain to the Act. Other commenters recommended appropriate HUD office that administers A commenter stated that HUD should that HUD-assisted housing providers be the program (e.g., the Office of Public add education requirements. The required to affirmatively market to the and Indian Housing, the Office of commenter stated that within 9 months LGBT population through community Community Planning and after this regulation goes into effect, centers and other outreach groups. One Development). In addition, as also noted entities that participate in HUD of these commenters stated that HUD in the earlier response to a comment, programs should educate their relevant program staff, PHAs, subsidized housing certain complaints would be covered by staff on the rule. An Internet-based providers, and housing-related service the Fair Housing Act. A claim of training program could be efficiently providers will need education on the discrimination based on nonconformity used. This requirement could be waived final rule to ensure that they are in with gender stereotypes may be in rural areas that currently lack Internet compliance. investigated and enforced under the Fair access, or an alternative means of A commenter recommended that HUD Housing Act as sex discrimination. HUD satisfying the requirement could be conduct a public relations campaign recently published guidance on this. See created, such as participation via that explains the new regulation and http://portal.hud.gov/hudportal/ telephone. This commenter also stated welcomes LGBT families. The HUD?src=/program_offices/ that within 9 months, HUD should commenter suggested that owners and fair_housing_equal_opp/ require participating entities to begin operators of HUD-assisted housing and LGBT_Housing_Discrimination. Such providing individuals with updated FHA-insured housing be aware of the claims would be filed through HUD’s information regarding their rights to be proposed rule and its impact on their Office of Fair Housing and Equal free from discrimination. This day-to-day dealings with tenants and Opportunity at the Web site noted commenter stated that given limited mortgagors, while also suggesting that earlier in this preamble: http:// resources, HUD should focus its efforts HUD create literature, posters, and other portal.hud.gov/hudportal/HUD?src=/ on areas with large LGBT populations materials directed at LGBT families. The topics/housing_discrimination or and in jurisdictions that do not commenter stated that these 1–(800) 669–9777. Many states and currently possess anti-discrimination advertisements should advise LGBT localities have laws prohibiting statutes that cover sexual orientation or families that HUD wants to ensure their discrimination based on one’s LGBT gender identity. equal access to its core rental assistance status. HUD’s guidance, referenced Another commenter stated that and homeownership programs, while above, contains a list of such states. As whether this policy has its desired effect the media campaign should convey that noted below, HUD will develop training will greatly depend on outside factors. HUD is committed to taking actions materials to educate recipients of HUD The anti-discrimination policies in necessary to ensure that LGBT families funding of their rights and place should be brought to the attention are not excluded on the basis of their responsibilities under this rule. of applicants for HUD housing through sexual orientation, gender identity, or HUD application forms, interviews, and other criteria irrelevant to the purpose Remedies Web site pages. HUD employees should of HUD. Other commenters recommended that be instructed as to the reasons for these Another commenter stated that if HUD clearly explain its authority to policies and should be sanctioned for LGBT individuals do not know about

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the proposed regulation, it will be much Accordingly, HUD does not find it mission is to create strong, sustainable, less effective. If enforcement of the necessary to wait for the completion of inclusive communities and quality proposed regulation largely depends on the study. It is HUD’s desire to affordable homes for all. This includes litigation by those who have been proactively address the possibility of LGBT persons, who have faced discriminated against, then those discrimination against LGBT difficulty in seeking housing. Excluding individuals must know that the individuals and families in HUD’s any eligible person from HUD-funded or discrimination that they faced was housing programs. HUD-insured housing because of that actually illegal. HUD should work with Rule Did Not Properly Address person’s sexual orientation or gender prominent LGBT organizations, as well Federalism Concerns identity contravenes HUD’s as with nonprofits that deal with fair responsibility under the Department of housing and with state and local Comment: A commenter stated that Housing and Urban Development Act to governments to disseminate these this rule fails to properly address work to address ‘‘the needs and interests proposed rules in a simple and easy-to- federalism concerns because protecting of the Nation’s communities and of the understand way. LGBT persons from discrimination is a people who live and work in them.’’ A commenter specifically inquired matter of state law, and while some (See 42 U.S.C. 3531.) Congress has about whether HUD’s Fair Housing states have chosen to enact such repeatedly charged the Department with Enforcement Office would provide protections, other states have declined serving the existing housing needs of all training on the implementation of the to do so. Another commenter stated that Americans, including in section 2 of the rule. Another commenter states that, in HUD is overstepping its authority by Housing Act of 1949, 42 U.S.C. 1441 particular, HUD should: (1) Publicize defining family in the proposed (‘‘The Congress hereby declares that the the new regulation, (2) develop know- regulation. The commenter thought this general welfare and security of the your-rights materials for LGBT could be construed as an infringement Nation and the health and living individuals to promote the reporting of on states’ rights because the Federal standards of its people require * * * violations, and (3) provide mandatory Government has primarily left it to the the realization as soon as feasible the trainings to owners and operators of states to make determinations regarding goal of a decent home and a suitable HUD-assisted housing programs to the definition of family. Another living environment for every American encourage compliance. commenter stated that HUD is violating family * * *’’); section 2 of the Housing Another commenter recommended Executive Order 13132 on federalism by and Urban Development Act of 1968, 12 that HUD issue clear guidelines that will regulating marriage and housing. U.S.C. 1701t (‘‘The Congress affirms the ensure that LGBT tenants of single-sex According to the commenter, these are national goal, as set forth in section 2 of housing will not be singled out for states’ rights issues, as regulation of the Housing Act of 1949, of ‘a decent harassment or disparate treatment on marriage and housing occur at a state home and a suitable living environment the basis of their sexual orientation or level, notwithstanding that the Federal for every American family’’’); sections gender identity. The commenter Government provides funding for 101 and 102 of the Cranston-Gonzalez suggested that HUD owners and housing. National Affordable Housing Act, 42 Response: HUD’s rule is not in operators be given instructions on how U.S.C. 12701–702 (‘‘The Congress violation of the executive order on to provide reasonable accommodations affirms the national goal that every federalism, Executive Order 13132, nor for LGBT families, including, where American family be able to afford a is it regulating marriage. HUD’s rule possible, mechanisms that provide decent home in a suitable environment. only pertains to HUD’s housing privacy in public showers. The * * * The objective of national housing programs. There is no requirement for commenter stated that HUD staff, as policy shall be to reaffirm the long- any multifamily housing owner to well as HUD owners and operators, established national commitment to participate in HUD’s programs or for should be trained on the importance of decent, safe, and sanitary housing for any lender to become an FHA-approved safe housing for persons who self- every American by strengthening a lender. However, if these individuals or identify as transgender. nationwide partnership of public and Response: Without question, HUD entities choose to participate, then they private institutions able * * * to ensure plans to engage in education and must abide by the program requirements that every resident of the United States outreach about this rule, and will established by HUD. has access to decent shelter or consider many of the proposals offered Rule Exceeds HUD’s Legal Authority assistance in avoiding homelessness by the commenters on how such * * * [and] to improve housing education and outreach may be Comment: A few commenters stated opportunities for all residents of the conducted. that this rule exceeds HUD’s legal authority. The commenters stated that United States’’); and section 2(b) of the Rule Should Wait for Completion of making ‘‘sexual orientation’’ and Housing and Community Development Study ‘‘gender identity’’ protected Act of 1974, 42 U.S.C. 5301 note (‘‘The Comment: A commenter expressed classifications for purposes of federal purpose of this Act, therefore, is—(1) to concern that HUD’s proposed rule was housing programs has no support in any reaffirm the principle that decent and published before HUD completed its act of Congress, and that forbidding affordable shelter is a basic necessity, study on housing discrimination based such discrimination undermines the and the general welfare of the Nation on sexual orientation and gender Defense of Marriage Act. The and the health and living standards of identity. The commenter suggested that commenters stated that HUD should not its people require the addition of new HUD complete its study and consider create new protected classifications housing units to remedy a serious the study’s evidence in revising and where there is no statutory policy shortage of housing for all Americans.’’) finalizing the proposed rule rather than undergirding it. Congress has given HUD broad developing the regulation and Response: The rule creates additional authority to fulfill this mission and conducting the study simultaneously. program requirements to ensure equal implement its responsibilities through Response: The study to which the access of all eligible families to HUD rulemaking. Section 7(d) of the commenter refers concerns the private programs, which is well within the Department of Housing and Urban sector and not HUD’s programs. scope of HUD’s authority. HUD’s Development Act specifically states that

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the Secretary ‘‘may make such rules and from HUD housing for no reason other number of small entities. This rule does regulations as may be necessary to carry than that the individual is LGBT or the not impose any new costs, or modify out his functions, powers, and duties.’’ family has one or more LGBT members existing costs, applicable to HUD HUD does not agree that the Defense is inconsistent with HUD’s mission to grantees. Rather, the purpose of the rule of Marriage Act, which relates to the ensure decent housing and a suitable is to ensure open access to HUD’s core definition of marriage, overrides the living environment for all. Accordingly, programs, regardless of sexual Department’s responsibility to ensure it is incumbent on HUD to ensure that orientation or gender identity. In this that its programs are carried out free the regulations governing its housing rule, HUD affirms the broad meaning of from discrimination. This rule does not programs make clear that such arbitrary ‘‘family’’ that is already provided for in define or otherwise regulate marriage. exclusion will not be tolerated. HUD programs by statute. The only Rather, it seeks to make housing clarification that HUD makes is that a available to LGBT persons who might IV. Findings and Certifications family is a family as currently provided otherwise be denied access to HUD- Regulatory Review—Executive Orders in statute and regulation, regardless of funded or assisted housing. 12866 and 13563 marital status, sexual orientation, or gender identity. Accordingly, the Rule Creates Conflict With Religious Under Executive Order 12866 undersigned certifies that this rule will Freedom (Regulatory Planning and Review), a not have a significant economic impact determination must be made whether a Comment: A commenter stated that on a substantial number of small regulatory action is significant and, the rule may force faith-based and other entities. organizations, as a condition of therefore, subject to review by the Office participating in HUD programs and in of Management and Budget (OMB) in Environmental Impact contravention of their religious beliefs, accordance with the requirements of the This rule sets forth nondiscrimination to support shared housing arrangements order. Executive Order 13563 standards. Accordingly, under 24 CFR between persons who are not joined in (Improving Regulations and Regulatory 50.19(c)(3), this rule is categorically what the commenter referred to as ‘‘the Review) directs executive agencies to excluded from environmental review legal union of one man and woman.’’ analyze regulations that are ‘‘outmoded, under the National Environmental Another commenter explained that, ineffective, insufficient, or excessively Policy Act of 1969 (42 U.S.C. 4321). while not insisting that any person burdensome, and to modify, streamline, should be denied housing, faith-based expand, or repeal them in accordance Executive Order 13132, Federalism and other organizations should retain with what has been learned.’’ Executive Executive Order 13132 (entitled the freedom to make housing Order 13563 also directs that, where ‘‘Federalism’’) prohibits an agency from placements in a manner consistent with relevant, feasible, and consistent with publishing any rule that has federalism their religious beliefs. The commenter regulatory objectives, and to the extent implications if the rule either: (i) further stated that the rule, by infringing permitted by law, agencies are to Imposes substantial direct compliance on religious freedom, may have the identify and consider regulatory costs on state and local governments ultimate effect of driving away faith- approaches that reduce burdens and and is not required by statute, or (ii) based organizations with a long and maintain flexibility and freedom of preempts state law, unless the agency successful track record in meeting choice for the public. A determination meets the consultation and funding housing needs. The commenter was made that this rule is a ‘‘significant requirements of section 6 of the concluded that given their large role in regulatory action,’’ as defined in section Executive Order. This rule would not serving unmet housing needs, it is 3(f) of the Order (although not have federalism implications and would imperative that such faith-based economically significant, as provided in not impose substantial direct organizations not be required to section 3(f)(1) of the Order). The docket compliance costs on state and local compromise or violate their religious file is available for public inspection in governments or preempt state law beliefs as a condition of participating in the Regulations Division, Office of within the meaning of the Executive HUD-assisted housing programs and General Counsel, Department of Order. receiving government funds to carry out Housing and Urban Development, 451 Unfunded Mandates Reform Act needed services. 7th Street SW., Room 10276, Other commenters stated that Washington, DC 20410–0500. Due to Title II of the Unfunded Mandates protecting sexual orientation and gender security measures at the HUD Reform Act of 1995 (2 U.S.C. 1531– identity without provisions for Headquarters building, please schedule 1538) (UMRA) establishes requirements protecting rights of conscience and an appointment to review the docket file for federal agencies to assess the effects belief results in governmental by calling the Regulations Division at of their regulatory actions on state, discrimination favoring one version of (202) 402–3055 (this is not a toll-free local, and tribal governments, and on morality and belief over another. The number). Individuals with speech or the private sector. This rule would not commenters stated that there are many hearing impairments may access this impose any federal mandates on any individuals and faith-based number via TTY by calling the Federal state, local, or tribal governments, or on organizations who have already been Information Relay Service at (800) 877– the private sector, within the meaning of penalized for adherence to religious 8339. the UMRA. beliefs that will not permit them to List of Subjects support same-sex relationships. Regulatory Flexibility Act Response: Faith-based organizations The Regulatory Flexibility Act (RFA) 24 CFR Part 5 have long been involved in HUD (5 U.S.C. 601 et seq.) generally requires Administrative practice and programs and provide valuable services an agency to conduct a regulatory procedure, Aged, Claims, Drug abuse, to low-income populations served by flexibility analysis of any rule subject to Drug traffic control, Grant programs— HUD. It is HUD’s hope that faith-based notice and comment rulemaking housing and community development, organizations will continue to actively requirements, unless the agency certifies Grant programs—Indians, Individuals participate in HUD programs. However, that the rule will not have a significant with disabilities, Loan programs— the exclusion of an individual or family economic impact on a substantial housing and community development,

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Low and moderate income housing, Accordingly, for the reasons stated HUD-insured housing, approved lender Mortgage insurance, Pets, Public above, HUD amends 24 CFR parts 5, in an FHA mortgage insurance program, housing, Rent subsidies, Reporting and 200, 203, 236, 291, 570, 574, and 982, nor any (or any other) recipient or recordkeeping requirements. as follows: subrecipient of HUD funds may inquire about the sexual orientation or gender 24 CFR Part 200 PART 5—GENERAL HUD PROGRAM identity of an applicant for, or occupant Administrative practice and REQUIREMENTS; WAIVERS of, HUD-assisted housing or housing procedure, Claims, Equal employment whose financing is insured by HUD, ■ 1. The authority citation for 24 CFR opportunity, Fair housing, Home whether renter- or owner-occupied, for part 5 continues to read as follows: improvement, Housing standards, Lead the purpose of determining eligibility poisoning, Loan programs—housing and Authority: 42 U.S.C. 3535(d), unless for the housing or otherwise making community development, Mortgage otherwise noted. such housing available. This prohibition insurance, Organization and functions ■ 2. The heading of subpart A is revised on inquiries regarding sexual (Government agencies), Penalties, to read as follows: orientation or gender identity does not Reporting and recordkeeping. prohibit any individual from voluntarily Subpart A—Generally Applicable 24 CFR Part 203 self-identifying sexual orientation or Definitions and Requirements; Waivers gender identity. This prohibition on Hawaiian Natives, Home inquiries does not prohibit lawful improvement, Indians—lands, Loan * * * * * ■ inquiries of an applicant or occupant’s programs—housing and community 3. In § 5.100, definitions for ‘‘family,’’ ‘‘gender identity,’’ and ‘‘sexual sex where the housing provided or to be development, Mortgage insurance, provided to the individual is temporary, Reporting and recordkeeping orientation’’ are added to read as follows: emergency shelter that involves the requirements, Solar energy. sharing of sleeping areas or bathrooms, 24 CFR Part 236 § 5.100 Definitions. or inquiries made for the purpose of determining the number of bedrooms to Grant programs—housing and * * * * * Family has the meaning provided this which a household may be entitled. community development, Low- and term in § 5.403, and applies to all HUD moderate-income housing, Mortgage * * * * * programs unless otherwise provided in insurance, Rent subsidies, Reporting the regulations for a specific HUD Subpart D—Definitions for Section 8 and recordkeeping requirements. program. and Public Housing Assistance Under 24 CFR Part 570 * * * * * the United States Housing Act of 1937 Administrative practice and Gender identity means actual or ■ 5. In § 5.403, the definitions of procedure, American Samoa, perceived gender-related characteristics. ‘‘disabled family’’, ‘‘elderly family’’, Community development block grants, * * * * * ‘‘family’’, and ‘‘near elderly family’’ are Grant programs—education, Grant Sexual orientation means revised to read as follows: programs—housing and community homosexuality, heterosexuality, or development, Guam, Indians, Loan bisexuality. § 5.403 Definitions. programs—housing and community * * * * * * * * * * development, Low and moderate ■ 4. In § 5.105, revise the introductory Disabled family means a family whose income housing, Northern Mariana text, redesignate paragraph (a) as head (including co-head), spouse, or Islands, Pacific Islands Trust Territory, paragraph (a)(1), and add paragraph sole member is a person with a Puerto Rico, Reporting and (a)(2) to read as follows: disability. It may include two or more recordkeeping requirements, Student persons with disabilities living together, aid, Virgin Islands. § 5.105 Other Federal Requirements. or one or more persons with disabilities The requirements set forth in this living with one or more live-in aides. 24 CFR Part 574 section apply to all HUD programs, * * * * * Community facilities, Grant except as may be otherwise noted in the Elderly family means a family whose programs—health programs, Grant respective program regulations in title head (including co-head), spouse, or programs—housing and community 24 of the CFR, or unless inconsistent sole member is a person who is at least development, Grant programs—social with statutes authorizing certain HUD 62 years of age. It may include two or programs, HIV/AIDS, Low and moderate programs: more persons who are at least 62 years income housing, Reporting and (a) * * * of age living together, or one or more recordkeeping requirements. (2) Equal access to HUD-assisted or persons who are at least 62 years of age insured housing. (i) Eligibility for HUD- living with one or more live-in aides. 24 CFR Part 891 assisted or insured housing. A Family includes, but is not limited to, Aged, Grant programs—housing and determination of eligibility for housing the following, regardless of actual or community development, Individuals that is assisted by HUD or subject to a perceived sexual orientation, gender with disabilities, Loan programs— mortgage insured by the Federal identity, or marital status: housing and community development, Housing Administration shall be made (1) A single person, who may be an Rent subsidies, Reporting and in accordance with the eligibility elderly person, displaced person, recordkeeping requirements. requirements provided for such program disabled person, near-elderly person, or by HUD, and such housing shall be any other single person; or 24 CFR Part 982 made available without regard to actual (2) A group of persons residing Grant programs—housing and or perceived sexual orientation, gender together, and such group includes, but community development, Grant identity, or marital status. is not limited to: programs—Indians, Indians, Public (ii) Prohibition of inquiries on sexual (i) A family with or without children housing, Rent subsidies, Reporting and orientation or gender identity. No owner (a child who is temporarily away from recordkeeping requirements. or administrator of HUD-assisted or the home because of placement in foster

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care is considered a member of the (b) Determinations of adequacy of Authority: 42 U.S.C. 3535(d) and 12901– family); mortgagor income under this section 12912. (ii) An elderly family; shall be made in a uniform manner ■ 16. In § 574.3, the definition of (iii) A near-elderly family; without regard to race, color, religion, ‘‘family’’ is revised to read as follows: (iv) A disabled family; sex, national origin, familial status, (v) A displaced family; and handicap, marital status, actual or § 574.3 Definitions. (vi) The remaining member of a tenant perceived sexual orientation, gender * * * * * family. identity, source of income of the Family is defined in 24 CFR 5.403 and * * * * * mortgagor, or location of the property. includes one or more eligible persons Near-elderly family means a family living with another person or persons, whose head (including co-head), PART 236—MORTGAGE INSURANCE regardless of actual or perceived sexual spouse, or sole member is a person who AND INTEREST REDUCTION orientation, gender identity, or marital is at least 50 years of age but below the PAYMENT FOR RENTAL PROJECTS status, who are determined to be age of 62; or two or more persons, who important to the eligible person or ■ 11. The authority citation for 24 CFR are at least 50 years of age but below the person’s care or well-being, and the part 236 continues to read as follows: age of 62, living together; or one or more surviving member or members of any persons who are at least 50 years of age Authority: 12 U.S.C. 1715b and 1715z–1; family described in this definition who but below the age of 62, living with one 42 U.S.C. 3535(d). were living in a unit assisted under the or more live-in aides. ■ 12. Section 236.1 is amended by HOPWA program with the person with * * * * * adding a sentence at the end of AIDS at the time of his or her death. paragraph (a) to read as follows: * * * * * PART 200—INTRODUCTION TO FHA PROGRAMS § 236.1 Applicability, cross-reference, and PART 891—SUPPORTIVE HOUSING savings clause. FOR THE ELDERLY AND PERSONS ■ 6. The authority citation for 24 CFR (a) Applicability. * * * The definition WITH DISABILITIES part 200 continues to read as follows: of ‘‘family’’ in 24 CFR 200.3(a) applies Authority: 12 U.S.C. 1702–1715z–21; 42 to any refinancing of a mortgage insured ■ 17. The authority citation for part 891 U.S.C. 3535(d). under section 236, or to financing continues to read as follows: ■ 7. In § 200.3, paragraph (a) is revised pursuant to section 236(j)(3) of the Authority: 12 U.S.C. 1701q; 42 U.S.C. to read as follows: purchase, by a cooperative or nonprofit 1437f, 3535(d), and 8013. corporation or association of a project ■ 18. In § 891.105, the definition of § 200.3 Definitions. assisted under section 236. ‘‘family’’ is added to read as follows: (a) The definitions ‘‘department’’, * * * * * ‘‘elderly person’’, ‘‘family’’, ‘‘HUD’’, and § 891.105 Definitions. ‘‘Secretary’’, as used in this subpart A, PART 570—COMMUNITY * * * * * shall have the meanings given these DEVELOPMENT BLOCK GRANTS Family is defined in 24 CFR 5.403. terms in 24 CFR part 5. ■ * * * * * * * * * * 13. The authority citation for 24 CFR ■ 8. Section 200.300 is revised to read part 570 continues to read as follows: PART 982—SECTION 8 TENANT– as follows: Authority: 42 U.S.C. 3535(d), and 5301– BASED ASSISTANCE: HOUSING 5320. CHOICE VOUCHER PROGRAM § 200.300 Nondiscrimination and fair housing policy. Subpart A—General Provisions ■ 19. The authority citation for 24 CFR Federal Housing Administration part 982 continues to read as follows: programs shall be administered in ■ 14. In § 570.3, the definitions of Authority: 42 U.S.C. 1437f and 3535(d). accordance with: ‘‘family’’ and ‘‘household’’ are revised (a) The nondiscrimination and fair to read as follows: ■ 20. In § 982.4, remove the colon at the housing requirements set forth in 24 end of paragraph (a) subject heading and CFR part 5, including the prohibition on § 570.3 Definitions. add a period in its place, revise inquiries regarding sexual orientation or * * * * * paragraph (a)(1), remove paragraph gender identity set forth in 24 CFR Family refers to the definition of (a)(2), and redesignate paragraph (a)(3) 5.105(a)(2); and ‘‘family’’ in 24 CFR 5.403. as paragraph (a)(2); and revise the (b) The affirmative fair housing Household means all persons definition of ‘‘family’’ in paragraph (b) marketing requirements in 24 CFR part occupying a housing unit. The to read as follows: 200, subpart M and 24 CFR part 108. occupants may be a family, as defined in 24 CFR 5.403; two or more families § 982.4 Definitions. PART 203—SINGLE FAMILY living together; or any other group of (a) Definitions found elsewhere—(1) MORTGAGE INSURANCE related or unrelated persons who share General definitions. The following terms are defined in part 5, subpart A of this ■ living arrangements, regardless of actual 9. The authority citation for 24 CFR or perceived, sexual orientation, gender title: 1937 Act, covered person, drug, part 203 continues to read as follows: identity, or marital status. drug-related criminal activity, federally assisted housing, guest, household, Authority: 12 U.S.C. 1709, 1710, 1715b, * * * * * 1715z–16, and 1715u; 42 U.S.C. 3535(d). HUD, MSA, other person under the ■ 10. In § 203.33, paragraph (b) is PART 574—HOUSING tenant’s control, public housing, Section revised to read as follows: OPPORTUNITIES FOR PERSONS WITH 8, and violent criminal activity. AIDS * * * * * § 203.33 Relationship of income to (b) * * * mortgage payments. ■ 15. The authority citation for 24 CFR Family. A person or group of persons, * * * * * part 574 continues to read as follows: as determined by the PHA consistent

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with 24 CFR 5.403, approved to reside § 982.201 Eligibility and targeting. Dated: January 27, 2012. in a unit with assistance under the * * * * * Shaun Donovan, program. See ‘‘family composition’’ at (c) Family composition. See definition Secretary. § 982.201(c). of ‘‘family’’ in 24 CFR 5.403. [FR Doc. 2012–2343 Filed 2–2–12; 8:45 am] * * * * * BILLING CODE 4210–67–P ■ 21. In § 982.201, paragraph (c) is * * * * * revised to read as follows:

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Part IV

The President

Memorandum of January 18, 2012—Implementing Provisions of the Temporary Payroll Tax Cut Continuation Act of 2011 Relating to the Keystone XL Pipeline Permit

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Federal Register Presidential Documents Vol. 77, No. 23

Friday, February 3, 2012

Title 3— Memorandum of January 18, 2012

The President Implementing Provisions of the Temporary Payroll Tax Cut Continuation Act of 2011 Relating to the Keystone XL Pipe- line Permit

Memorandum for the Secretary of State

The Temporary Payroll Tax Cut Continuation Act of 2011 requires a determination, within 60 days of enactment, of whether the Keystone XL pipeline project as set forth in the permit application filed on September 19, 2008 (including amendments) (the ‘‘Keystone XL pipeline project’’) would serve the national interest. The State Department had previously explained, on November 10, 2011, that it was seeking additional information concerning whether that project served the national interest, as necessary to grant the permit. Based on its experience and in order to consider relevant environmental issues and the consequences of the project on energy security, the economy, and foreign policy, the State Department indicated that its review could be complete as early as the first quarter of 2013. I have determined, based upon your recommendation, including the State Department’s view that 60 days is an insufficient period to obtain and assess the necessary information, that the Keystone XL pipeline project, as presented and analyzed at this time, would not serve the national interest. Accordingly, by the authority vested in me as President by the Constitution and the laws of the United States including section 301 of title 3, United States Code, and in furtherance of Executive Order 13337 of April 30, 2004 to the extent compatible with this memorandum, I direct you to submit the report to the Congress as specified in section 501(b)(2) of the Temporary Payroll Tax Cut Continuation Act of 2011 and to issue a denial of the Keystone XL pipeline permit application. This memorandum is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. You are hereby authorized and directed to publish this memorandum in the Federal Register.

THE WHITE HOUSE, Washington, January 18, 2012

[FR Doc. 2012–2673 Filed 2–2–12; 11:15 am] Billing code 4710–10–P

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Reader Aids Federal Register Vol. 77, No. 23 Friday, February 3, 2012

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING FEBRUARY

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. 19 CFR Presidential Documents 3 CFR Executive orders and proclamations 741–6000 Proposed Rules: Proclamations: 357...... 5440 The United States Government Manual 741–6000 8775...... 5373 Other Services 8776...... 5375 21 CFR 8777...... 5377 Electronic and on-line services (voice) 741–6020 1...... 5175 Executive Orders: Privacy Act Compilation 741–6064 7...... 5175 13598...... 5371 16...... 5175 Public Laws Update Service (numbers, dates, etc.) 741–6043 Administrative Orders: 510...... 4895 741–6086 TTY for the deaf-and-hard-of-hearing Memorandums: 520...... 4895 Memorandums of 522...... 4895 ELECTRONIC RESEARCH January 18, 2012 ...... 5679 524...... 4895 World Wide Web 529...... 4895 7 CFR 558...... 4895 Full text of the daily Federal Register, CFR and other publications 27...... 5379 Proposed Rules: is located at: www.fdsys.gov. 301...... 5381 173...... 5201 Federal Register information and research tools, including Public 985...... 5385 Inspection List, indexes, and links to GPO Access are located at: 4290...... 4885 22 CFR www.ofr.gov. Proposed Rules: 22...... 5177 E-mail 205...... 5415 51...... 5177 24 CFR FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 10 CFR an open e-mail service that provides subscribers with a digital 5...... 5662 780...... 4885 form of the Federal Register Table of Contents. The digital form 200...... 5662 781...... 4887 of the Federal Register Table of Contents includes HTML and 203...... 5662 PDF links to the full text of each document. 12 CFR 236...... 5662 To join or leave, go to http://listserv.access.gpo.gov and select 400...... 5662 741...... 5155 Online mailing list archives, FEDREGTOC-L, Join or leave the list 570...... 5662 (or change settings); then follow the instructions. Proposed Rules: 574...... 5662 703...... 5416 882...... 5662 PENS (Public Law Electronic Notification Service) is an e-mail 741...... 4927 891...... 5662 service that notifies subscribers of recently enacted laws. 982...... 5662 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 14 CFR and select Join or leave the list (or change settings); then follow 27...... 4890 25 CFR the instructions. 29...... 4890 514...... 5178 FEDREGTOC-L and PENS are mailing lists only. We cannot 39...... 5167, 5386 523...... 5183 71 ...... 5168, 5169, 5170 respond to specific inquiries. 26 CFR Proposed Rules: Reference questions. Send questions and comments about the 39 ...... 5195, 5418, 5420, 5423, Proposed Rules: Federal Register system to: [email protected] 5425, 5427 1 ...... 5442, 5443, 5454 The Federal Register staff cannot interpret specific documents or 71...... 5429 27 CFR regulations. Proposed Rules: Reminders. Effective January 1, 2009, the Reminders, including 15 CFR 478...... 5460 Rules Going Into Effect and Comments Due Next Week, no longer 744...... 5387 appear in the Reader Aids section of the Federal Register. This 902...... 5389 29 CFR information can be found online at http://www.regulations.gov. Proposed Rules: 1602...... 5396 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 336...... 5440 2550...... 5632 longer appears in the Federal Register. This information can be found online at http://bookstore.gpo.gov/. 18 CFR 33 CFR 1...... 4891 117 ...... 5184, 5185, 5186, 5398 FEDERAL REGISTER PAGES AND DATE, FEBRUARY 2...... 4891 165 ...... 4897, 4900, 5398 3...... 4891 Proposed Rules: 4885–5154...... 1 4...... 4891 100...... 5463 5155–5372...... 2 5...... 4891 117...... 5201 5373–5680...... 3 11...... 4891 165...... 5463 12...... 4891 131...... 4891 36 CFR 157...... 4891 Proposed Rules: 284...... 4891 242...... 5204 376...... 4891 380...... 4891 38 CFR 385...... 4891 17...... 5186

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39 CFR 42 CFR 280...... 5193 Proposed Rules: 281...... 5193 191...... 5472 Proposed Rules: 412...... 4908 282...... 5193 111...... 5470 413...... 4908 192...... 5472 476...... 4908 283...... 5193 195...... 5472 Proposed Rules: Proposed Rules: 40 CFR 327...... 5217 447...... 5318 50 CFR 52...... 5191, 5400 489...... 5213 47 CFR 216...... 4917 81...... 4901 2...... 4910, 5406 180...... 4903 45 CFR 218...... 4917 15...... 4910 622...... 5413 Proposed Rules: 670...... 5403 18...... 4910 648...... 5414 52 ...... 4937, 4940, 5207, 5210 1611...... 4909 97...... 5406 679...... 5389 81...... 4940 Proposed Rules: 46 CFR 141...... 5471 64...... 4948 Proposed Rules: 17...... 4973 142...... 5471 251...... 5193 49 CFR 100...... 5204 721...... 4947 252...... 5193 276...... 5193 575...... 4914 300...... 5473

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The text of laws is not H.R. 3800/P.L. 112–91 enacted public laws. To published in the Federal Airport and Airway Extension subscribe, go to http:// LIST OF PUBLIC LAWS Register but may be ordered Act of 2012 (Jan. 31, 2012) listserv.gsa.gov/archives/ in ‘‘slip law’’ (individual H.R. 3237/P.L. 112–92 publaws-l.html pamphlet) form from the SOAR Technical Corrections This is a continuing list of Superintendent of Documents, Act (Feb. 1, 2012) public bills from the current Note: This service is strictly Last List January 9, 2012 session of Congress which U.S. Government Printing for E-mail notification of new have become Federal laws. It Office, Washington, DC 20402 laws. The text of laws is not (phone, 202–512–1808). The may be used in conjunction Public Laws Electronic available through this service. with ‘‘P L U S’’ (Public Laws text will also be made PENS cannot respond to available on the Internet from Notification Service Update Service) on 202–741– specific inquiries sent to this GPO’s Federal Digital System (PENS) 6043. This list is also address. available online at http:// (FDsys) at http://www.gpo.gov/ www.archives.gov/federal- fdsys. Some laws may not yet PENS is a free electronic mail register/laws. be available. notification service of newly

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