Vol. 81 Tuesday, No. 55 March 22, 2016

Pages 15153–15416

OFFICE OF THE FEDERAL REGISTER

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The FEDERAL REGISTER (ISSN 0097–6326) is published daily, SUBSCRIPTIONS AND COPIES Monday through Friday, except official holidays, by the Office PUBLIC of the Federal Register, National Archives and Records Administration, Washington, DC 20408, under the Federal Register Subscriptions: Act (44 U.S.C. Ch. 15) and the regulations of the Administrative Paper or fiche 202–512–1800 Committee of the Federal Register (1 CFR Ch. I). The Assistance with public subscriptions 202–512–1806 Superintendent of Documents, U.S. Government Publishing Office, Washington, DC 20402 is the exclusive distributor of the official General online information 202–512–1530; 1–888–293–6498 edition. Periodicals postage is paid at Washington, DC. Single copies/back copies: The FEDERAL REGISTER provides a uniform system for making Paper or fiche 202–512–1800 available to the public regulations and legal notices issued by Assistance with public single copies 1–866–512–1800 Federal agencies. These include Presidential proclamations and (Toll-Free) Executive Orders, Federal agency documents having general FEDERAL AGENCIES applicability and legal effect, documents required to be published Subscriptions: by act of Congress, and other Federal agency documents of public interest. Assistance with Federal agency subscriptions: Documents are on file for public inspection in the Office of the Email [email protected] Federal Register the day before they are published, unless the Phone 202–741–6000 issuing agency requests earlier filing. For a list of documents currently on file for public inspection, see www.ofr.gov. The seal of the National Archives and Records Administration authenticates the Federal Register as the official serial publication established under the Federal Register Act. Under 44 U.S.C. 1507, the contents of the Federal Register shall be judicially noticed. The Federal Register is published in paper and on 24x microfiche. It is also available online at no charge at www.fdsys.gov, a service of the U.S. Government Publishing Office. The online edition of the Federal Register is issued under the authority of the Administrative Committee of the Federal Register as the official legal equivalent of the paper and microfiche editions (44 U.S.C. 4101 and 1 CFR 5.10). It is updated by 6:00 a.m. each day the Federal Register is published and includes both text and graphics from Volume 59, 1 (January 2, 1994) forward. For more information, contact the GPO Customer Contact Center, U.S. Government Publishing Office. Phone 202-512-1800 or 866-512- 1800 (toll free). E-mail, gpocusthelp.com. The annual subscription price for the Federal Register paper edition is $749 plus postage, or $808, plus postage, for a combined Federal Register, Federal Register Index and List of CFR Sections Affected (LSA) subscription; the microfiche edition of the Federal Register including the Federal Register Index and LSA is $165, plus postage. Six month subscriptions are available for one-half the annual rate. The prevailing postal rates will be applied to orders according to the delivery method requested. The price of a single copy of the daily Federal Register, including postage, is based on the number of pages: $11 for an issue containing less than 200 pages; $22 for an issue containing 200 to 400 pages; and $33 for an issue containing more than 400 pages. Single issues of the microfiche edition may be purchased for $3 per copy, including postage. Remit check or money order, made payable to the Superintendent of Documents, or charge to your GPO Deposit Account, VISA, MasterCard, American Express, or Discover. Mail to: U.S. Government Publishing Office—New Orders, P.O. Box 979050, St. Louis, MO 63197-9000; or call toll free 1-866-512-1800, DC area 202-512-1800; or go to the U.S. Government Online Bookstore site, see bookstore.gpo.gov. There are no restrictions on the republication of material appearing in the Federal Register. How To Cite This Publication: Use the volume number and the page number. Example: 81 FR 12345. Postmaster: Send address changes to the Superintendent of Documents, Federal Register, U.S. Government Publishing Office, Washington, DC 20402, along with the entire mailing label from the last issue received.

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Contents Federal Register Vol. 81, No. 55

Tuesday, March 22, 2016

Agriculture Department Drug Enforcement Administration See Animal and Plant Health Inspection Service PROPOSED RULES See Forest Service Schedules of Controlled Substances: Placement of UR–144, XLR11, and AKB48 into Schedule Animal and Plant Health Inspection Service I; Correction, 15188–15190 RULES Black Stem Rust: Education Department Additions of Rust-Resistant Species and Varieties, 15153 NOTICES Agency Information Collection Activities; Proposals, Centers for Disease Control and Prevention Submissions, and Approvals: NOTICES National Longitudinal Transition Study 2012 Phase II, Meetings: 15289–15290 Advisory Council for the Elimination of Tuberculosis, Applications for New Awards: 15305–15306 Fulbright-Hays Doctoral Dissertation Research Abroad Disease, Disability, and Injury Prevention and Control Fellowship Program, 15290–15295 Special Emphasis Panel, 15305–15309 Requests for Nominations: Energy Department Board of Scientific Counselors, National Center for See Federal Energy Regulatory Commission Environmental Health/Agency for Toxic Substances NOTICES and Disease Registry, 15308 Applications to Export Electric Energy: Tenaska Energia de Mexico, S. de R.L. de C.V., 15295 Coast Guard Design of a Consent-Based Siting Process for Nuclear Waste NOTICES Storage and Disposal Facilities: Agency Information Collection Activities; Proposals, Extension of Comment Period, 15295–15296 Submissions, and Approvals, 15323–15326 Meetings: Environmental Protection Agency National Boating Safety Advisory Council, 15324–15325 PROPOSED RULES Port Access Route Study: Air Quality State Implementation Plans; Approvals and Nantucket Sound, 15327–15328 Promulgations: Removal of Conditions of Entry on Vessels Arriving from Arizona; Infrastructure Requirements to Address the Republic of Cuba, 15326–15327 Interstate Transport for the 2008 Ozone NAAQS, Requests for Nominations: 15200–15205 National Boating Safety Advisory Council, 15326 Mississippi; Air Plan Disapprovals; Prong 42008 Ozone, 2010 NO2, SO2, and 2012 PM2.5, 15205–15210 Commerce Department See International Trade Administration Federal Aviation Administration See National Oceanic and Atmospheric Administration RULES Airworthiness Directives: Commodity Futures Trading Commission Turbomeca S.A. Turboshaft Engines, 15154–15156 NOTICES PROPOSED RULES Comparability Determination for the European Union: Airworthiness Directives: Dually-Registered Derivatives Clearing Organizations and Agusta S.p.A. Helicopters, 15171–15173 Central Counterparties, 15260–15272 NOTICES Environmental Assessments; Availability, etc.: Community Living Administration Proposed Airport Traffic Control Tower and Base NOTICES Building at Peoria International Airport, Peoria, IL, Agency Information Collection Activities; Proposals, 15400 Submissions, and Approvals: Requests to Release Airport Properties, 15400–15401 National Maltreatment Reporting System, 15309–15310 Waivers for Aeronautical Land-Use Assurances: Big Spring McMahon-Wrinkle Airport, Big Spring, TX, Defense Department 15401 NOTICES Mankato Regional Airport, Mankato, MN, 15399–15400 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Federal Communications Commission Bid Guarantees, Performance and Payment Bonds, and PROPOSED RULES Alternative Payment Protections, 15304–15305 Radio Broadcasting Services: Contractors Performing Private Security Functions Maryville, MO, 15216–15217 Outside the United States, 15303–15304 Unlicensed White Space Devices, 15210–15216 Drug–Free Workplace, 15303 Manual for Courts-Martial; Amendments to Part IV Federal Energy Regulatory Commission Discussion and Appendix 22, 15278–15289 RULES Manual for Courts-Martial; Proposed Amendments, 15272– Standards for Business Practices of Interstate Natural Gas 15278 Pipelines; Correction, 15156–15159

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NOTICES Forest Service Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 15300–15302 Environmental Impact Statements; Availability, etc.: Applications: Shasta-Trinity National Forest; California; Lower Grand River Dam Authority, 15296–15297 McCloud Fuels Management, 15220–15222 Combined Filings, 15297–15300 General Services Administration Federal Motor Carrier Safety Administration NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Hours of Service of Drivers; Parts and Accessories: Submissions, and Approvals: ArcelorMittal Indiana Harbor, LLC; Application for Bid Guarantees, Performance and Payment Bonds, and Exemptions, 15217–15219 Alternative Payment Protections, 15304–15305 NOTICES Contractors Performing Private Security Functions Qualification of Drivers; Exemption Applications: Outside the United States, 15303–15304 Vision, 15401–15406 Drug-Free Workplace, 15303

Federal Reserve System Health and Human Services Department NOTICES See Centers for Disease Control and Prevention Changes in Bank Control: See Community Living Administration Acquisitions of Shares of a Bank or Bank Holding See Food and Drug Administration Company, 15302–15303 See Indian Health Service Formations of, Acquisitions by, and Mergers of Bank See National Institutes of Health Holding Companies, 15302 Homeland Security Department Federal Transit Administration See Coast Guard NOTICES See U.S. Citizenship and Immigration Services Buy American Waivers: See U.S. Customs and Border Protection Ductless Mini-Split System Air Conditioning Systems, 15409–15410 Fall Arrest System, 15411–15413 Indian Health Service Radio Communications System, 15410–15411 NOTICES Special Trackwork Turnout Switch Components, 15406– Agency Information Collection Activities; Proposals, 15407 Submissions, and Approvals: Steel Excavator with a Continuous Wield Platform, Indian Health Service Forms to Implement the Privacy 15407–15408 Rule, 15347–15348

Fish and Wildlife Service Interior Department NOTICES See Fish and Wildlife Service Endangered and Threatened Species: See Land Management Bureau Receipt of Application for an Incidental Take Permit; See Ocean Energy Management Bureau Availability of Low-Effect Habitat Conservation Plan and Associated Documents; Polk County, FL, 15346– Internal Revenue Service 15347 RULES Endangered and Threatened Wildlife and Plants: Indirect Stock Transfers and the Coordination Rule Receipt of Application for an Incidental Take Permit; Expectation: Availability of Low-Effect Habitat Conservation Plan Transfers of Stock or Securities in Outbound Asset and Associated Documents; Osceola County, FL, Reorganizations, 15159–15170 15345–15346 NOTICES Tax Design Challenge; Requirements and Procedures, Food and Drug Administration 15413–15414 PROPOSED RULES Banned Devices: International Trade Administration Powdered Surgeon’s Gloves, Powdered Patient NOTICES Examination Gloves, and Absorbable Powder for Affirmative Preliminary Determination of Sales at Less Lubricating a Surgeon’s Glove, 15173–15188 Than Fair Value and Postponement of Final Color Additive Petitions: Determination: Milton W. Chu, M.D., 15173 Certain Hot-Rolled Steel Flat Products from the Republic NOTICES of Korea, 15228–15231 Guidance: Antidumping or Countervailing Duty Investigations, Orders, Assessment of Radiofrequency-Induced Heating in the or Reviews: Magnetic Resonance Environment for Multi- Aluminum Extrusions from the People’s Republic of Configuration Passive Medical Devices, 15310–15311 China, 15238–15240 Meetings: Certain Hot-Rolled Steel Flat Products from Japan, 2016 Parenteral Drug Association/Food and Drug 15222–15225 Administration Joint Conference: Aligning Xanthan Gum from the People’s Republic of China; Manufacturing Goals with Patient Needs through Preliminary Rescission of 2014–2015; New Shipper Successful Innovation and Compliance, 15311–15313 Review, 15240–15241

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Preliminary Determination of Sales at Less Than Fair Value National Oceanic and Atmospheric Administration and Postponement of Final Determination: NOTICES Certain Hot-Rolled Steel Flat Products from Australia, Applications: 15241–15244 Marine Mammals; File No. 19706, 15248 Sales at Less Than Fair Value: Meetings: Certain Hot-Rolled Steel Flat Products from Brazil, Mid-Atlantic Fishery Management Council, 15247–15248 15235–15238 National Essential Fish Habitat Summi, 15248–15249 Certain Hot-Rolled Steel Flat Products from the Takes of Marine Mammals Incidental to Specified Netherlands, 15225–15228 Activities: Certain Hot-Rolled Steel Flat Products from the United Seabird Research Activities in Central California, 2016– Kingdom, 15244–15247 2017, 15249–15260 Certain Hot-Rolled Steel Flat Products from Turkey, 15231–15234 Nuclear Regulatory Commission RULES Justice Department List of Approved Spent Fuel Storage Casks: See Drug Enforcement Administration Holtec International HI–STORM 100 Cask System; NOTICES Amendment No. 9, Revision 1, 15153–15154 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Fees Development and Communications, 15352–15353 Annual Reporting for Manufacturers of Listed Chemicals, Meetings: 15351–15352 Advisory Committee on Reactor Safeguards, 15354–15355 Community Policing Self-Assessment, 15350 Meetings; Sunshine Act, 15355 Return A—Monthly Return of Offenses Known to Police Ocean Energy Management Bureau and Supplement to Return A—Monthly Return of Offenses Known to Police, 15350–15351 PROPOSED RULES Negotiated Noncompetitive Leasing for the Use of Sand, Gravel and Shell Resources on the Outer Continental Land Management Bureau Shelf, 15190–15200 NOTICES Meetings: Office of Government Information Services Nevada Resource Advisory Councils, 15349 NOTICES Twin Falls District Resource Advisory Council, Idaho, Requests for Nominations: 15349 FOIA Advisory Committee, 15352 Plats of Surveys: Oregon/Washington, 15348–15349 Postal Regulatory Commission NOTICES National Aeronautics and Space Administration New Postal Products, 15355–15357 NOTICES Agency Information Collection Activities; Proposals, Postal Service Submissions, and Approvals: NOTICES Bid Guarantees, Performance and Payment Bonds, and International Product Changes: Alternative Payment Protections, 15304–15305 Global Expedited Package Services—Non-Published Contractors Performing Private Security Functions Rates, 15357 Outside the United States, 15303–15304 Drug-Free Workplace, 15303 Securities and Exchange Commission NOTICES Agency Information Collection Activities; Proposals, National Archives and Records Administration Submissions, and Approvals, 15357–15358 See Office of Government Information Services Applications: Principal Life Insurance Co., et al., 15360–15363, 15384– National Institutes of Health 15387 NOTICES Meetings; Sunshine Act, 15360 Agency Information Collection Activities; Proposals, Orders: Submissions, and Approvals: First Trust Dorsey Wright Dynamic Focus 5 ETF; Limited Cancer Genomics Cloud Pilots Survey, 15314–15315 Exemptions from Exchange Act Rules, 15382–15384 Office of the Director, National Institutes of Health, 15322 Self-Regulatory Organizations; Proposed Rule Changes: Exclusive License Approvals: BATS Exchange, Inc., 15387–15394 Development and Commercialization of Cancer NASDAQ Stock Market, LLC, 15358–15360 Immunotherapy, 15313–15314 Nasdaq Stock Market, LLC, 15394–15396 Guidelines for Research Involving Recombinant or New York Stock Exchange, LLC, 15363–15366, 15371– Synthetic Nucleic Acid Molecules, 15315–15322 15375 Meetings: NYSE Arca, Inc., 15378–15382 Center for Scientific Review, 15322–15323 NYSE MKT, LLC, 15366–15371, 15375–15378 National Cancer Institute, 15315 National Institute of Diabetes and Digestive and Kidney Small Business Administration Diseases, 15314 NOTICES National Institute of Environmental Health Sciences, Agency Information Collection Activities; Proposals, 15313 Submissions, and Approvals, 15396–15397

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Disaster Declarations: U.S. Citizenship and Immigration Services Louisiana, 15397–15398 NOTICES New Jersey, 15397 Temporary Protected Status Extension: Texas, 15397 Guinea, 15339–15345 Liberia, 15328–15334 Susquehanna River Basin Commission Sierra Leone, 15334–15339 NOTICES Meetings: U.S. Customs and Border Protection Actions Taken, 15398–15399 RULES Transportation Department Bond Program; Correction, 15159 See Federal Aviation Administration See Federal Motor Carrier Safety Administration See Federal Transit Administration Reader Aids NOTICES Consult the Reader Aids section at the end of this issue for Increase in Civil Penalty for Violations of National Traffic phone numbers, online resources, finding aids, and notice and Motor Vehicle Safety Act, 15413 of recently enacted public laws. Treasury Department To subscribe to the Federal Register Table of Contents See Internal Revenue Service LISTSERV electronic mailing list, go to http:// NOTICES listserv.access.gpo.gov and select Online mailing list Agency Information Collection Activities; Proposals, archives, FEDREGTOC-L, Join or leave the list (or change Submissions, and Approvals, 15415 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

7 CFR 301...... 15153 10 CFR 72...... 15153 14 CFR 39...... 15154 Proposed Rules: 39...... 15171 18 CFR 157...... 15156 19 CFR 113...... 15159 21 CFR Proposed Rules: 73...... 15173 74...... 15173 878...... 15173 880...... 15173 895...... 15173 1308...... 15188 26 CFR 1...... 15159 30 CFR Proposed Rules: 583...... 15190 40 CFR Proposed Rules: 52 (2 documents) ...... 15200, 15205 47 CFR Proposed Rules: 15...... 15210 73...... 15216 49 CFR Proposed Rules: 393...... 15217 395...... 15217

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Rules and Regulations Federal Register Vol. 81, No. 55

Tuesday, March 22, 2016

This section of the FEDERAL REGISTER CFR 301.38 through 301.38–8 (referred Thus, considerations regarding the contains regulatory documents having general to below as the regulations), quarantine potential invasiveness of the Berberis applicability and legal effect, most of which the conterminous 48 States and the spp. plants themselves are outside the are keyed to and codified in the Code of District of Columbia and govern the scope of this rulemaking. Therefore, for Federal Regulations, which is published under interstate movement of certain plants of the reasons given in the direct final rule, 50 titles pursuant to 44 U.S.C. 1510. the genera Berberis, Mahoberberis, and we are confirming the effective date as The Code of Federal Regulations is sold by Mahonia, known as barberry plants. The March 22, 2016. the Superintendent of Documents. Prices of species of these plants are categorized as Authority: 7 U.S.C. 7701–7772 and 7781– new books are listed in the first FEDERAL either rust-resistant or rust-susceptible. 7786; 7 CFR 2.22, 2.80, and 371.3. REGISTER issue of each week. Rust-resistant plants do not pose a risk Section 301.75–15 issued under Sec. 204, of spreading black stem rust or of Title II, Pub. L. 106–113, 113 Stat. 1501A– contributing to the development of new 293; sections 301.75–15 and 301.75–16 DEPARTMENT OF AGRICULTURE races of the rust; rust-susceptible plants issued under Sec. 203, Title II, Pub. L. 106– do pose such risks. 224, 114 Stat. 400 (7 U.S.C. 1421 note). Animal and Plant Health Inspection On January 22, 2016, the Animal and Done in Washington, DC, this 16th day of Service Plant Health Inspection Service (APHIS) March 2016. published in the Federal Register (81 Kevin Shea, 7 CFR Part 301 FR 3701–3702) 1 a direct final rule to Administrator, Animal and Plant Health [Docket No. APHIS–2015–0079] add the following B. thunbergii varieties Inspection Service. to the list of rust-resistant Berberis [FR Doc. 2016–06476 Filed 3–21–16; 8:45 am] Black Stem Rust; Additions of Rust- species in § 301.38–2(a)(1): BILLING CODE 3410–34–P Resistant Species and Varieties • B. thunbergii ‘BailAnna’ Moscato; • B. thunbergii ‘BailElla’ Lambrusco; AGENCY: Animal and Plant Health • B. thunbergii ‘Daybreak’; Inspection Service, USDA. • NUCLEAR REGULATORY B. thunbergii ‘BailErin’ Limoncello; COMMISSION ACTION: Direct final rule; confirmation of • B. thunbergii ‘BailJulia’ Toscana; effective date. • B. thunbergii ‘NCBT1’; • 10 CFR Part 72 SUMMARY: B. thunbergii x calliantha ‘NCBX3’; On January 22, 2016, the • [NRC–2015–0156] Animal and Plant Health Inspection B. thunbergii x media ‘NCBX1’; and • B. thunbergii x media ‘NCBX2’. Service published a direct final rule. RIN 3150–AJ63 We solicited comments on the rule for The direct final rule notified the public 30 days ending February 22, 2016, and of our intention to amend the black stem List of Approved Spent Fuel Storage indicated that, if we received written rust quarantine and regulations by Casks: Holtec International HI–STORM adverse comments or written notice of adding nine varieties to the list of rust- 100 Cask System; Amendment No. 9, resistant Berberis species and varieties. intent to submit adverse comments, we Revision 1 would publish a document in the We received two comments, which are AGENCY: Nuclear Regulatory addressed in this document. Federal Register withdrawing the direct final rule before the effective date. Commission. DATES: The effective date of the direct We received two comments by that ACTION: Direct final rule; confirmation of final rule published January 22, 2016, at date. One commenter fully supported effective date. 81 FR 3701, is confirmed as March 22, the rule. The other commenter stated SUMMARY: The U.S. Nuclear Regulatory 2016. that the rule should not be promulgated Commission (NRC) is confirming the FOR FURTHER INFORMATION CONTACT: Dr. because it promoted interstate effective date of March 21, 2016, for the Richard N. Johnson, National Policy commerce of Berberis plants, which are direct final rule that was published in Manager, Black Stem Rust, Pest considered an invasive species in the the Federal Register on January 6, 2016. Management, PHP, PPQ, APHIS, 4700 Midwest and Eastern United States. This direct final rule amended spent River Road Unit 26, Riverdale, MD However, the only supporting fuel storage regulations by revising the 20737–1231; (301) 851–2109. information that the commenter Holtec International HI–STORM 100 SUPPLEMENTARY INFORMATION: Black provided was a Web site link to a page Cask System listing within the ‘‘List of stem rust is one of the most destructive related to varieties of Berberis in the approved spent fuel storage casks’’ to plant diseases of small grains that is natural environment, and not the include Amendment No. 9, Revision 1, known to exist in the United States. The commercially produced and marketed to Certificate of Compliance No. 1014. disease is caused by a fungus (Puccinia cultivars that were the subject of the Amendment No. 9, Revision 1, changes graminis) that reduces the quality and rule. Moreover, APHIS’ restrictions on cooling time limits for thimble plug yield of infected wheat, oat, barley, and the interstate movement of Berberis spp. devices, removes certain testing rye crops. In addition to infecting small plants are imposed to ensure that those requirements for the fabrication of grains, the fungus lives on a variety of plants do not pose a risk of spreading Metamic HT neutron-absorbing alternate host plants that are species of black stem rust or contributing to the structural material, and reduces certain the genera Berberis, Mahoberberis, and development of new races of the rust. Mahonia. The fungus is spread from minimum guaranteed values used in host to host by windborne spores. 1 To view the direct final rule and the comments bounding calculations for this material. The black stem rust quarantine and received, go to http://www.regulations.gov/ Amendment No. 9, Revision 1, also regulations, which are contained in 7 #!docketDetail;D=APHIS-2015-0079. changes fuel definitions to classify

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certain boiling water reactor fuel within specified guidelines as undamaged fuel. • Hand Delivery: Deliver to Mail specified guidelines as undamaged fuel. In the direct final rule, the NRC stated address above between 9 a.m. and 5 DATES: Effective date: The effective date that if no significant adverse comments p.m., Monday through Friday, except of March 21, 2016, for the direct final were received, the direct final rule Federal holidays. rule published January 6, 2016 (81 FR would become effective on March 21, • Fax: 202–493–2251. 371), is confirmed. 2016. The NRC did not receive any For service information identified in ADDRESSES: Please refer to Docket ID comments on the direct final rule. this AD, contact Turbomeca S.A., 40220 NRC–2015–0156 when contacting the Therefore, this direct final rule will Tarnos, France; phone: 33 0 5 59 74 40 NRC about the availability of become effective as scheduled. 00; telex: 570 042; fax: 33 0 5 59 74 45 information for this action. You may Dated at Rockville, Maryland, this 17th day 16. You may view this service obtain publicly-available information of March, 2016. information at the FAA, Engine & related to this action by any of the For the Nuclear Regulatory Commission. Propeller Directorate, 1200 District following methods: Leslie Terry, Avenue, Burlington, MA 01803. For • information on the availability of this Federal Rulemaking Web site: Go to Acting Chief, Rules, Announcements, and http://www.regulations.gov and search Directives Branch, Division of Administrative material at the FAA, call 781–238–7125. for Docket ID NRC–2015–0156. Address Services, Office of Administration. It is also available on the Internet at http://www.regulations.gov by searching questions about NRC dockets to Carol [FR Doc. 2016–06392 Filed 3–21–16; 8:45 am] for and locating Docket No. FAA–2016– Gallagher; telephone: 301–415–3463; BILLING CODE 7590–01–P email: [email protected]. For 2701. technical questions, contact the Examining the AD Docket individual listed in the FOR FURTHER DEPARTMENT OF TRANSPORTATION INFORMATION CONTACT section of this You may examine the AD docket on the Internet at http:// document. Federal Aviation Administration • NRC’s Agencywide Documents www.regulations.gov by searching for and locating Docket No. FAA–2016– Access and Management System 14 CFR Part 39 (ADAMS): You may obtain publicly- 2701; or in person at the Docket available documents online in the [Docket No. FAA–2016–2701; Directorate Operations office between 9 a.m. and 5 ADAMS Public Documents collection at Identifier 2016–NE–03–AD; Amendment p.m., Monday through Friday, except http://www.nrc.gov/reading-rm/ 39–18440; AD 2016–06–09] Federal holidays. The AD docket adams.html. To begin the search, select RIN 2120–AA64 contains this AD, the mandatory ‘‘ADAMS Public Documents’’ and then continuing airworthiness information select ‘‘Begin Web-based ADAMS Airworthiness Directives; Turbomeca (MCAI), regulatory evaluation, any Search.’’ For problems with ADAMS, S.A. Turboshaft Engines comments received, and other please contact the NRC’s Public information. The address for the Docket Document Room (PDR) reference staff at AGENCY: Federal Aviation Office (phone: 800–647–5527) is in the 1–800–397–4209, 301–415–4737, or by Administration (FAA), DOT. ADDRESSES section. Comments will be email to [email protected]. ACTION: Final rule; request for available in the AD docket shortly after • NRC’s PDR: You may examine and comments. receipt. purchase copies of public documents at FOR FURTHER INFORMATION CONTACT: SUMMARY: We are adopting a new the NRC’s PDR, Room O1–F21, One Besian Luga, Aerospace Engineer, airworthiness directive (AD) for certain White Flint North, 11555 Rockville Engine Certification Office, FAA, Engine Turbomeca S.A. Makila 2A and 2A1 Pike, Rockville, Maryland 20852. & Propeller Directorate, 1200 District turboshaft engines. This AD requires FOR FURTHER INFORMATION CONTACT: Avenue, Burlington, MA 01803; phone: tightening the nut attaching the swivel Robert D. MacDougall, Office of Nuclear 781–238–7750; fax: 781–238–7199; union to the engine power turbine Material Safety and Safeguards, U.S. email: [email protected]. module M04. This AD was prompted by Nuclear Regulatory Commission, two occurrences of commanded in-flight SUPPLEMENTARY INFORMATION: Washington, DC 20555–0001; telephone: shutdown following low oil pressure 301–415–5175; email: Comments Invited warning. We are issuing this AD to [email protected]. prevent loosening of the nut and oil This AD is a final rule that involves SUPPLEMENTARY INFORMATION: On leakage from the low-pressure oil requirements affecting flight safety, and January 6, 2016 (81 FR 371), the NRC system, which could lead to in-flight we did not precede it by notice and published a direct final rule amending shutdown of the engine and forced opportunity for public comment. We its regulations in part 72 of title 10 of landing. invite you to send any written relevant the Code of Federal Regulations to data, views, or arguments about this AD. include Amendment No. 9, Revision 1, DATES: This AD becomes effective April Send your comments to an address of Certificate of Compliance No. 1014 6, 2016. listed under the ADDRESSES section. for the HI–STORM 100 Cask System. We must receive comments on this Include ‘‘Docket No. FAA–2016–2701; Amendment No. 9, Revision 1, changes AD by May 6, 2016. Directorate Identifier 2016–NE–03–AD’’ cooling time limits for thimble plug ADDRESSES: You may send comments by at the beginning of your comments. We devices, removes certain testing any of the following methods: specifically invite comments on the requirements for the fabrication of • Federal eRulemaking Portal: Go to overall regulatory, economic, Metamic HT neutron-absorbing http://www.regulations.gov. Follow the environmental, and energy aspects of structural material, and reduces certain instructions for submitting comments. this AD. We will consider all comments minimum guaranteed values used in • Mail: U.S. Department of received by the closing date and may bounding calculations for this material. Transportation, 1200 New Jersey amend this AD because of those Amendment No. 9, Revision 1, also Avenue SE., West Building Ground comments. changes fuel definitions to classify Floor, Room W12–140, Washington, DC We will post all comments we certain boiling water reactor fuel within 20590–0001. receive, without change, to http://

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www.regulations.gov, including any identified in the ADDRESSES section of (2) Is not a ‘‘significant rule’’ under personal information you provide. We this document. the DOT Regulatory Policies and will also post a report summarizing each Procedures (44 FR 11034, February 26, FAA’s Determination of the Effective substantive verbal contact with FAA 1979), Date personnel concerning this AD. (3) Will not affect intrastate aviation An unsafe condition exists that in Alaska to the extent that it justifies Discussion requires the immediate adoption of this making a regulatory distinction, and The European Aviation Safety Agency AD. The FAA has found that the risk to (4) Will not have a significant (EASA), which is the Technical Agent the flying public justifies waiving notice economic impact, positive or negative, for the Member States of the European and comment prior to adoption of this on a substantial number of small entities Community, has issued EASA AD 2016– rule because operators are required to under the criteria of the Regulatory 0016, dated January 15, 2016 (referred to take action with 7 days or 30 engine Flexibility Act. hereinafter as ‘‘the MCAI’’), to correct an hours after the effective date of this AD. List of Subjects in 14 CFR Part 39 unsafe condition for the specified Therefore, we find that notice and products. The MCAI states: opportunity for prior public comment Air transportation, Aircraft, Aviation safety, Incorporation by reference, Two occurrences of commanded in-flight are impracticable and that good cause shut down following low oil pressure exists for making this amendment Safety. warning were reported. In both cases the nut effective in less than 30 days. Adoption of the Amendment attaching the swivel union to the power turbine module 04 was found completely Costs of Compliance Accordingly, under the authority loose. After further investigation, it was We estimate that this AD affects 10 delegated to me by the Administrator, determined that the application of engines installed on airplanes of U.S. the FAA amends 14 CFR part 39 as Turbomeca Service Bulletin (SB) No. 298 79 registry. We also estimate that it will follows: 2831 may have led to incorrect torque take about 1 hour per engine to comply PART 39—AIRWORTHINESS application or loosening of the nut. with this AD. The average labor rate is DIRECTIVES Turbomeca S.A. has issued Alert $85 per hour. No additional parts are Mandatory Service Bulletin No. A298 79 required. Based on these figures, we ■ 1. The authority citation for part 39 2835, Version A, dated January 14, estimate the total cost of the AD to U.S. continues to read as follows: 2016, to provide guidance to assist operators to be $850. operators in resolving this unsafe Authority: 49 U.S.C. 106(g), 40113, 44701. Authority for This Rulemaking condition. You may obtain further § 39.13 [Amended] information by examining the MCAI in Title 49 of the United States Code ■ 2. The FAA amends § 39.13 by adding the AD docket on the Internet at http:// specifies the FAA’s authority to issue the following new airworthiness www.regulations.gov by searching for rules on aviation safety. Subtitle I, directive (AD): and locating Docket No. FAA–2016– section 106, describes the authority of 2701. the FAA Administrator. ‘‘Subtitle VII: 2016–06–09 Turbomeca S.A.: Amendment 39–18440; Docket No. FAA–2016–2701; Aviation Programs,’’ describes in more FAA’s Determination and Requirements Directorate Identifier 2016–NE–03–AD. detail the scope of the Agency’s of This AD authority. (a) Effective Date This product has been approved by We are issuing this rulemaking under This AD is effective April 6, 2016. the aviation authority of France and is the authority described in ‘‘Subtitle VII, (b) Affected ADs approved for operation in the United Part A, Subpart III, Section 44701: States. Pursuant to our bilateral General requirements.’’ Under that None. agreement with the European section, Congress charges the FAA with (c) Applicability Community, EASA has notified us of promoting safe flight of civil aircraft in This AD applies to all Turbomeca S.A. the unsafe condition described in the air commerce by prescribing regulations Makila 2A and 2A1 turboshaft engines that MCAI and service information for practices, methods, and procedures have incorporated Turbomeca S.A. Service referenced above. We are issuing this the Administrator finds necessary for Bulletin No. 298 79 2831, Version B, dated AD because we evaluated all safety in air commerce. This regulation November 13, 2015, or earlier. information provided by EASA and is within the scope of that authority (d) Reason determined the unsafe condition exists because it addresses an unsafe condition This AD was prompted by two occurrences and is likely to exist or develop on other that is likely to exist or develop on of in-flight shutdowns as a result of the nut, products of the same type design. This products identified in this rulemaking attaching the swivel union to the power AD requires tightening the nut attaching action. turbine module M04, coming loose. We are the swivel union to the engine power issuing this AD to prevent loosening of the turbine module M04. Regulatory Findings nut, and oil leakage from the low pressure oil We determined that this AD will not system, which could lead to in-flight Related Service Information have federalism implications under shutdown of the engine and forced landing. Turbomeca S.A. has issued Alert Executive Order 13132. This AD will (e) Actions and Compliance Mandatory Service Bulletin No. A298 79 not have a substantial direct effect on Comply with this AD within the 2835, Version A, dated January 14, the States, on the relationship between compliance times specified, unless already 2016. The service information describes the national government and the States, done. procedures for tightening the nut or on the distribution of power and (1) Within 30 engine hours or 7 days after attaching the swivel union to the engine responsibilities among the various the effective date of this AD, whichever power turbine module (M04). This occurs first, apply 15 Newton-meters torque levels of government. to the nut, part number 9560130990, service information is reasonably For the reasons discussed above, I attaching the swivel union to the engine available because the interested parties certify this AD: power turbine module M04. Use a backup have access to it through their normal (1) Is not a ‘‘significant regulatory wrench to prevent the swivel union from course of business or by the means action’’ under Executive Order 12866, rotating.

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(f) Alternative Methods of Compliance instruction error and reinstate the on and all limitations, if any, including (AMOCs) regulations describing the exhibits expiration dates and renewal The Manager, Engine Certification Office, required to be attached to each obligations. A conformed copy of FAA, may approve AMOCs for this AD. Use certificate application by interstate applicant’s authorization to do business the procedures found in 14 CFR 39.19 to natural gas pipelines. This document in each State affected shall be supplied make your request. You may email your corrects that omission. upon request. request to: [email protected]. DATES: Effective March 22, 2016. (3) Exhibit C—Company officials. A list of the names and business addresses (g) Related Information FOR FURTHER INFORMATION CONTACT: Gary of applicant’s officers and directors, or (1) For more information about this AD, D. Cohen (legal issues), Office of the similar officials if applicant is not a contact Besian Luga, Aerospace Engineer, General Counsel, Federal Energy Engine Certification Office, FAA, Engine & corporation. Regulatory Commission, 888 First Street (4) Exhibit D—Subsidiaries and Propeller Directorate, 1200 District Avenue, NE., Washington, DC 20426, Telephone: Burlington, MA 01803; phone: 781–238– affiliation. If applicant or any of its 7750; fax: 781–238–7199; email: (202) 502–8321, Email: gary.cohen@ officers or directors, directly or [email protected]. ferc.gov. indirectly, owns, controls, or holds with (2) Refer to MCAI European Aviation SUPPLEMENTARY INFORMATION: The power to vote, 10 percent or more of the Safety Agency AD 2016–0016, dated January Commission published a document in outstanding voting securities of any 15, 2016, for more information. You may the Federal Register on Monday, other person or organized group of examine the MCAI in the AD docket on the Internet at http://www.regulations.gov by November 2, 2015 (80 FR 67302), that persons engaged in production, searching for and locating it in Docket No. omitted a portion of 18 CFR 157.14(a) transportation, distribution, or sale of FAA–2016–2701. describing the exhibits required to be natural gas, or of any person or (3) Turbomeca S.A. Alert Mandatory submitted in certificate applications by organized group of persons engaged in Service Bulletin No. A298 79 2835, Version interstate natural gas pipelines. This the construction or financing of such A, dated January 14, 2016, which is not correction restores that text to the enterprises or operations, a detailed incorporated by reference in this AD, can be regulation. In addition, due to style explanation of each such relationship, obtained from Turbomeca S.A., using the requirements, 18 CFR 157.14(a)(6–a) has including the percentage of voting contact information in paragraph (g)(4) of this been redesignated as 157.14(a)(7) and strength represented by such ownership AD. of securities. If any person or organized (4) For service information identified in subsequent provisions have been this AD, contact Turbomeca S.A., 40220 redesignated accordingly. group of persons, directly or indirectly, owns, controls, or holds with power to Tarnos, France; phone: 33 0 5 59 74 40 00; List of Subjects in 18 CFR Part 157 telex: 570 042; fax: 33 0 5 59 74 45 16. vote, 10 percent or more of the (5) You may view this service information Natural gas, Reporting and outstanding voting securities of at the FAA, Engine & Propeller Directorate, recordkeeping requirements. applicant—a detailed explanation of 1200 District Avenue, Burlington, MA 01803. Dated: March 14, 2016. each such relationship. For information on the availability of this (5) Exhibit E—Other pending material at the FAA, call 781–238–7125. Nathaniel J. Davis, Sr., applications and filings. A list of other Deputy Secretary. (h) Material Incorporated by Reference applications and filings under sections In consideration of the foregoing, the 1, 3, 4 and 7 of the Natural Gas Act filed None. Commission amends part 157, chapter I, by the applicant which are pending Issued in Burlington, Massachusetts, on title 18, Code of Federal Regulations, as before the Commission at the time of the March 14, 2016. follows. filing of an application and which Ann C. Mollica, directly and significantly affect the Acting Manager, Engine & Propeller PART 157—APPLICATIONS FOR application filed, including an Directorate, Aircraft Certification Service. CERTIFICATES OF PUBLIC explanation of any material effect the [FR Doc. 2016–06372 Filed 3–21–16; 8:45 am] CONVENIENCE AND NECESSITY AND grant or denial of those other BILLING CODE 4910–13–P FOR ORDERS PERMITTING AND applications and filings will have on the APPROVING ABANDONMENT UNDER application and of any material effect SECTION 7 OF THE NATURAL GAS the grant or denial of the application DEPARTMENT OF ENERGY ACT will have on those other applications ■ and filings. Federal Energy Regulatory 1. The authority citation for part 157 (6) Exhibit F—Location of facilities. Commission continues to read as follows: Unless shown on Exhibit G or Authority: 15 U.S.C. 717–717z. elsewhere, a geographical map of 18 CFR Part 157 ■ 2. Section 157.14 is amended by suitable scale and detail showing, and appropriately differentiating between all [Docket No. RM96–1–038] adding paragraphs (a)(1) through (19) to read as follows: of the facilities proposed to be constructed, acquired or abandoned and Standards for Business Practices of § 157.14 Exhibits. Interstate Natural Gas Pipelines; existing facilities of applicant, the Correction (a) * * * operation or capacity of which will be (1) Exhibit A—Articles of directly affected by the proposed AGENCY: Federal Energy Regulatory incorporation and bylaws. If applicant is facilities or the facilities proposed to be Commission. not an individual, a conformed copy of abandoned. This map, or an additional ACTION: Correcting amendments. its articles of incorporation and bylaws, map, shall clearly show the relationship or other similar documents. of the new facilities to the applicant’s SUMMARY: This document contains (2) Exhibit B—State authorization. For overall system and shall include: corrections to the final rule that was each State where applicant is authorized (i) Location, length, and size of published in the Federal Register on to do business, a statement showing the pipelines. Monday, November 2, 2015 (Order No. date of authorization, the scope of the (ii) Location and size (rated 587–W). These revisions correct an business applicant is authorized to carry horsepower) of compressor stations.

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(iii) Location and designation of each the horsepower, pipelines, or other (i) Those production areas accessible point of connection of existing and facilities on the segment of applicant’s to the proposed construction that proposed facilities with: system under consideration are not contain sufficient existing or potential (A) Main-line industrial customers, being fully utilized due, e.g., to capacity gas supplies for the proposed project; gas pipeline or distribution systems, limitation of connecting facilities or and showing towns and communities served because of the need for standby or spare (ii) How those production areas are and to be served at wholesale and retail, equipment, the reason for such connected to the proposed construction. and nonutilization shall be stated. (12) Exhibit I—Market data. A system- (B) Gas-producing and storage fields, (10) Exhibit G–II—Flow diagram data. wide estimate of the volumes of gas to or other sources of gas supply. Exhibits G and G–I shall be be delivered during each of the first 3 (7) Exhibit F–I—Environmental report. accompanied by a statement of full years of operation of the proposed An environmental report as specified in engineering design data in explanation service, sale, or facilities and during the §§ 380.3 and 380.12 of this chapter. and support of the diagrams and the years when the proposed facilities are Applicant must submit all appropriate proposed project, setting forth: under construction, and actual data of revisions to Exhibit F–I whenever route (i) Assumptions, bases, formulae, and like import for each of the 3 years next or site changes are filed. These revisions methods used in the development and preceding the filing of the application, should identify the locations by mile preparation of such diagrams and together with: post and describe all other specific accompanying data. (i) Names and locations of customer (ii) A description of the pipe and differences resulting from the route or companies and municipalities, showing fittings to be installed, specifying the site changes, and should not simply the number of residential, commercial, diameter, wall thickness, yield point, provide revised totals for the resources firm industrial, interruptible industrial, ultimate tensile strength, method of affected. residential space-heating, commercial (8) Exhibit G—Flow diagrams showing fabrication, and methods of testing space-heating, and other types of daily design capacity and reflecting proposed. customers for each distribution system operation with and without proposed (iii) When lines are looped, the length to be served at retail or wholesale; and facilities added. A flow diagram and size of the pipe in each loop. the names and locations of each firm showing daily design capacity and (iv) Type, capacity, and location of and interruptible direct industrial reflecting operating conditions with each natural gas storage field or facility, customer whose estimated consumption only existing facilities in operation. A and of each dehydration, totals 10,000 Mcf or more in any second flow diagram showing daily desulphurization, natural gas calendar month or 100,000 Mcf or more design capacity and reflecting operating liquefaction, hydrocarbon extraction, or per year together with an explanation of conditions with both proposed and other similar plant or facility directly the end use to which each of these existing facilities in operation. Both attached to the applicant’s system, industrial customers will put the gas. flow diagrams shall include the indicating which of such plants are (ii) Applicant’s total annual and peak following for the portion of the system owned or operated by applicant, and day gas requirements by classification of affected: which by others, giving their names and (i) Diameter, wall thickness, and addresses. service in paragraph (a)(11)(i) of this length of pipe installed and proposed to (v) If the daily design capacity shown section, divided as follows: Gas be installed and the diameter and wall in Exhibit G is predicated upon an requirements for each distribution area thickness of the installed pipe to which ability to meet each customer’s where gas is sold by applicant at retail; connection is proposed. maximum contract quantity on the same for each wholesale customer; for all (ii) For each proposed new day, explain the reason for such main line direct industrial customers; compressor station and existing station, coincidental peak-day design. If the and company use and unaccounted-for the size, type and number of compressor design day capacity shown in Exhibit G gas, for both the applicant and each units, horsepower required, horsepower is predicated upon an assumed diversity wholesale customer. installed and proposed to be installed, factor, state that factor and explain its (iii) Total past and expected volume of gas to be used as fuel, suction derivation. curtailments of service by the applicant and discharge pressures, and (vi) The maximum allowable and each wholesale customer proposing compression ratio. operating pressure of each proposed to receive new or additional supplies of (iii) Pressures and volumes of gas at facility for which a certificate is gas from the project, all to be listed by the main line inlet and outlet requested, as permitted by the the classifications of service in connections at each compressor station. Department of Transportation’s safety paragraph (a)(12)(i) of this section. (iv) Pressures and volumes of gas at standards. The applicant shall certify (iv) Explanation and derivation of each intake and take-off point and at the that it will design, install, inspect, test, basic factors used in estimating future beginning and terminus of the existing construct, operate, replace, and requirements, including, for example: and proposed facilities and at the intake maintain the facilities for which a Peak-day and annual degree-day or take-off point of the existing facilities certificate is requested in accordance deficiencies, annual load factors of to which the proposed facilities are to with Federal safety standards and plans applicant’s system and of its deliveries be connected. for maintenance and inspection or shall to its proposed customers; individual (9) Exhibit G–I—Flow diagrams certify that it has been granted a waiver consumer peak-day and annual reflecting maximum capabilities. If of the requirements of the safety consumption factors for each class of Exhibit G does not reflect the maximum standards by the Department of consumers, with supporting historical deliveries which applicant’s existing Transportation in accordance with the data; forecasted saturation of space- and proposed facilities would be provisions of section 3(e) of the Natural heating as related to past experience; capable of achieving under most Gas Pipeline Safety Act of 1968. and full detail as to all other sources of favorable operating conditions with Pertinent details concerning the waiver gas supply available to applicant and to utilization of all facilities, include an shall be set forth. each of its customers, including additional diagram or diagrams to (11) Exhibit H—Total gas supply data. manufacturing facilities and liquid depict such maximum capabilities. If A statement by applicant describing: petroleum gas.

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(v) Conformed copy of each contract, fees for legal and other services, such agreements or arrangements. See letter of intent or other agreement for allowance for funds used during Exhibit D, paragraph (a)(4) of this sale or transportation of natural gas construction, and contingencies. section. proposed by the application. Indicate Include a brief statement indicating the (ii) Conformed copies of all the rate to be charged. If no agreements source of information used as the basis construction, engineering, management, have been made, indicate the basis for for the above estimate. If not otherwise and other similar service agreements or assuming that contracts will be set forth, submit data on preliminary contracts in any way operative with consummated and that service will be bids, if any, for the proposed facilities respect to construction, operation, or rendered under the terms contemplated and recent experienced cost data for financing of facilities which are the in the application. facilities of similar character. subject of the application or will be (vi) A full description of all facilities, (15) Exhibit L—Financing. Plans for applicable under system operations. other than those covered by the financing the proposed facilities for (17) Exhibit N—Revenues— application, necessary to provide which the application is filed, together Expenses—Income. When the estimated service in the communities to be served, with: revenues and expenses related to a the estimated cost of such facilities, by (i) A description of the class (e.g., proposed facility will significantly affect whom they are to be constructed, and commercial paper, long-term debt, the operating revenues or operating evidence of economic feasibility. preferred stock) and cost rates for expenses of an applicant, there shall be (vii) A copy of each market survey securities expected to be issued with submitted a system-wide statement for made within the past three years for construction period and post- the last year preceding the proposed such markets as are to receive new or operational sources of financing construction or service and pro forma increased service from the project separately identified. system-wide and incremental applied for. (ii) Statement of anticipated cash statements for each of the first three full (viii) A statement showing the flow, including provision during the years of operation of the proposed franchise rights of applicant or other period of construction and the first 3 facilities, showing: person to distribute gas in each full years of operation of proposed (i) Gas system annual revenues and community in which service is facilities for interest requirements, volumes of natural gas related thereto, proposed. dividends, and capital requirements. subdivided by classes of service, and (ix) When an application requires a (iii) A balance sheet and income further subdivided by sales to direct statement of total peak-day or annual statement (12 months) of most recent industrial customers, sales to other gas market requirements of affiliates, whose data available. utilities, and other sales, indicating operations are integrated with those of (iv) Comparative pro forma balance billing quantities used for computing applicant, to demonstrate applicant’s sheets and income statements for the charges, e.g., actual demands, billing ability to provide the service proposed period of construction and each of the demands, volumes, heat-content or to establish a gas supply, estimates first 3 full years of operation, giving adjustment or other determinants. In and data required by this paragraph effect to the proposed construction and addition, if enlargement or extension of (a)(12)(ix) shall also be stated in like proposed financing of the project. facilities is involved, the revenues detail for such affiliates. (v) Any additional data and attributable solely to the proposed (x) When the proposed project is for information upon which applicant facilities shall be stated separately, and service which would not decrease the proposes to rely in showing the the basis and data used in such life index of the total system gas supply adequacy and availability of resources computation shall be clearly shown. by more than one year, the data required for financing its proposed project. (ii) Gas system annual operating in paragraphs (a)(12)(i) to (ix), inclusive, (vi) In instances for which principal expenses classified in accordance with of this section need be submitted only operations of the company have not the Commission’s Uniform System of as to the particular market to receive commenced or where proposed rates for Accounts for Natural Gas Companies; new or additional service. services are developed on an the annual depreciation, depletion, (13) Exhibit J—Federal authorizations. incremental basis, a brief statement taxes, utility income, and resulting rate A statement identifying each Federal explaining how the applicant will of return on net investment in gas plant authorization that the proposal will determine the actual allowance for including working capital. In addition if require; the Federal agency or officer, or funds used during construction enlargement or extension of facilities is State agency or officer acting pursuant (AFUDC) rate, or if a rate is not to be involved, the cost of service attributable to delegated Federal authority, that will used, how the applicant will determine solely to the proposed facilities shall be issue each required authorization; the the actual amount of AFUDC to be stated separately with supporting data. date each request for authorization was capitalized as a component of (iii) When the data required in submitted; why any request was not construction cost, and why the method paragraphs (a)(17)(i) and (ii) of this submitted and the date submission is is appropriate under the circumstances. section is not submitted, applicant shall expected; and the date by which final (16) Exhibit M—Construction, provide in lieu thereof a statement in action on each Federal authorization has operation, and management. A concise sufficient detail to show clearly the been requested or is expected. statement setting forth arrangements for effect on the operating revenues and (14) Exhibit K—Cost of facilities. A supervision, management, engineering, operating expenses of the estimated detailed estimate of total capital cost of accounting, legal, or other similar revenues and expenses related to the the proposed facilities for which service to be rendered in connection proposed facility. application is made, showing cost of with the construction or operation of the (18) Exhibit O—Depreciation and construction by operating units such as project, if not to be performed by depletion. Depreciation and depletion compressor stations, main pipelines, employees of applicant, including rates to be established, the method of laterals, measuring and regulating reference to any existing or determination and the justification stations, and separately stating the cost contemplated agreements therefor, therefor. of right-of-way, damages, surveys, together with: (19) Exhibit P—Tariff. (i) A statement materials, labor, engineering and (i) A statement showing affiliation of the rates to be charged for the inspection, administrative overhead, between applicant and any parties to proposed sales or service, including:

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(A) Identification of the applicable the regulation prescribing bond and PART 113—CBP BONDS presently effective rate schedules, when rider filing requirements and stated, in no additional tariff filings will be the preamble, that the agency’s intent ■ 1. The authority citation for part 113 required, or was to provide additional time for the continues, in part, to read as follows: (B) When changes are required in filing of these documents prior to their Authority: 6 U.S.C. 101, et seq.; 19 U.S.C. applicant’s presently effective tariff, or effective date. Due to a drafting error, 66, 1623, 1624. if applicant has no tariff, pro forma one of the provisions inadvertently ■ 2. In § 113.26, revise paragraph (a) to copies of appropriate changes in or provides for a more restrictive time read as follows: additions to the effective tariff or a pro frame for filing a continuous bond, forma copy of the new gas tariff associated application, or rider prior to § 113.26 Effective dates of bonds and proposed, or their effective date. This document riders. (C) When a new rate is proposed, a corrects that provision to conform it to (a) General. A continuous bond, and statement explaining the basis used in CBP’s stated intent to liberalize the any associated application required by arriving at the proposed rate. Such bond and rider filing process. § 113.11, or rider, may be filed up to 60 statement shall clearly show whether days prior to the effective date requested DATES: such rate results from negotiation, cost- Effective on March 22, 2016. for the continuous bond or rider. of-service determination, competitive FOR FURTHER INFORMATION CONTACT: Kara * * * * * factors or others, and shall give the Welty, Revenue Division, Office of nature of any studies which have been Administration, Customs and Border Alice A. Kipel, made in connection therewith. Protection, Tel. (317) 614–4614. Executive Director, Regulations and Rulings, (ii) When new rates or changes in Office of International Trade, U.S. Customs present rates are proposed or when the SUPPLEMENTARY INFORMATION: On and Border Protection. proposed facilities will result in a November 13, 2015, U.S. Customs and Approved: March 15, 2016. material change in applicant’s average Border Protection (CBP) published in Timothy E. Skud, cost of service, such statement shall be the Federal Register (80 FR 70154), as Deputy Assistant Secretary of the Treasury. accompanied by supporting data CBP Dec. 15–15, a final rule amending [FR Doc. 2016–06323 Filed 3–21–16; 8:45 am] showing: title 19 of the Code of Federal BILLING CODE 9111–14–P (A) System cost of service for the first Regulations (19 CFR) regarding CBP’s calendar year of operation after the bond regulations. In that document, CBP proposed facilities are placed in service. amended 19 CFR 113.26(a), which DEPARTMENT OF THE TREASURY (B) An allocation of such costs to each pertains to when bonds and riders must particular service classification, with be filed prior to their effective date, to Internal Revenue Service the basis for each allocation clearly provide that ‘‘A continuous bond, and stated. any associated application required by 26 CFR Part 1 (C) The proposed rate base and rate of § 113.11 or a rider, must be filed at least return. 60 days prior to the effective date [TD 9760] (D) Gas operating expenses, requested for the continuous bond or RIN 1545–BJ74 segregated functionally by accounts. rider.’’ (E) Depletion and depreciation. Indirect Stock Transfers and the Prior to the amendments effectuated (F) Taxes with the basis upon which Coordination Rule Exceptions; by CBP Dec. 15–15, § 113.26(a) computed. Transfers of Stock or Securities in permitted filing of a bond or rider up to Outbound Asset Reorganizations * * * * * 30 days before the bond’s effective date. [FR Doc. 2016–06288 Filed 3–21–16; 8:45 am] CBP’s intent, as stated in the preamble AGENCY: Internal Revenue Service (IRS), BILLING CODE 6717–01–P to CBP Dec. 15–15 at pages 70156 and Treasury. 70160 of the November 13, 2015, ACTION: Final regulations and removal of Federal Register document, was to temporary regulations. DEPARTMENT OF HOMELAND liberalize § 113.26(a) to allow the filing SECURITY of bonds and riders up to 60 days prior SUMMARY: This document contains final to the bond’s effective date. This regulations under sections 367, 1248, U.S. Customs and Border Protection document corrects 19 CFR 113.26(a) to and 6038B of the Internal Revenue Code clarify that bonds and riders may be (Code). These regulations finalize the 19 CFR Part 113 filed up to 60 days prior to the effective elimination of one of two exceptions to [CBP Dec. 15–15, USCBP–2006–0013] date requested for the continuous bond the coordination rule between asset or rider. transfers and indirect stock transfers for RIN 1515–AD56 [Formerly 1505–AB54] certain outbound asset reorganizations. List of Subjects in 19 CFR Part 113 Customs and Border Protection’s The regulations also finalize Bond Program; Correction modifications to the exception to the Bonds, Copyrights, Counterfeit goods, coordination rule for section 351 Customs duties and inspection, Imports, AGENCY: U.S. Customs and Border exchanges so that it is consistent with Protection, Department of Homeland Reporting and recordkeeping the remaining asset reorganization Security. requirements, Restricted merchandise, exception. In addition, the regulations Seizures and forfeitures. ACTION: Final rule; correction. finalize modifications to the procedures Amendment to CBP Regulations for obtaining relief for failures to satisfy SUMMARY: U.S. Customs and Border certain reporting requirements. Finally, Protection (CBP) published in the For reasons discussed in the the regulations finalize certain changes Federal Register of November 13, 2015, preamble, CBP amends 19 CFR part 113 with respect to transfers of stock or a final rule amending CBP’s bond with the following correcting securities by a domestic corporation to regulations. In that rule, CBP amended amendment: a foreign corporation in a section 361

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exchange. These regulations primarily for obtaining relief for failures to satisfy regulations are not clarified in response affect domestic corporations that certain reporting requirements was to this comment. transfer property to foreign corporations amended and removed by final Given this transaction-based in certain outbound nonrecognition regulations (TD 9704) that were treatment, the commenter then exchanges. published in the Federal Register on requested a modification to the aspect of DATES: Effective Date: These regulations November 19, 2014 (79 FR 68763). No the basis comparison test that disregards are effective on March 22, 2016. requests for a public hearing were an increase in basis in the re-transferred Applicability Dates: For dates of received regarding the 2013 temporary assets in the hands of the transferee applicability, see §§ 1.367(a)– regulations, and accordingly no hearing domestic corporation that is attributable 3(g)(1)(vii), 1.367(a)–3(g)(1)(ix), was held. The text of these regulations to gain or income recognized by the U.S. 1.367(a)–6(e)(4), 1.1248(f)–3(b)(1), and is substantially identical to to the 2013 transferor on the outbound transfer of 1.6038B–1(g)(5). temporary regulations. the re-transferred assets to the foreign The Treasury Department and the IRS acquiring corporation. The comment FOR FURTHER INFORMATION CONTACT: received one comment regarding the requested that the rule be extended to Joshua G. Rabon at (202) 317–6937 (not remaining exceptions to the disregard a basis increase in the re- a toll-free number). coordination rule. In general, the transferred assets that is attributable to SUPPLEMENTARY INFORMATION: coordination rule provides that if, in gain or income recognized by the Background and Explanation of connection with an indirect stock foreign acquiring corporation on the Provisions transfer, a U.S. person (U.S. transferor) transfer of the re-transferred assets to transfers assets to a foreign corporation the transferee domestic corporation On August 20, 2008, the Department (foreign acquiring corporation) in an when that gain or income is subject to of the Treasury (Treasury Department) exchange described in section 351 or U.S. tax (such as gain recognized by the and the IRS published proposed 361, section 367 applies first to the asset foreign acquiring corporation with regulations (REG–209006–89) under transfer and then to the indirect stock respect to U.S. real property that is sections 367, 1248, and 6038B of the transfer. Pursuant to the exceptions to subject to U.S. tax under section 897). Code (2008 proposed regulations) in the the coordination rule, sections 367(a) These regulations do not provide for Federal Register (73 FR 49278) and (d) will not apply to the outbound such an extension. concerning transfers of property by a transfer of assets by the U.S. transferor The coordination rule exceptions domestic corporation to a foreign to the foreign acquiring corporation to were first introduced in proposed corporation in an exchange described in the extent those assets (re-transferred regulations (INTL–54–91) published in section 361(a) or (b) and certain assets) are transferred by the foreign the Federal Register on August 26, 1991 nonrecognition distributions of stock of acquiring corporation to a domestic (56 FR 41993). The basis comparison a foreign corporation by a domestic corporation in certain nonrecognition test was introduced later, in final corporation. The 2008 proposed transactions, provided certain regulations (TD 8770) published in the regulations were substantially finalized conditions are satisfied. Both of the Federal Register on June 19, 1998 (63 on March 19, 2013, when the Treasury remaining exceptions require that the FR 33550). Proposed regulations (REG– Department and the IRS published final transferee domestic corporation’s 125628–01) published in the Federal regulations (TD 9614) in the Federal adjusted basis in the re-transferred Register on January 5, 2005 (70 FR 746) Register (78 FR 17024). However, the assets not be greater than the U.S. proposed further revisions to the Treasury Department and the IRS transferor’s adjusted basis in those coordination rule exceptions in simultaneously published the temporary assets, disregarding any basis increase response to concerns ‘‘that asset regulations (TD 9615) in the Federal attributable to gain or income reorganizations subject to this Register on March 19, 2013 (78 FR recognized by the U.S. transferor on the coordination rule may be used to 17,053) (2013 temporary regulations) outbound asset transfer (basis facilitate corporate inversion eliminating one of the two exceptions to comparison test). transactions.’’ Those 2005 proposed the coordination rule between asset The commenter first inquired whether regulations were finalized on January transfers and indirect stock transfers for the remaining coordination rule 26, 2006, when the Treasury certain outbound asset reorganizations, exceptions apply on a transaction-by- Department and the IRS published final as well as modifying the one exception transaction basis such that the regulations (TD 9243) in the Federal to the coordination rule for section 351 conditions of an exception, including Register (71 FR 4276). Although the exchanges so that it is consistent with the basis comparison test, must be 2008 proposed regulations included a the remaining outbound asset satisfied with respect to all the re- proposal to further refine one of the reorganization exception. The 2013 transferred assets, or, alternatively, coordination rule exceptions in temporary regulations also addressed whether the exceptions apply on an response to transactions utilizing that the transfer of stock or securities by a asset-by-asset basis such that the exception to inappropriately repatriate domestic corporation to a foreign conditions of an exception may be earnings and profits of foreign corporation in a section 361 exchange, satisfied with respect to a portion of the corporations, the proposed refinement as well as modified, in various contexts, re-transferred assets. The Treasury was not included in the final regulations procedures for obtaining relief for Department and the IRS have published on March 19, 2013. Instead, failures to satisfy certain reporting determined that the regulations clearly the 2013 temporary regulations requirements. A notice of proposed provide that the coordination rule eliminated this particular exception to rulemaking (REG–132702–10) cross- exceptions apply to a transaction in its the coordination rule and noted that the referencing the 2013 temporary entirety and not on an asset-by-asset ‘‘Treasury Department and the IRS have, regulations and incorporating the text of basis. See, for example, paragraph (d)(3) over time, clarified and modified the the 2013 temporary regulations was also of Example 6C of the 2013 temporary coordination rule exceptions to address published in the Federal Register on regulations, illustrating the application various transactions that give rise to March 19, 2013 (78 FR 17066). A of the coordination rule and the relevant policy concerns.’’ portion of the 2013 temporary exception using a transaction-based The Treasury Department and the IRS regulations modifying the procedures analysis. Thus, the 2013 temporary remain concerned that the coordination

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rule exceptions may be utilized to affected small entities—in any of the this section, section 367(a) and (d) will inappropriately reduce U.S. tax, and three categories defined in the not apply to the extent a domestic therefore decline to liberalize the basis Regulatory Flexibility Act (small corporation (domestic acquired comparison test. The basis comparison businesses, small organizations, and corporation) transfers assets to a foreign test ensures preservation of the gain small governmental jurisdictions)—will corporation (foreign acquiring realized but not recognized by a U.S. not be substantial. The Treasury corporation) in an asset reorganization, transferor in re-transferred assets in the Department and the IRS estimate that and those assets (re-transferred assets) hands of a transferee domestic small organizations and small are transferred to a domestic corporation corporation by ensuring that the assets governmental jurisdictions are likely to (domestic controlled corporation) in a re-transferred into U.S. corporate be affected only insofar as they transfer controlled asset transfer, provided that solution retain identical tax attributes to the stock of a controlled corporation to each of the following conditions is the assets transferred to the foreign a related corporation. While a certain satisfied: acquiring corporation. To the extent number of small entities may engage in (i) The domestic controlled such assets do not have the same basis such transactions, the Treasury corporation’s adjusted basis in the re- in the hands of the transferee domestic Department and the IRS do not transferred assets is not greater than the corporation and the basis adjustment is anticipate the number to be substantial. domestic acquired corporation’s not attributable to gain recognized by Pursuant to section 7805(f) of the Code, adjusted basis in those assets. For this the U.S. transferor, then the basis the NPRM preceding this regulation was purpose, any increase in basis in the re- adjustment presumably results from submitted to the Chief Counsel for transferred assets that results because transactions occurring in foreign Advocacy of the Small Business the domestic acquired corporation corporate solution (including gain Administration for comment on its recognized gain or income with respect recognized under section 897). The impact on small business. to the re-transferred assets in the Treasury Department and the IRS transaction is not taken into account. believe the coordination rule exceptions Drafting Information (ii) The domestic acquired corporation should not permit shifting of gain or The principal author of these includes a statement described in income to a foreign corporation (even regulations is Joshua G. Rabon of the paragraph (d)(2)(vi)(C) of this section when the gain or income is subject to Office of Associate Chief Counsel with its timely filed U.S. income tax U.S. tax) as it may permit the U.S. (International). However, other return for the taxable year of the transferor to inappropriately utilize the personnel from the Treasury transfer; and foreign corporation’s favorable tax Department and the IRS participated in (iii) The requirements of paragraphs attributes available to offset the gain or their development. (c)(1)(i), (ii), and (iv) and (c)(6) of this income. section are satisfied with respect to the Accordingly, the text of the 2013 List of Subjects in 26 CFR Part 1 indirect transfer of stock in the domestic temporary regulations is adopted Income taxes, Reporting and acquired corporation. without substantive revision. The text is recordkeeping requirements. (2) Sections 367(a) and (d) shall not updated where appropriate for apply to transfers described in ministerial purposes. For example, the Adoption of Amendments to the paragraph (d)(1)(vi) of this section if a appropriate title for the LB&I officer Regulations U.S. person transfers assets to a foreign responsible for determining whether a Accordingly, 26 CFR part 1 is corporation in a section 351 exchange, failure to comply with the reporting amended as follows: to the extent that such assets are requirements was due to reasonable transferred by such foreign corporation cause and not willful neglect is PART 1—INCOME TAXES to a domestic corporation in another ‘‘Director of Field Operations, Cross section 351 exchange, but only if the ■ Border Activities Practice Area of Large Paragraph 1. The authority citation for domestic transferee’s adjusted basis in Business & International.’’ It is expected part 1 continues to read in part as the assets is not greater than the that future guidance projects will follows: adjusted basis that the U.S. person had update titles in other sections of the Authority: 26 U.S.C. 7805 * * * in such assets. Any increase in adjusted existing regulations as appropriate. The Section 1.367(a)–3 is also issued under 26 basis in the assets that results because corresponding 2013 temporary U.S.C. 367(a). the U.S. person recognized gain or income with respect to such assets in regulations are removed. * * * * * the initial section 351 exchange is not ■ Special Analyses Par. 2. Section 1.367(a)–3 is amended taken into account for purposes of Certain IRS regulations, including this by: ■ determining whether the domestic one, are exempt from the requirements 1. Revising paragraph (d)(2)(vi)(B). transferee’s adjusted basis in the assets ■ 2. Revising paragraph (d)(3), Examples of Executive Order 12866, as is not greater than the U.S. person’s 6B, 6C, and 9. supplemented and reaffirmed by adjusted basis in such assets. This ■ 3. Revising paragraph (e). Executive Order 13563. Therefore, a ■ paragraph (d)(2)(vi)(B)(2) will not, regulatory assessment is not required. It 4. Revising paragraph (g)(1)(vii)(A). ■ 5. Adding paragraph (g)(1)(ix). however, apply to an exchange is hereby certified that the collections of The revisions and addition read as described in section 351 that is also an information contained in these follows: exchange described in section 361(a) or regulations will not have a significant (b). An exchange described in section economic impact on a substantial § 1.367(a)–3 Treatment of transfers of 351 that is also an exchange described number of small entities. Accordingly, a stock or securities to foreign corporations. in section 361(a) or (b) is only eligible regulatory flexibility analysis is not * * * * * for the exception in paragraph required. These regulations primarily (d) * * * (d)(2)(vi)(B)(1) of this section. will affect United States persons that are (2) * * * * * * * * large corporations engaged in corporate (vi) * * * (3) * * * transactions among their controlled (B) Exceptions—(1) If a transaction is Example 6B. Section 368(a)(1)(C) corporations. Thus, the number of described in paragraph (d)(2)(vi)(A) of reorganization followed by a controlled asset

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transfer to a domestic controlled Business B assets (which otherwise would Z includes a statement described in corporation—(i) Facts. The facts are the same satisfy the section 367(a)(3) active trade or paragraph (d)(2)(vi)(C) of this section with its as in paragraph (d)(3), Example 6A, of this business exception) generally is subject to U.S. income tax return for the taxable year of section, except that R is a domestic section 367(a)(1) pursuant to section the transfer. Subject to the conditions and corporation. 367(a)(5) and § 1.367(a)–7(b). The transfer of requirements of section 367(a)(5) and (ii) Result. As in paragraph (d)(3), Example the Business C assets generally is subject to § 1.367(a)–7(c), Z’s transfer of the Business B 6A, of this section, the outbound transfer of section 367(a)(1) because these assets do not assets to R (which are not re-transferred to M) the Business A assets to F is not affected by qualify for the active trade or business qualifies for the active trade or business the rules of § 1.367–3(d) and is subject to the exception under section 367(a)(3). However, exception under section 367(a)(3). Pursuant general rules under section 367. Subject to pursuant to paragraph (d)(2)(vi)(B) of this to paragraphs (d)(1) and (d)(2)(vii)(A)(1) of the conditions and requirements of section section, the transfer of the Business B and C this section, V is generally deemed to transfer 367(a)(5) and § 1.367(a)–7(c), the Business A assets is not subject to sections 367(a)(1) and the stock of a foreign corporation to F in a assets qualify for the section 367(a)(3) active (d), provided the basis of the Business B and section 354 exchange subject to the rules of trade or business exception and are not C assets in the hands of R is no greater than paragraphs (b) and (d) of this section, subject to section 367(a)(1). The Business B the basis in the hands of Z and certain other including the requirement that V enter into and C assets are part of an indirect stock requirements are satisfied. Z may avoid a gain recognition agreement and comply transfer under § 1.367–3(d), but must first be immediate gain recognition under section with the requirements of § 1.367(a)–8. tested under section 367(a) and (d). The 367(a) and (d) on the transfers of the Business However, pursuant to paragraph (d)(2)(vii)(B) Business B assets qualify for the active trade B and Business C assets to F if, pursuant to of this section, paragraph (d)(2)(vii)(A) of this or business exception under section paragraph (d)(2)(vi)(B) of this section, the section does not apply to the extent of the 367(a)(3); the Business C assets do not. indirect transfer of Z stock satisfies the transfer of business A assets by R to M, a However, pursuant to paragraph requirements of paragraphs (c)(1)(i), (ii), and domestic corporation. As a result, to the (d)(2)(vi)(B)(1) of this section, the Business B (iv) and (c)(6) of this section, and Z attaches extent of the business A assets transferred by and C assets are not subject to section 367(a) a statement described in paragraph R to M, V is deemed to transfer the stock of or (d), provided that the basis of the Business (d)(2)(vi)(C) of this section to its U.S. income Z (a domestic corporation) to F in a section B and C assets in the hands of R is not greater tax return for the taxable year of the transfer. 354 exchange subject to the rules of than the basis of the assets in the hands of In general, the statement must contain a paragraphs (c) and (d) of this section. Thus, Z, the requirements of paragraphs (c)(1)(i), certification that, if F disposes of the stock with respect to V’s indirect transfer of stock (ii), and (iv) and (c)(6) of this section are of R (in a recognition or nonrecognition of a domestic corporation to F, such transfer satisfied, and Z attaches a statement transaction) and a principal purpose of the is not subject to gain recognition under described in paragraphs (d)(2)(vi)(C) of this transfer is the avoidance of U.S. tax that section 367(a)(1) if the requirements of section to its U.S. income tax return for the would have been imposed on Z on the paragraph (c) of this section are satisfied, taxable year of the transfer. V also is deemed disposition of the Business B and C assets including the requirement that V enter into to make an indirect transfer of Z stock under transferred to R, then Z (or F on behalf of Z) a gain recognition agreement (separate from the rules of paragraph (d) of this section to will file a return (or amended return as the the gain recognition agreement described the extent the assets are transferred to R. To case may be) recognizing gain ($50), as if, above with respect to the deemed transfer of preserve non-recognition treatment, and immediately prior to the reorganization, Z stock of a foreign corporation to F) and assuming the other requirements of transferred the Business B and C assets to a comply with the requirements of § 1.367(a)– paragraph (c) of this section are satisfied, V domestic corporation in exchange for stock in 8. Under paragraphs (d)(2)(i) and (ii) of this must enter into a gain recognition agreement a transaction treated as a section 351 section, the transferee foreign corporation is in the amount of $50, which equals the exchange and immediately sold such stock to F and the transferred corporation is R (with aggregate gain in the Business B and C assets, an unrelated party for its fair market value. respect to the transfer of stock of a foreign because the transfer of those assets by Z was A transaction is deemed to have a principal corporation) and M (with respect to the not taxable under section 367(a)(1) and purpose of U.S. tax avoidance if F disposes transfer of stock of a domestic corporation). constitute an indirect stock transfer. of R stock within two years of the transfer, Pursuant to paragraph (d)(2)(iv) of this Example 6C. Section 368(a)(1)(C) unless Z (or F on behalf of Z) can rebut the section, a disposition by F of the stock of R reorganization followed by a controlled asset presumption to the satisfaction of the would trigger both gain recognition transfer to a domestic controlled Commissioner. See paragraph (d)(2)(vi)(D)(2) agreements. In addition, a disposition by R of corporation—(i) Facts. The facts are the same of this section. With respect to the indirect the stock of M would trigger the gain as in paragraph (d)(3), Example 6B, of this transfer of Z stock, assume the requirements recognition agreement filed with respect to the transfer of the stock of a domestic section, except that Z is owned by U.S. of paragraphs (c)(1)(i), (ii), and (iv) of this corporation. To determine whether there is a individuals, none of whom qualify as five- section are satisfied. Thus, assuming Z triggering event under § 1.367(a)–8(j)(2)(i) for percent target shareholders with respect to Z attaches the statement described in paragraph the gain recognition agreement filed with within the meaning of paragraph (c)(5)(iii) of (d)(2)(vi)(C) of this section to its U.S. income respect to the transfer of stock of the this section. The following additional facts tax return and satisfies the reporting domestic corporation, the Business A assets are present. No U.S. persons that are either requirements of paragraph (c)(6) of this in M must be considered. To determine officers or directors of Z own any stock of F section, the transfer of Business B and C whether there is such a triggering event for immediately after the transfer. F is engaged assets is not subject to immediate gain recognition under section 367(a) or (d). the gain recognition agreement filed with in an active trade or business outside the respect to the transfer of stock of the foreign United States that satisfies the test set forth * * * * * corporation, the Business B assets in R must in paragraph (c)(3) of this section. Example 9. Indirect stock transfer by be considered. (ii) Result. The Business A assets reason of a controlled asset transfer—(i) transferred to F are not re-transferred to R Facts. The facts are the same as in paragraph * * * * * and therefore Z’s transfer of these assets is (d)(3), Example 8, of this section, except that (e) Transfers of stock or securities by not subject to the rules of paragraph (d) of R transfers the Business A assets to M, a a domestic corporation to a foreign this section. However, gain must be wholly owned domestic subsidiary of R, in corporation in a section 361 exchange— recognized on the transfer of those assets a controlled asset transfer. In addition, V’s (1) Overview—(i) Scope and definitions. under section 367(a)(1) because the section basis in its Z stock is $90. This paragraph (e) applies to a domestic 367(a)(3) active trade or business exception is (ii) Result. Pursuant to paragraph corporation (U.S. transferor) that inapplicable pursuant to section 367(a)(5) (d)(2)(vi)(B) of this section, sections 367(a) transfers stock or securities of a and § 1.367(a)–7(b). The Business B and C and (d) do not apply to Z’s transfer of the assets are part of an indirect stock transfer Business A assets to R if M’s basis in the domestic or foreign corporation under paragraph (d) of this section, but must Business A assets is not greater than the basis (transferred stock or securities) to a first be tested with respect to Z under section of the assets in the hands of Z, the foreign corporation (foreign acquiring 367(a) and (d), as provided in paragraph requirements of paragraphs (c)(1)(i), (ii), and corporation) in a section 361 exchange. (d)(2)(vi) of this section. The transfer of the (iv) and (c)(6) of this section are satisfied, and Except as otherwise provided in this

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paragraph (e), paragraphs (b) and (c) of transferred stock or securities in the (ii) Special rule for triangular asset this section do not apply to the U.S. section 361 exchange, then the reorganizations involving the receipt of transferor’s transfer of the transferred conditions set forth in paragraphs stock or securities of a domestic stock or securities in the section 361 (e)(3)(iii)(A), (B), and (C) of this section corporation. In the case of a triangular exchange. For purposes of this are satisfied. asset reorganization described in paragraph (e), the definitions of control (A) Except as otherwise provided in § 1.358–(6)(b)(2)(i), (ii), or (iii) or group, control group member, and non- this paragraph (e)(3)(iii)(A), each U.S. (b)(2)(v) (triangular asset reorganization) control group member in § 1.367(a)– transferor shareholder that is a qualified in which the U.S. transferor receives 7(f)(1), ownership interest percentage in U.S. person (as defined in paragraph stock or securities of a domestic § 1.367(a)–7(f)(7), section 361 exchange (e)(6)(vii) of this section) owning corporation that is in control (within the in § 1.367(a)–7(f)(8), and U.S. transferor (applying the attribution rules of section meaning of section 368(c)) of the foreign shareholder in § 1.367(a)–7(f)(13), apply. 318, as modified by section 958(b)) five acquiring corporation, the transferee (ii) Ordering rules. Except as percent or more of the total voting foreign corporation shall be the foreign otherwise provided, this paragraph (e) power or the total value of the stock of acquiring corporation. applies to the transfer of the transferred the transferee foreign corporation (6) Special requirements for gain stock or securities in the section 361 immediately after the reorganization recognition agreements. A gain exchange prior to the application of any enters into a gain recognition agreement recognition agreement filed by a U.S. other provision of section 367 to such that satisfies the conditions of paragraph transferor shareholder pursuant to transfer. Furthermore, any gain (e)(6) of this section and § 1.367(a)–8. A paragraph (e)(3)(iii)(A) of this section is, recognized (including gain treated as a U.S. transferor shareholder is not in addition to the terms and conditions deemed dividend pursuant to section required to enter into a gain recognition of § 1.367(a)–8, subject to the conditions 1248(a)) by the U.S. transferor under agreement pursuant to this paragraph if of this paragraph (e)(6). this paragraph (e) shall be taken into the amount of gain that would be (i) The amount of gain subject to the account for purposes of applying any subject to the gain recognition gain recognition agreement shall equal other provision of section 367 agreement (as determined under the product of the ownership interest (including §§ 1.367(a)–6, 1.367(a)–7, paragraph (e)(6)(i) of this section) is percentage of the U.S. transferor and 1.367(b)–4) to the transfer of the zero. shareholder multiplied by the gain (B) With respect to non-control group transferred stock or securities. realized by the U.S. transferor on the (2) General rule. Except as provided members that are not described in transfer of the transferred stock or in paragraph (e)(3) of this section, the paragraph (e)(3)(iii)(A) of this section, securities, reduced (but not below zero) transfer by the U.S. transferor of the the U.S. transferor recognizes gain equal by the sum of the amounts described in transferred stock or securities to the to the product of the aggregate paragraphs (e)(6)(i)(A),(B), (C), and (D) foreign acquiring corporation in the ownership interest percentage of such of this section. section 361 exchange shall be subject to non-control group members multiplied section 367(a)(1), and therefore the U.S. by the gain realized by the U.S. (A) Gain recognized by the U.S. transferor shall recognize any gain (but transferor on the transfer of the transferor with respect to the transferred not loss) realized with respect to the transferred stock or securities. stock or securities under section transferred stock or securities. Realized (C) With respect to each control group 367(a)(1) (including any portion treated gain is recognized pursuant to the prior member that is not described in as a deemed dividend under section sentence notwithstanding that the paragraph (e)(3)(iii)(A) of this section, 1248(a)) that is attributable to such U.S. transfer is described in any other the U.S. transferor recognizes gain equal transferor shareholder pursuant to nonrecognition provision enumerated in to the product of the ownership interest § 1.367(a)–7(c)(2) or (e)(5). section 367(a)(1) (such as section 351 or percentage of such control group (B) A deemed dividend included in 354). member multiplied by the gain realized the income of the U.S. transferor with (3) Exception. The general rule of by the U.S. transferor on the transfer of respect to the transferred stock under paragraph (e)(2) of this section shall not the transferred stock or securities. § 1.367(b)–4(b)(1)(i) that is attributable apply if the conditions of paragraphs (4) Application of certain rules at U.S. to such U.S. transferor shareholder (e)(3)(i), (ii), and (iii) of this section are transferor-level. For purposes of pursuant to § 1.367(a)–7(e)(4). satisfied. paragraphs (c)(5)(iii) and (e)(3)(ii) and (C) If the U.S. transferor shareholder (i) The conditions set forth in (iii) of this section, ownership of the is subject to an election under § 1.367(a)–7(c) are satisfied with respect stock of the transferee foreign § 1.1248(f)–2(c)(1), a deemed dividend to the section 361 exchange. corporation is determined by reference included in the income of the U.S. (ii) If the transferred stock or to stock owned by the U.S. transferor transferor pursuant to § 1.1248(f)–2(c)(3) securities are of a domestic corporation, immediately after the transfer of the that is attributable to the U.S. transferor the U.S. target company (as defined in transferred stock or securities to the shareholder. paragraph (c)(1) of this section) foreign acquiring corporation in the (D) If the U.S. transferor shareholder complies with the reporting section 361 exchange, but prior to and is not subject to an election under requirements of paragraph (c)(6) of this without taking into account the U.S. § 1.1248(f)–2(c)(1), the hypothetical section, and the conditions of transferor’s distribution under section section 1248 amount (as defined in paragraphs (c)(1)(i), (ii), and (iv) of this 361(c)(1) of the stock received. § 1.1248(f)–1(c)(4)) with respect to the section are satisfied with respect to the (5) Transferee foreign corporation—(i) stock of each foreign corporation transferred stock or securities. General rule. Except as provided in transferred in the section 361 exchange (iii) If the U.S. transferor owns paragraph (e)(5)(ii) of this section, the attributable to the U.S. transferor (applying the attribution rules of section transferee foreign corporation for shareholder. 318, as modified by section 958(b)) five purposes of applying paragraph (e) of (ii) The gain recognition agreement percent or more of the total voting this section and § 1.367(a)–8 shall be the shall include the election described in power or the total value of the stock of foreign corporation that issues stock or § 1.367(a)–8(c)(2)(vi). the transferee foreign corporation securities to the U.S. transferor in the (iii) The gain recognition agreement immediately after the transfer of the section 361 exchange. shall designate the U.S. transferor

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shareholder as the U.S. transferor for (8) Examples. The following examples paragraph (e)(2) of this section, UST must purposes of § 1.367(a)–8. illustrate the provisions of paragraph (e) recognize the gain realized of $100x on the (iv) If the transfer of the transferred of this section. Except as otherwise transfer of the CFC1 stock (computed as the stock or securities in the section 361 excess of the $100x fair market value over the indicated: US1, US2, and UST are $0x basis) unless the requirements for the exchange is pursuant to a triangular domestic corporations that are not exception provided in paragraph (e)(3) of this asset reorganization, the gain members of a consolidated group; X is section are satisfied. In this case, the recognition agreement shall include a United States citizen; US1, US2, and requirements of paragraph (e)(3) of this appropriate provisions that are X are unrelated parties; CFC1, CFC2, section are satisfied. First, the requirement of consistent with the principles of and FA are foreign corporations; each paragraph (e)(3)(i) of this section is satisfied § 1.367(a)–8 for gain recognition corporation described herein has a because the control requirement of agreements involving multiple parties. single class of stock issued and § 1.367(a)–7(c)(1) is satisfied, and a stated assumption is that the requirements of See § 1.367(a)–8(j)(9). outstanding and a tax year ending on (v) The gain recognition agreement § 1.367(a)–7(c)(2) through (5) will be December 31; the section 1248 amount satisfied. The control requirement is satisfied shall not be eligible for termination (within the meaning of § 1.367(b)–2(c)) because US1 and US2, each a control group upon a taxable disposition pursuant to with respect to the stock of CFC1 and member, own in the aggregate 85% of the § 1.367(a)–8(o)(1) unless the value of the CFC2 is zero; Asset A is section 367(a) stock of UST immediately before the stock or securities received by the U.S. property that, but for the application of reorganization. Second, the requirement of transferor shareholder in exchange for section 367(a)(5), would qualify for the paragraph (e)(3)(ii) of this section is not the stock or securities of the U.S. applicable because that paragraph applies to active foreign trade or business the transfer of stock of a domestic transferor under section 354 or 356 is at exception under § 1.367(a)–2T; the least equal to the amount of gain subject corporation and CFC1 is a foreign requirements of § 1.367(a)–7(c)(2) corporation. Third, paragraph (e)(3)(iii) of to the gain recognition agreement filed through (5) are satisfied with respect to this section is not applicable because by such U.S. transferor shareholder. a section 361 exchange; the provisions immediately after the section 361 exchange, (vi) Except as otherwise provided in of § 1.367(a)–6T (regarding branch loss but prior to and without taking into account this paragraph (e)(6)(vi), if gain is recapture) are not applicable; and none UST’s distribution of the FA stock pursuant subsequently recognized by the U.S. to section 361(c)(1), UST does not own of the foreign corporations in the transferor shareholder under the terms (applying the attribution rules of section 318, examples is a surrogate foreign of the gain recognition agreement as modified by section 958(b)) 5% or more corporation (within the meaning of pursuant to § 1.367(a)–8(c)(1)(i), the of the total voting power or the total value section 7874) as a result of the increase in stock basis provided under of the stock of FA. See paragraph (e)(4) of this transactions described in the examples section. Accordingly, UST does not recognize § 1.367(a)–8(c)(4)(i) with respect to the because one or more of the conditions the $100x of gain realized in the CFC1 stock stock received by the U.S. transferor of section 7874(a)(2)(B) is not satisfied. pursuant to this section. shareholder shall not exceed the amount (B) In order to meet the requirements of of the stock basis adjustment made Example 1. U.S. transferor owns less than § 1.367(a)–7(c)(2)(i), UST must recognize gain pursuant to § 1.367(a)–7(c)(3) with 5% of stock of transferee foreign equal to the portion of the inside gain (as respect to the stock received by the U.S. corporation—(i) Facts. US1, US2, and X own defined in § 1.367(a)–7(f)(5)) attributable to 80%, 5%, and 15%, respectively, of the stock non-control group members (X), or $7.50x. transferor shareholder. This paragraph of UST with a fair market value of $160x, (e)(6)(vi) shall not apply if the U.S. The $7.50x of gain is computed as the $10x, and $30x, respectively. UST has two product of the inside gain ($50x) multiplied transferor shareholder and the U.S. assets, Asset A and 100% of the stock of by X’s ownership interest percentage in UST transferor are members of the same CFC1. UST has no liabilities. Asset A has a (15%). Pursuant to § 1.367(a)–7(f)(5), the consolidated group at the time of the $150x basis and $100x fair market value (as $50x of inside gain is the amount by which reorganization. defined in § 1.367(a)–7(f)(3)), and the CFC1 the aggregate fair market value ($200x) of the (vii) For purposes of this section, a stock has a $0x basis and $100x fair market section 367(a) property (as defined in qualified U.S. person means a U.S. value. UST transfers Asset A and the CFC1 § 1.367(a)–7(f)(10), or Asset A and the CFC1 person, as defined in § 1.367(a)– stock to FA solely in exchange for $200x of stock) exceeds the sum of the inside basis 1T(d)(1), but for this purpose does not FA voting stock in a reorganization described ($150x) of such property and the product of in section 368(a)(1)(C). UST’s transfer of the section 367(a) percentage (as defined in include domestic partnerships, Asset A and the CFC1 stock to FA qualifies regulated investment companies (as § 1.367(a)–7(f)(9), or 100%) multiplied by as a section 361 exchange. UST distributes UST’s deductible liabilities (as defined in defined in section 851(a)), real estate the FA stock received in the section 361 § 1.367(a)–7(f)(2), or $0x). Pursuant to investment trusts (as defined in section exchange to US1, US2, and X pursuant to the § 1.367(a)–7(f)(4), the inside basis equals the 856(a)), and S corporations (as defined plan of reorganization, and liquidates. US1 aggregate basis of the section 367(a) property in section 1361(a)). receives $160x of FA stock, US2 receives transferred in the section 361 exchange (7) Gain subject to section 1248(a). If $10x of FA stock, and X receives $30x of FA ($150x), increased by any gain or deemed the U.S. transferor recognizes gain stock in exchange for the UST stock. dividends recognized by UST with respect to under paragraphs (e)(3)(iii)(B) or (C) of Immediately after the transfer of Asset A and the section 367(a) property under section 367 the CFC1 stock to FA in the section 361 this section with respect to transferred ($0x), but not including the $7.50x of gain exchange, but prior to and without taking recognized by UST under § 1.367(a)– stock that is stock in a foreign into account UST’s distribution of the FA 7(c)(2)(i). Pursuant to § 1.367(a)–7(e)(1), the corporation to which section 1248(a) stock pursuant to section 361(c)(1), UST does $7.50x of gain recognized by UST is treated applies, then the portion of such gain not own (applying the attribution rules of as recognized with respect to the CFC1 stock treated as a deemed dividend under section 318, as modified by section 958(b)) and Asset A in proportion to the amount of section 1248(a) is the product of the five percent or more of the total voting power gain realized in each. However, because there amount of the gain multiplied by the or the total value of the stock of FA. is no gain realized by UST with respect to section 1248(a) ratio. The section (ii) Result—(A) UST’s transfer of the CFC1 Asset A, all $7.50x of the gain is allocated to 1248(a) ratio is the ratio of the amount stock to FA in the section 361 exchange is the CFC1 stock. Furthermore, FA’s basis in subject to the provisions of this paragraph (e), the CFC1 stock, as determined under section that would be treated as a deemed and this paragraph (e) applies to the transfer 362 is increased by the $7.50x of gain dividend under section 1248(a) if all the of the CFC1 stock prior to the application of recognized by UST. See § 1.367(a)– gain in the transferred stock were any other provision of section 367 to such 1(b)(4)(i)(B). recognized to the amount of gain transfer. See paragraphs (e)(1)(i) and (ii) of (C) The requirement to recognize gain realized in all the transferred stock. this section. Pursuant to the general rule of under § 1.367(a)–7(c)(2)(ii) is not applicable

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because the portion of the inside gain (e)(3)(iii)(A) of this section US1 and X must computed as the product of US1’s ownership attributable to US1 and US2 (control group enter into gain recognition agreements that interest percentage (80%) multiplied by the members) can be preserved in the stock satisfy the requirements of paragraph (e)(6) of gain realized by UST in the CFC1 stock as received by each such shareholder. As this section and § 1.367(a)–8. See paragraph determined prior to taking into account the described in paragraph (ii)(B) of this Example (ii)(G) of this Example 2 for the computation application of any other provision of section 1, the inside gain is $50x. US1’s attributable of the amount of gain subject to each gain 367 ($100x), reduced by the sum of the inside gain of $40x (equal to the product of recognition agreement. amounts described in paragraphs (e)(6)(i)(A) $50x inside gain multiplied by US1’s 80% (C) In order to meet the requirements of through (D) of this section attributable to US1 ownership interest percentage, reduced by paragraph (e)(3)(iii)(C) of this section, UST ($0x). With respect to X, the amount of gain $0x, the sum of the amounts described in must recognize $5x of gain attributable to subject to the gain recognition agreement is § 1.367(a)–7(c)(2)(ii)(A)(1) through (3)) does US2 (computed as the product of the $100x $7.50x. The $7.50x is computed as the not exceed $160x (equal to the product of the of gain realized with respect to the transfer product of X’s ownership interest percentage section 367(a) percentage of 100% multiplied of the CFC1 stock multiplied by the 5% (15%) multiplied by the gain realized by UST by $160x fair market value of FA stock ownership interest percentage of US2). The in the CFC1 stock as determined prior to received by US1). Similarly, US2’s $5x of gain recognized is not included in the taking into account the application of any attributable inside gain of $2.50x (equal to computation of inside basis (see § 1.367(a)– other provision of section 367 ($100x), the product of $50x inside gain multiplied by 7(f)(4)(i)), but reduces (but not below zero) reduced by the sum of the amounts described US2’s 5% ownership interest percentage, the amount of gain recognized by UST in paragraphs (e)(6)(i)(A) through (D) of this reduced by $0x, the sum of the amounts pursuant to § 1.367(a)–7(c)(2)(ii) that is section attributable to X ($7.50x, as described in § 1.367(a)–7(c)(2)(ii)(A)(1) attributable to US2. Furthermore, FA’s basis computed in paragraph (ii)(D) of this through (3)) does not exceed $10x (equal to in the CFC1 stock as determined under Example 2). the product of the section 367(a) percentage section 362 is increased for the $5x of gain (H) In order the meet the requirements of of 100% multiplied by $10x fair market value recognized. See § 1.367(a)–1(b)(4)(i)(B). paragraph (e)(6)(ii) of this section, each gain of FA stock received by US2). Assuming US1 and X enter into the gain recognition agreement must include the (D) Each control group member (US1 and recognition agreements described in election described in § 1.367(a)–8(c)(2)(vi). US2) must separately compute any required paragraph (ii)(B) of this Example 2, and UST Furthermore, pursuant to paragraph (e)(6)(iii) adjustment to stock basis under § 1.367(a)– recognizes the $5x of gain described in this of this section, US1 and X must be 7(c)(3). example, the requirements of paragraph (e)(3) designated as the U.S. transferor on their Example 2. U.S. transferor owns 5% or of this section are satisfied and, accordingly, respective gain recognition agreements for more of the stock of the transferee foreign UST does not recognize the remaining $95x purposes of § 1.367(a)–8. corporation—(i) Facts. The facts are the same of gain realized in the CFC1 stock pursuant Example 3. U.S. transferor owns 5% or as in paragraph (e), Example 1, of this section to this section. more of the stock of the transferee foreign except that immediately after the section 361 (D) As described in paragraph (ii)(B) of corporation; interaction with section exchange, but prior to and without taking Example 1 of this paragraph (e), UST must 1248(f)—(i) Facts. US1, US2, and X own into account UST’s distribution of the FA recognize $7.50x of gain pursuant to 50%, 30%, and 20%, respectively, of the stock pursuant to section 361(c)(1), UST § 1.367(a)–7(c)(2)(i), the amount of the $50x stock of UST. The UST stock owned by US1 owns (applying the attribution rules of of inside gain attributable to X. Pursuant to has a $180x basis and $200x fair market section 318, as modified by section 958(b)) § 1.367(a)–7(e)(1), the $7.50x of gain value; the UST stock owned by US2 has a 5% or more of the total voting power or value recognized by UST is treated as recognized $100x basis and $120x fair market value; and of the stock of FA. Furthermore, immediately with respect to the CFC1 stock and Asset A the UST stock owned by X has a $80x fair after the reorganization, US1 and X (but not in proportion to the amount of gain realized market value. UST owns Asset A, and all the US2) each own (applying the attribution in each. However, because there is no gain stock of CFC1 and CFC2. UST has no rules of section 318, as modified by section realized by UST with respect to Asset A, all liabilities. Asset A has a $10x basis and 958(b)) five percent or more of the total $7.50x of the gain is allocated to the CFC1 $200x fair market value. The CFC1 stock is voting power or value of the stock of FA. stock. Furthermore, FA’s basis in the CFC1 a single block of stock (as defined in (ii) Result—(A) As is the case with stock as determined under section 362 is § 1.1248(f)–1(c)(2)) with a $20x basis, $40x paragraph (e), Example 1, of this section, increased for the $7.50x of gain recognized. fair market value, and $30x of earnings and UST’s transfer of the CFC1 stock to FA in the See § 1.367(a)–1(b)(4)(i)(B). profits attributable to it for purposes of section 361 exchange is subject to the (E) As described in paragraph (ii)(C) of section 1248 (with the result that the section provisions of this paragraph (e), and this Example 1 of this paragraph (e), the 1248 amount (as defined in § 1.1248(f)– paragraph (e) applies to the transfer of the requirement to recognize gain pursuant to 1(c)(9)) is $20x). The CFC2 stock is also a CFC1 stock prior to the application of any § 1.367(a)–7(c)(2)(ii) is not applicable because single block of stock with a $30x basis, $160x other provision of section 367 to such the attributable inside gain of US1 and US2 fair market value, and $150x of earnings and transfer. See paragraphs (e)(1)(i) and (ii) of can be preserved in the stock received by profits attributable to it for purposes of this section. In addition, UST must recognize each shareholder. However, if UST were section 1248 (with the result that the section the gain realized of $100x on the transfer of required to recognize gain pursuant to 1248 amount is $130x). On December 31, the CFC1 stock (computed as the excess of § 1.367(a)–7(c)(2)(ii) for inside gain Year 3, in a reorganization described in the $100x fair market value over the $0x attributable to US2 (for example, if US2 section 368(a)(1)(D), UST transfers the CFC1 basis) unless the requirements for the received solely cash rather than FA stock in stock, CFC2 stock, and Asset A to FA in exception provided in paragraph (e)(3) of this the reorganization), the amount of such gain exchange for 60 shares of FA stock with a section are satisfied. For the same reasons would be reduced (but not below zero) by the $400x fair market value. UST’s transfer of the provided in Example 1, the requirement in amount of gain recognized by UST pursuant CFC1 stock, CFC2 stock, and Asset A to FA paragraph (e)(3)(i) of this section is satisfied to paragraph (e)(3)(iii)(C) of this section that in exchange for the 60 shares of FA stock and the requirement of paragraph (e)(3)(ii) of is attributable to US2 (computed as $5x in qualifies as a section 361 exchange. UST this section is not applicable. paragraph (ii)(C) of this Example 2). See distributes the FA stock received in the (B) Unlike paragraph (e), Example 1, of this § 1.367(a)–7(c)(2)(ii)(A)(1). section 361 exchange to US1, US2, and X section, however, UST owns 5% or more of (F) Each control group member (US1 and pursuant to section 361(c)(1). US1, US2, and the voting power or value of the stock of FA US2) must separately compute any required X exchange their UST stock for 30, 18, and immediately after the transfer of the CFC1 adjustment to stock basis under § 1.367(a)– 12 shares, respectively, of FA stock pursuant stock in the section 361 exchange, but prior 7(c)(3). to section 354. Immediately after the to and without taking into account UST’s (G) The amount of gain subject to the gain reorganization, FA has 100 shares of stock distribution of the FA stock under section recognition agreement filed by each of US1 outstanding, and US1 and US2 are each a 361(c)(1). As a result, paragraph (e)(3)(iii) of and X is determined pursuant to paragraph section 1248 shareholder with respect to FA. this section is applicable to the section 361 (e)(6)(i) of this section. With respect to US1, (ii) Result—(A) UST’s transfer of the CFC1 exchange of the CFC1 stock. Accordingly, in the amount of gain subject to the gain stock and CFC2 stock to FA in the section order to meet the requirements of paragraph recognition agreement is $80x. The $80x is 361 exchange is subject to the provisions of

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this paragraph (e), and this paragraph (e) is not required to include in income as a (D) The requirement to recognize gain applies to the transfer of the CFC1 stock and deemed dividend the section 1248 amount under § 1.367(a)–7(c)(2)(ii) is not applicable CFC2 stock prior to the application of any with respect to the CFC1 stock ($20x) or because the portion of the inside gain other provision of section 367 to such CFC2 stock ($130x) under § 1.367(b)– attributable to US1 and US2 (control group transfer. See paragraphs (e)(1)(i) and (ii) of 4(b)(1)(i) because, immediately after UST’s members) can be preserved in the stock this section. Pursuant to the general rule of section 361 exchange of the CFC1 stock and received by each such shareholder. As paragraph (e)(2) of this section, UST must CFC2 stock for FA stock (and before the described in paragraph (ii)(C) of this Example recognize the gain realized of $20x on the distribution of the FA stock to US1, US2, and 3, the inside gain is $340x. US1’s attributable transfer of the CFC1 stock (the excess of $40x X under section 361(c)(1), FA, CFC1, and inside gain of $170x (equal to the product of fair market value over $20x basis) and the CFC2 are controlled foreign corporations as $340x inside gain multiplied by US1’s 50% gain realized of $130x on the transfer of the to which UST is a section 1248 shareholder. ownership interest percentage, reduced by CFC2 stock (the excess of $160x fair market See § 1.367(b)–4(b)(1)(ii)(A). However, if UST $0x, the sum of the amounts described in value over $30x basis), subject to the were required to include in income as a § 1.367(a)–7(c)(2)(ii)(A)(1) through (3)) does application of section 1248(a), unless the deemed dividend the section 1248 amount not exceed $200x (equal to the product of the requirements for the exception provided in with respect to the CFC1 stock or CFC2 stock section 367(a) percentage of 100% multiplied paragraph (e)(3) of this section are satisfied. (for example, if FA were not a controlled by $200x fair market value of FA stock In this case, the requirement of paragraph foreign corporation), such deemed dividend received by US1). Similarly, US2’s (e)(3)(i) of this section is satisfied because the would be taken into account prior to the attributable inside gain of $102x (equal to the control requirement of § 1.367(a)–7(c)(1) is application of § 1.367(a)–7(c). Furthermore, product of $340x inside gain multiplied by satisfied, and a stated assumption is that the because US1, US2, and X are all persons US2’s 30% ownership interest percentage, requirements of § 1.367(a)–7(c)(2) through (5) described in paragraph (e)(3)(iii)(A) of this reduced by $0x, the sum of the amounts will be satisfied. The control requirement is section, any such deemed dividend would described in § 1.367(a)–7(c)(2)(ii)(A)(1) satisfied because US1 and US2, each a increase inside basis. See § 1.367(a)–7(f)(4). through (3)) does not exceed $120x (equal to control group member, own in the aggregate (C) In order to meet the requirements of the product of the section 367(a) percentage 80% of the UST stock immediately before the § 1.367(a)–7(c)(2)(i), UST must recognize gain of 100% multiplied by $120x fair market reorganization. The requirement of paragraph equal to the portion of the inside gain value of FA stock received by US2). (e)(3)(ii) of this section is not applicable attributable to non-control group members (E) Each control group member (US1 and because paragraph (e)(3)(ii) applies to the (X), or $68x. The $68x of gain is computed US2) separately computes any required transfer of stock of a domestic corporation, as the product of the inside gain ($340x) adjustment to stock basis under § 1.367(a)– and CFC1 and CFC2 are foreign corporations. multiplied by X’s ownership interest 7(c)(3). US1’s section 358 basis in the FA UST owns 5% or more of the total voting percentage in UST (20%), reduced (but not stock received of $180x (equal to US1’s basis power or value of the stock of FA (60%, or below zero) by $0x, the sum of the amounts in the UST stock exchanged) is reduced to 60 of the 100 shares of FA stock outstanding) described in § 1.367(a)–7(c)(2)(i)(A) through preserve the attributable inside gain with immediately after the transfer of the CFC1 (C). Pursuant to § 1.367(a)–7(f)(5), the $340x respect to US1, less any gain recognized with stock and CFC2 stock in the section 361 of inside gain is the amount by which the respect to US1 under § 1.367(a)–7(c)(2)(ii). exchange, but prior to and without taking aggregate fair market value ($400x) of the Because UST does not recognize gain on the into account UST’s distribution of the FA section 367(a) property (Asset A, CFC1 stock, section 361 exchange with respect to US1 stock under section 361(c)(1). As a result, and CFC2 stock) exceeds the sum of the under § 1.367(a)–7(c)(2)(ii) (as determined in paragraph (e)(3)(iii) of this section is inside basis ($60x) and $0x (the product of paragraph (ii)(D) of this Example 3), the applicable to the section 361 exchange of the the section 367(a) percentage (100%) attributable inside gain of $170x with respect CFC1 stock and CFC2 stock. US1, US2, and multiplied by UST’s deductible liabilities to US1 is not reduced under § 1.367(a)– X each own (applying the attribution rules of ($0x)). Pursuant to § 1.367(a)–7(f)(4), the 7(c)(3)(i)(A). US1’s outside gain (as defined section 318, as modified by section 958(b)) inside basis equals the aggregate basis of the in § 1.367(a)–7(f)(6)) in the FA stock is $20x, 5% or more of the total voting power or value section 367(a) property transferred in the the product of the section 367(a) percentage of the FA stock immediately after the section 361 exchange ($60x), increased by (100%) multiplied by the $20x gain (equal to reorganization, or 30%, 18%, and 12%, any gain or deemed dividends recognized by the difference between $200x fair market respectively. Accordingly, in order to meet UST with respect to the section 367(a) value and $180x section 358 basis in the FA the requirements of paragraph (e)(3)(iii)(A) of property under section 367 ($0x), but not stock). Thus, US1’s $180x section 358 basis this section, US1 and US2 must enter into including the $68x of gain recognized by in the FA stock must be reduced by $150x gain recognition agreements with respect to UST under § 1.367(a)–7(c)(2)(i). Under (the excess of $170x attributable inside gain, the CFC1 stock and CFC2 stock that satisfy § 1.367(a)–7(e)(1), the $68x gain recognized is reduced by $0x, over $20x outside gain) to the requirements of paragraph (e)(6) of this treated as being with respect to the CFC1 $30x. Similarly, US2’s section 358 basis in section and § 1.367(a)–8. X is not required to stock, CFC2 stock, and Asset A in proportion the FA stock received of $100x (equal to enter into a gain recognition agreement to the amount of gain realized by UST on the US2’s basis in the UST stock exchanged) is because the amount of gain that would be transfer of the property. The amount treated reduced to preserve the attributable inside subject to the gain recognition agreement is as recognized with respect to the CFC1 stock gain with respect to US2, less any gain zero. See paragraph (ii)(J) of this Example 3 is $4x ($68x gain multiplied by $20x/$340x). recognized with respect to US2 under for the computation of the amount of gain The amount treated as recognized with § 1.367(a)–7(c)(2)(ii). Because UST does not subject to each gain recognition agreement. respect to the CFC2 stock is $26x ($68x gain recognize gain on the section 361 exchange Assuming US1 and US2 enter into the gain multiplied by $130x/$340x). The amount with respect to US2 under § 1.367(a)– recognitions agreements described above, the treated as recognized with respect to Asset A 7(c)(2)(ii) (as determined in paragraph (ii)(D) requirements of paragraph (e)(3) of this is $38x ($68x gain multiplied by $190x/ of this Example 3), the attributable inside section are satisfied and accordingly, UST $340x). Under section 1248(a), UST must gain of $102x with respect to US2 is not does not recognize the gain realized of $20x include in gross income as a dividend the reduced under § 1.367(a)–7(c)(3)(i)(A). US2’s in the stock of CFC1 or the gain realized of $4x gain recognized with respect to the CFC1 outside gain in the FA stock is $20x, the $130x in the stock of CFC2 pursuant to this stock and the $26x gain recognized with product of the section 367(a) percentage section. respect to CFC2 stock. Furthermore, FA’s (100%) multiplied by the $20x gain (equal to (B) UST’s transfer of the CFC1 stock and basis in the CFC1 stock, CFC2 stock, and the difference between $120x fair market CFC2 stock to FA pursuant to the section 361 Asset A, as determined under section 362, is value and $100x section 358 basis in FA exchange is subject to § 1.367(b)–4(b)(1)(i), increased by the amount of gain recognized stock). Thus, US2’s $100x section 358 basis which applies prior to the application of by UST with respect to such property. See in the FA stock must be reduced by $82x (the § 1.367(a)–7(c). See paragraph (e)(1) of this § 1.367(a)–1(b)(4)(i)(B). Thus, FA’s basis in excess of $102x attributable inside gain, section. UST (the exchanging shareholder) is the CFC1 stock is $24x ($20x increased by reduced by $0x, over $20x outside gain) to a U.S. person and a section 1248 shareholder $4x of gain), the CFC2 stock is $56x ($30x $18x. with respect to CFC1 and CFC2 (each a increased by $26x of gain), and Asset A is (F) UST’s distribution of the FA stock to foreign acquired corporation). However, UST $48x ($10x increased by $38x of gain). US1, US2, and X under section 361(c)(1)

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(new stock distribution) is subject to shares). Similarly, US2’s hypothetical section paragraph (ii)(C) of this Example 3. The fair § 1.1248(f)–1(b)(3). Except as provided in 1248 amount with respect to the CFC1 stock market value of the CFC1 stock, CFC2 stock, § 1.1248(f)–2(c), under § 1.1248(f)–1(b)(3) is $6x ($20x multiplied by 30%, reduced by and Asset A is $40x, $160x, and $200x, for UST must include in gross income as a $0x), and the attributable share amount is an aggregate fair market value of $400x. dividend the total section 1248(f) amount (as also $.33x ($6x/18 shares). Finally, US2’s Furthermore, US1’s 30 shares of FA stock defined in § 1.1248(f)–1(c)(14)). The total hypothetical section 1248 amount with have an aggregate fair market value of $200x section 1248(f) amount is $120x, the sum of respect to the CFC2 stock is $39x ($130x and section 358 basis of $30x (resulting in the section 1248(f) amount (as defined in multiplied by 30%, reduced by $0x), and the aggregate gain of $170x), and US2’s 18 shares § 1.1248(f)–1(c)(10)) with respect to the CFC1 attributable share amount is also $2.17x of FA stock have an aggregate fair market stock ($16x) and CFC2 stock ($104x). The ($39x/18 shares). Thus, the sum of the value of $120x and section 358 basis of $18x $16x section 1248(f) amount with respect to portion of the section 1248(f) amount with (resulting in aggregate gain of $102x). See the CFC1 stock is the amount that UST respect to the CFC1 stock and CFC2 stock paragraph (ii)(E) of this Example 3. would have included in income as a attributable to shares of stock of FA (1) With respect to US1’s 30 shares of FA dividend under § 1.367(b)–4(b)(1)(i) with distributed to US1 and US2 is $120x ($10x stock, the portions attributable to the CFC1 respect to the CFC1 stock if the requirements plus $65x plus $6x plus $39x). stock have an aggregate basis of $5.63x ($30x of § 1.367(b)–4(b)(1)(ii)(A) had not been (2) If the shares of FA stock are divided multiplied by $24x/$128x) and fair market satisfied ($20x), reduced by the amount of into portions, § 1.1248(f)–2(d)(2) applies to value of $20x ($200x multiplied by $40x/ gain recognized by UST under § 1.367(a)– attribute the attributable share amount to $400x), resulting in aggregate gain in such 7(c)(2) allocable to the CFC1 stock and portions of shares of FA stock distributed to portions of $14.38x (or $.48x gain in each treated as a dividend under section 1248(a) US1 and US2. Under § 1.1248(f)–2(c)(2) each such portion of the 30 shares). The portions ($4x, as described in paragraph (ii)(C) of this share of FA stock received by US1 (30 shares) attributable to the CFC2 stock have an Example 3). Similarly, the section 1248(f) and US2 (18 shares) is divided into three aggregate basis of $13.13x ($30x multiplied amount with respect to the CFC2 stock is portions, one attributable to the single block by $56x/$128x) and fair market value of $80x $104x ($130x reduced by $26x). of stock of CFC1, one attributable to the ($200x multiplied by $160x/$400x), resulting (G) If, however, UST along with US1 and single block of stock of CFC2, and one in aggregate gain in such portions of $66.88x US2 (each a section 1248 shareholder of FA attributable to Asset A. Thus, the attributable (or $2.23x in each such portion of the 30 immediately after the distribution) elect to share amount of $.33x with respect to the shares). The portions attributable to Asset A apply the provisions of § 1.1248(f)–2(c) (as CFC1 stock is attributed to the portion of have an aggregate basis of $11.25x ($30x provided in § 1.1248(f)–2(c)(1)), the amount each of the 30 shares and 18 shares of FA multiplied by $48x/$128x) and fair market that UST is required to include in income as stock received by US1 and US2, respectively, value of $100x ($200x multiplied by $200x/ a dividend under § 1.1248(f)–1(b)(3) ($120x that relates to the CFC1 stock. Similarly, the $400x), resulting in aggregate gain in such total section 1248(f) amount as computed in attributable share amount of $2.17x with portions of $88.75x (or $2.96x in each such paragraph (ii)(F) of this Example 3) is respect to the CFC2 stock is attributed to the portion of the 30 shares). Thus, the aggregate reduced by the sum of the portions of the portion of each of the 30 shares and 18 shares gain in all the portions of the 30 shares is section 1248(f) amount with respect to the of FA stock received by US1 and US2, $170x ($14.38x plus $66.88x plus $88.75x). CFC1 stock and CFC2 stock that is respectively, that relates to the CFC2 stock. (2) With respect to US2’s 18 shares of FA attributable (under the rules of § 1.1248(f)– (3) The total section 1248(f) amount stock, the portions attributable to the CFC1 2(d)) to the FA stock distributed to US1 and ($120x) that UST is otherwise required to stock have an aggregate basis of $3.38x ($18x US2. Assume that the election is made to include in gross income as a dividend under multiplied by $24x/$128x) and fair market apply § 1.1248(f)–2(c). § 1.1248(f)–1(b)(3) is reduced by $120x, the value of $12x ($120x multiplied by $40x/ (1) Under § 1.1248(f)–2(d)(1), the portion of sum of the portions of the section 1248(f) $400x), resulting in aggregate gain in such the section 1248(f) amount with respect to amount with respect to the CFC1 stock and portions of $8.63x (or $.48x in each such the CFC1 stock that is attributed to the 30 CFC2 stock that are attributable to the shares portion of the 18 shares). The portions shares of FA stock distributed to US1 is equal of FA stock distributed to US1 and US2. attributable to the CFC2 stock have an to the hypothetical section 1248 amount (as Thus, the amount DC is required to include aggregate basis of $7.88x ($18x multiplied by defined in § 1.1248(f)–1(c)(4)) with respect to in gross income as a dividend under $56x/$128x) and fair market value of $48x the CFC1 stock that is attributable to US1’s § 1.1248(f)–1(b)(3) is $0x ($120x reduced by ($120x multiplied by $160x/$400x), resulting ownership interest percentage in UST. US1’s $120x). in aggregate gain of $40.13x (or $2.23x in hypothetical section 1248 amount with (H) As stated in paragraph (ii)(G)(2) of this each such portion of the 18 shares). The respect to the CFC1 stock is the amount that Example 3, under § 1.1248(f)–2(c)(2) each portions attributable to Asset A have an UST would have included in income as a share of FA stock received by US1 (30 shares) aggregate basis of $6.75x ($18x multiplied by deemed dividend under § 1.367(b)–4(b)(1)(i) and US2 (18 shares) is divided into three $48x/$128x) and fair market value of $60x with respect to the CFC1 stock if the portions, one attributable to the CFC1 stock, ($120x multiplied by $200x/$400x), resulting requirements of § 1.367(b)–4(b)(1)(ii)(A) had one attributable to the CFC2 stock, and one in aggregate gain of $53.25x (or $2.96x in not been satisfied ($20x) and that would be attributable to Asset A. Under § 1.1248(f)– each such portion of the 18 shares). Thus, the attributable to US1’s ownership interest 2(c)(4)(i), the basis of each portion is the aggregate gain in all the portions of the 18 percentage in UST (50%), reduced by the product of US1’s and US2’s section 358 basis shares is $102x ($8.63x plus $40.13x plus amount of gain recognized by UST under in the share of FA stock multiplied by the $53.25x). § 1.367(a)–7(c)(2) attributable to US1 and ratio of the section 362 basis of the property (3) Under § 1.1248–8(b)(2)(iv), the earnings allocable to the CFC1 stock, but only to the (CFC1 stock, CFC2 stock, or Asset A, as and profits of CFC1 attributable to the extent such gain is treated as a dividend applicable) received by FA in the section 361 portions of US1’s 30 shares of FA stock that under section 1248(a) ($0x, as described in exchange to which the portion relates, to the relate to the CFC1 stock is $15x (the product paragraphs (ii)(C) and (D) of this Example 3). aggregate section 362 basis of all property of US1’s 50% ownership interest percentage Thus, US1’s hypothetical section 1248 received by FA in the section 361 exchange. in UST multiplied by $30x of earnings and amount with respect to the CFC1 stock is Under § 1.1248(f)–2(c)(4)(ii), the fair market profits attributable to the CFC1 stock before $10x ($20x multiplied by 50%, reduced by value of each portion is the product of the the section 361 exchange, reduced by $0x of $0x). The $10x hypothetical section 1248 fair market value of the share of FA stock dividend included in UST’s income with amount is attributed pro rata (based on multiplied by the ratio of the fair market respect to the CFC1 stock under section relative values) among the 30 shares of FA value of the property (CFC1 stock, CFC2 1248(a) attributable to US1). The earnings stock distributed to US1, and the attributable stock, or Asset A, as applicable) to which the and profits of CFC2 attributable to the share amount (as defined in § 1.1248(f)– portion relates, to the aggregate fair market portions of US1’s 30 shares of FA stock that 2(d)(1)) is $.33x ($10x/30 shares). Similarly, value of all property received by FA in the relate to the CFC2 stock is $75x (the product US1’s hypothetical section 1248 amount with section 361 exchange. The section 362 basis of US1’s 50% ownership interest percentage respect to the CFC2 stock is $65x ($130x of the CFC1 stock, CFC2 stock, and Asset A in UST multiplied by $150x of earnings and multiplied by 50%, reduced by $0x), and the is $24x, $56x, and $48x, respectively, for an profits attributable to the CFC2 stock before attributable share amount is $2.17x ($65x/30 aggregate section 362 basis of $128x. See the section 361 exchange, reduced by $0x of

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dividend included in UST’s income with its 18 shares of FA stock that relate to the ($0x with respect to the CFC1 stock, and $0x respect to the CFC2 stock under section CFC1 stock because the $6x section 1248(f) with respect to the CFC2 stock). X is not 1248(a) attributable to US1). Similarly, the amount with respect to the CFC1 stock required to enter into a gain recognition earnings and profits of CFC1 attributable to attributable to the portions of the shares of agreement because the amount of gain that the portions of US2’s 18 shares of FA stock FA stock received by US2 (as computed in would be subject to the gain recognition that relate to the CFC1 stock is $9x (the paragraph (ii)(G) of this Example 3) does not agreement is $0x with respect to the CFC1 product of US2’s 30% ownership interest exceed US2’s postdistribution amount stock, and $0x with respect to the CFC2 percentage in UST multiplied by $30x of ($8.63x) in those portions. The $8.63x stock, computed as X’s ownership percentage earnings and profits attributable to the CFC1 postdistribution amount equals the amount (20%) multiplied by the gain realized in the stock before the section 361 exchange, that US2 would be required to include in stock of CFC1 ($20x multiplied by 20%, or reduced by $0x of dividend included in income as a dividend under section 1248(a) $4x) and CFC2 ($130x multiplied by 20%, or UST’s income with respect to the CFC1 stock with respect to such portion if it sold the 18 $26x), reduced by the amount of gain under section 1248(a) attributable to US2). shares of FA stock immediately after the recognized by UST with respect to the stock Finally, the earnings and profits of CFC2 distribution in a transaction in which all of CFC1 and CFC2 that is attributable to X attributable to the portions of US2’s 18 shares realized gain is recognized, without taking pursuant to § 1.367(a)–7(c)(2) ($4x and $26x, of FA stock that relate to the CFC2 stock is into account basis adjustments or income respectively, as determined in paragraph $45x (the product of US2’s 30% ownership inclusions under § 1.1248(f)–2(c)(3) ($12x fair (ii)(C) of this Example 3). Pursuant to interest percentage in UST multiplied by market value, $3.38x basis, and $9x earnings paragraph (e)(6)(ii) of this section, each gain $150x of earnings and profits attributable to and profits attributable to the portions for recognition agreement must include the the CFC2 stock before the section 361 purposes of section 1248). Similarly, US2 is election described in § 1.367(a)–8(c)(2)(vi). exchange, reduced by $0x of dividend not required to reduce the aggregate section Furthermore, pursuant to paragraph (e)(6)(iii) included in UST’s income with respect to the 358 basis of the portions of its 18 shares of of this section, US1 and US2 must be CFC2 stock under section 1248(a) attributable FA stock that relate to the CFC2 stock designated as the U.S. transferor on their to US2). because the $39x section 1248(f) amount respective gain recognition agreements for (I) Under § 1.1248(f)–2(c)(3), neither US1 with respect to the CFC2 stock attributable to purposes of § 1.367(a)–8. nor US2 is required to reduce the aggregate the portions of the shares of FA stock section 358 basis in the portions of their received by US2 (as computed in paragraph (9) Illustration of rules. For rules respective shares of FA stock, and UST is not (ii)(G) of this Example 3) does not exceed relating to certain distributions of stock required to include in gross income any US1’s postdistribution amount ($40.13x) in of a foreign corporation by a domestic additional deemed dividend. those portions. The $40.13x postdistribution (1) US1 is not required to reduce the corporation, see section 1248(f) and amount equals the amount that US2 would §§ 1.1248(f)–1 through 1.1248(f)–3. aggregate section 358 basis of the portions of be required to include in income as a its 30 shares of FA stock that relate to the dividend under section 1248(a) with respect * * * * * CFC1 stock because the $10x section 1248(f) to such portion if it sold the 18 shares of FA (g) * * * amount with respect to the CFC1 stock stock immediately after the distribution in a (1) * * * attributable to the portions of the shares of transaction in which all realized gain is (vii) * * * FA stock received by US1 (as computed in recognized, without taking into account basis (A) Except as provided in this paragraph (ii)(G) of this Example 3) does not adjustments or income inclusions under exceed US1’s postdistribution amount (as paragraph (g)(1)(vii), the rules of defined in § 1.1248(f)–1(c)(6), or $14.38x) in § 1.1248(f)–2(c)(3) ($48x fair market value, paragraph (e) of this section apply to those portions. The $14.38x postdistribution $7.88x basis, and $45x earnings and profits transfers of stock or securities occurring amount equals the amount that US1 would attributable to the portions for purposes of on or after April 17, 2013. For matters be required to include in income as a section 1248). covered in this section for periods (J) The amount of gain subject to the gain dividend under section 1248(a) with respect before April 17, 2013, but on or after to such portion if it sold the 30 shares of FA recognition agreement filed by each of US1 and US2 is determined pursuant to paragraph March 13, 2009, see § 1.367(a)–3(e) as stock immediately after the distribution in a contained in 26 CFR part 1 revised as of transaction in which all realized gain is (e)(6)(i) of this section. The amount of gain recognized, without taking into account basis subject to the gain recognition agreement April 1, 2012. For matters covered in adjustments or income inclusions under filed by US1 with respect to the stock of this section for periods before March 13, § 1.1248(f)–2(c)(3) ($20x fair market value, CFC1 and CFC2 is $10x and $65x, 2009, but on or after March 7, 2007, see $5.63x basis, and $15x earnings and profits respectively. The $10x and $65x are § 1.367(a)–3T(e) as contained in 26 CFR attributable to the portions for purposes of computed as the product of US1’s ownership part 1 revised as of April 1, 2007. For section 1248). Similarly, US1 is not required interest percentage (50%) multiplied by the matters covered in this section for to reduce the aggregate section 358 basis of gain realized by UST in the CFC1 stock ($20x) and CFC2 stock ($130x), respectively, periods before March 7, 2007, but on or the portions of its 30 shares of FA stock that after July 20, 1998, see § 1.367(a)– relate to the CFC2 stock because the $65x as determined prior to taking into account section 1248(f) amount with respect to the the application of any other provision of 8(f)(2)(i) as contained in 26 CFR part 1 CFC2 stock attributable to the portions of the section 367, reduced by the sum of the revised as of April 1, 2006. shares of FA stock received by US1 (as amounts described in paragraphs (e)(6)(i)(A) * * * * * computed in paragraph (ii)(G) of this through (D) of this section with respect to the (ix) Paragraphs (d)(2)(vi)(B)(1)(i) and Example 3) does not exceed US1’s CFC1 stock and CFC2 stock attributable to (iii), (d)(2)(vi)(B)(2), and (d)(3), US1 ($0x with respect to the CFC1 stock, and postdistribution amount ($66.88x) in those Examples 6B, 6C, and 9 of this section portions. The $66.88x postdistribution $0x with respect to the CFC2 stock). The amount equals the amount that US1 would amount of gain subject to the gain recognition apply to transfers that occur on or after be required to include in income as a agreement filed by US2 with respect to the March 18, 2013. See paragraphs dividend under section 1248(a) with respect stock of CFC1 and CFC2 is $6x and $39x, (d)(2)(vi)(B)(1)(i) and (iii), to such portion if it sold the 30 shares of FA respectively. The $6x and $39x are computed (d)(2)(vi)(B)(2), and (d)(3), Examples 6B, stock immediately after the distribution in a as the product of US2’s ownership interest 6C, and 9 of this section, as contained transaction in which all realized gain is percentage (30%) multiplied by the gain in 26 CFR part 1 revised as of April 1, recognized, without taking into account basis realized by UST in the CFC1 stock ($20x) and 2012, for transfers that occur on or after adjustments or income inclusions under CFC2 stock ($130x), respectively, as January 23, 2006, and before March 18, determined prior to taking into account the § 1.1248(f)–2(c)(3) ($80x fair market value, 2013. Paragraph (d)(2)(vi)(B)(1)(ii) of $13.13x basis, and $75x earnings and profits application of any other provision of section attributable to the portions for purposes of 367, reduced by the sum of the amounts this section applies to statements that section 1248). described in paragraphs (e)(6)(i)(A) through are required to be filed on or after (2) US2 is not required to reduce the (D) of this section with respect to the CFC1 November 19, 2014. See paragraph aggregate section 358 basis of the portions of stock and CFC2 stock attributable to US2 (d)(2)(vi)(B)(1)(ii) of this section, as

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contained in 26 CFR part 1 revised as of (2) Procedures for establishing that a due to reasonable cause and not willful April 1, 2014, for statements required to failure to timely comply was due to neglect using the procedure set forth in be filed on or after March 18, 2013, and reasonable cause and not willful paragraph (f)(3)(ii) of this section. before November 19, 2014. neglect—(i) Time of submission. A Whether the failure to timely comply * * * * * reporting person’s statement that the was due to reasonable cause and not failure to timely comply was due to willful neglect will be determined by § 1.367(a)–3T [Removed] reasonable cause and not willful neglect the Director of Field Operations, Cross ■ Par. 3. Section 1.367(a)–3T is will be considered only if, promptly Border Activities Practice Area of Large removed. after the reporting person becomes Business & International (Director) ■ Par. 4. Section 1.367(a)–6 is added to aware of the failure, an amended return based on all the facts and read as follows: is filed for the taxable year to which the circumstances. failure relates that includes the (ii) Procedures for establishing that a § 1.367(a)–6 Transfer of foreign branch information that should have been with previously deducted losses. failure to timely comply was due to included with the original return for reasonable cause and not willful (a) through (e)(3) [Reserved]. For such taxable year or that otherwise neglect—(A) Time of submission. A U.S. further guidance, see § 1.367(a)–6T(a) complies with the rules of this section, through (e)(3). transferor’s statement that the failure to and that includes a written statement timely comply was due to reasonable (4) Gain recognized under section explaining the reasons for the failure to 367(a). The previously deducted branch cause and not willful neglect will be timely comply. considered only if, promptly after the losses shall be reduced by any gain (ii) Notice requirement. In addition to recognized pursuant to section 367(a)(1) U.S. transferor becomes aware of the the requirements of paragraph (a)(2)(i) of failure, an amended return is filed for (other than by reason of the provisions this section, the reporting person must of this section) upon the transfer of the the taxable year to which the failure comply with the notice requirements of relates that includes the information assets of the foreign branch to the this paragraph (a)(2)(ii). If any taxable foreign corporation. For transactions that should have been included with the year of the reporting person is under original return for such taxable year or occurring on or after April 17, 2013, examination when the amended return notwithstanding the prior sentence, this that otherwise complies with the rules is filed, a copy of the amended return of this section, and that includes a paragraph (e)(4) shall apply before the and any information required to be rules of § 1.367(a)–7(c). written statement explaining the reasons included with such return must be (e)(5) through (i) [Reserved]. For for the failure to timely comply. delivered to the Internal Revenue further guidance, see § 1.367(a)–6T(e)(5) (B) Notice requirement. In addition to through (i). Service personnel conducting the examination. If no taxable year of the the requirements of paragraph (f)(3)(ii)(A) of this section, the U.S. § 1.367(a)–6T [Amended] reporting person is under examination when the amended return is filed, a transferor must comply with the notice ■ Par. 5. Section 1.367(a)–6T is requirements of this paragraph amended by removing and reserving copy of the amended return and any information required to be included (f)(3)(ii)(B). If any taxable year of the paragraph (e)(4) and removing U.S. transferor is under examination paragraph (j). with such return must be delivered to the Director. when the amended return is filed, a ■ Par. 6. Section 1.1248(f)–3 is revised copy of the amended return and any by adding paragraph (a) and adding a (b) * * * (1) * * * The provisions of information required to be included sentence at the end of paragraph (b)(1) with such return must be delivered to to read as follows: § 1.1248(f)–3(a) apply to distributions occurring on or after April 17, 2013. the Internal Revenue Service personnel conducting the examination. If no § 1.1248(f)–3 Reasonable cause and * * * * * effective/applicability dates. taxable year of the U.S. transferor is (a) Reasonable cause for failure to § 1.1248(f)–3T [Removed] under examination when the amended return is filed, a copy of the amended comply—(1) Request for relief. If an 80- ■ Par. 7. Section 1.1248(f)–3T is percent distributee, a distributee that is return and any information required to removed. be included with such return must be a section 1248 shareholder, or the ■ Par. 8. Section 1.6038B–1 is amended domestic distributing corporation delivered to the Director. by: * * * * * (reporting person) fails to timely comply ■ 1. Removing ‘‘or § 1.367(a)–3T’’ from with any requirement under § 1.1248(f)– paragraph (c)(4)(ii). § 1.6038B–1T [Amended] 2, the failure shall be deemed not to ■ 2. Revising paragraph (f)(3). have occurred if the reporting person is The revision reads as follows: ■ Par. 9. Section 1.6038B–1T is able to demonstrate that the failure was amended by removing and reserving due to reasonable cause and not willful § 1.6038B–1 Reporting of certain transfers paragraphs (c)(4)(ii)(B) and (f)(3). neglect using the procedure set forth in to foreign corporations. paragraph (a)(2) of this section. Whether * * * * * §§ 1.367(a)–2T, 1.367(a)–3, 1.367(a)–4T, 1.367(a)–7, 1.367(a)-8, 1.367(b)–4, 1.367(e)– the failure to timely comply was due to (f) * * * 1, 1.1248(f)–1, 1.1248(f)–2, 1.6038B–1, reasonable cause and not willful neglect (3) Reasonable cause for failure to 1.6038B–1T [Amended] will be determined by the Director of comply—(i) Request for relief. If the U.S. Field Operations, Cross Border transferor fails to comply with any ■ Par. 10. For each section listed in the Activities Practice Area of Large requirement of section 6038B and this table, remove the language in the Business & International (Director) section, the failure shall be deemed not ‘‘Remove’’ column and add in its place based on all the facts and to have occurred if the U.S. transferor is the language in the ‘‘Add’’ column as set circumstances. able to demonstrate that the failure was forth below:

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Section Remove Add

§ 1.367(a)–2T(a)(2), fourth sentence ...... § 1.367(a)–3T ...... § 1.367(a)–3. § 1.367(a)–3(d)(3), Example 12(ii), third sentence ...... § 1.367(a)–3T(e)(3) ...... § 1.367(a)–3(e)(3). § 1.367(a)–4T(d), first sentence ...... § 1.367(a)–3T ...... § 1.367(a)–3. § 1.367(a)–7(c) introductory text, second sentence .... § 1.367(a)–3T ...... § 1.367(a)–3. § 1.367(a)–7(c)(2)(i)(A), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(c)(2)(ii)(A)(1), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(C) ...... § 1.367(a)–3(e)(3)(iii)(C). § 1.367(a)–7(c)(3)(v), first sentence ...... § 1.367(a)–3T(e)(8) ...... § 1.367(a)–3(e)(8). § 1.367(a)–7(c)(4)(ii), first sentence ...... § 1.367(a)–3T(e) ...... § 1.367(a)–3(e). § 1.367(a)–7(e)(1), third sentence ...... § 1.367(a)–3T(e) ...... § 1.367(a)–3(e). § 1.367(a)–7(e)(1), fourth sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(e)(4)(i), paragraph heading ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(e)(4)(i), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(e)(4)(i), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(e)(4)(i), last sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(e)(4)(ii), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(e)(4)(ii), last sentence ...... § 1.367(a)–3T(e)(7) ...... § 1.367(a)–3(e)(7). § 1.367(a)–7(e)(4)(ii), last sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(e)(5)(i), paragraph heading ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(e)(5)(i), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(e)(5)(i), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(e)(5)(i), last sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(e)(5)(ii), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(e)(5)(ii), first sentence ...... § 1.367(a)–3T(e)(7) ...... § 1.367(a)–3(e)(7). § 1.367(a)–7(f)(4), last sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(f)(4)(i), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(B) ...... § 1.367(a)–3(e)(3)(iii)(B). § 1.367(a)–7(f)(4)(ii), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(f)(4)(iii), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.367(a)–7(g) introductory text, second sentence .... § 1.367(a)–3T(e)(8) ...... § 1.367(a)–3(e)(8). § 1.367(a)–7(h), second sentence ...... § 1.367(a)–3T(e) ...... § 1.367(a)–3(e). § 1.367(a)–8(c)(6), first sentence ...... § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). § 1.367(a)–8(j)(9), first sentence ...... § 1.367(a)–3T(e)(6)(iv) ...... § 1.367(a)–3(e)(6)(iv). § 1.367(b)–4(b)(1)(iii) Example 4(i), ninth sentence .... § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). § 1.367(b)–4(b)(1)(iii), Example 4(i), tenth sentence ... § 1.367(a)–3T(e) ...... § 1.367(a)–3(e). § 1.367(b)–4(b)(1)(iii), Example 5(i), penultimate sen- § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). tence. § 1.367(b)–4(b)(1)(iii) Example 5(i), last sentence ...... § 1.367(a)–3T(e) ...... § 1.367(a)–3(e). § 1.367(e)–1(e), first sentence ...... § 1.367(a)–3T(e) ...... § 1.367(a)–3(e). § 1.1248(f)–1(c)(4)(i), first sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.1248(f)–2(e) introductory text, second sentence ... § 1.367(a)–3T(e)(8), Example 3 ...... § 1.367(a)–3(e)(8), Example 3. § 1.1248(f)–2(e), Example 2(i), last sentence ...... § 1.367(a)–3T(e)(3)(iii)(A) ...... § 1.367(a)–3(e)(3)(iii)(A). § 1.1248(f)–2(e), Example 2(i), last sentence ...... § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). § 1.1248(f)–2(e), Example 2(ii)(A), first sentence ...... § 1.367(a)–3T(e)(2) ...... § 1.367(a)–3(e)(2). § 1.1248(f)–2(e), Example 2(ii)(A), first sentence ...... § 1.367(a)–3T(e)(3)(i) ...... § 1.367(a)–3(e)(3)(i). § 1.1248(f)–2(e), Example 2(ii)(A), second sentence .. § 1.367(a)–3T(e)(3)(i) ...... § 1.367(a)–3(e)(3)(i). § 1.1248(f)–2(e), Example 2(ii)(A), third sentence ...... § 1.367(a)–3T(e)(3)(ii) ...... § 1.367(a)–3(e)(3)(ii). § 1.1248(f)–2(e), Example 2(ii)(A), fourth sentence .... § 1.367(a)–3T(e)(3)(iii) ...... § 1.367(a)–3(e)(3)(iii). § 1.1248(f)–2(e), Example 2(ii)(A), fourth sentence .... § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). § 1.1248(f)–2(e), Example 3(i), penultimate sentence § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). § 1.1248(f)–2(e), Example 3(ii)(A), first sentence ...... § 1.367(a)–3T(e)(2) ...... § 1.367(a)–3(e)(2). § 1.1248(f)–2(e), Example 3(ii)(A), first sentence ...... § 1.367(a)–3T(e)(3)(i) ...... § 1.367(a)–3(e)(3)(i). § 1.1248(f)–2(e), Example 3(ii)(A), second sentence .. § 1.367(a)–3T(e)(3)(i) ...... § 1.367(a)–3(e)(3)(i). § 1.1248(f)–2(e), Example 3(ii)(A), third sentence ...... § 1.367(a)–3T(e)(3)(ii) ...... § 1.367(a)–3(e)(3)(ii). § 1.1248(f)–2(e), Example 3(ii)(A), fourth sentence .... § 1.367(a)–3T(e)(3)(iii) ...... § 1.367(a)–3(e)(3)(iii). § 1.1248(f)–2(e), Example 3(ii)(A), fourth sentence .... § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). § 1.1248(f)–2(e), Example 3(ii)(G), first sentence ...... § 1.367(a)–3T(e)(6) ...... § 1.367(a)–3(e)(6). § 1.1248(f)–2(e), Example 3(ii)(G), first sentence ...... § 1.367(a)–3T(e)(6)(i)(A) ...... § 1.367(a)–3(e)(6)(i)(A). § 1.1248(f)–2(f), third sentence ...... § 1.367(a)–3T(e) ...... § 1.367(a)–3(e). § 1.6038B–1T(c)(4)(ii)(A), second sentence ...... § 1.367(a)–3T(d)(2) ...... § 1.367(a)–3(d)(2). § 1.6038B–1T(c)(4)(ii)(A), second sentence ...... § 1.367(a)–3T(d)(2) ...... § 1.367(a)–3(d)(2).

John Dalrymple, Deputy Commissioner for Services and Enforcement. Dated: March 11, 2016. Mark J. Mazur, Assistant Secretary of the Treasury (Tax Policy). [FR Doc. 2016–06404 Filed 3–18–16; 4:15 pm] BILLING CODE 4830–01–P

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Proposed Rules Federal Register Vol. 81, No. 55

Tuesday, March 22, 2016

This section of the FEDERAL REGISTER Examining the AD Docket public contact with FAA personnel contains notices to the public of the proposed You may examine the AD docket on concerning this proposed rulemaking. issuance of rules and regulations. The Before acting on this proposal, we will purpose of these notices is to give interested the Internet at http:// www.regulations.gov by searching for consider all comments we receive on or persons an opportunity to participate in the before the closing date for comments. rule making prior to the adoption of the final and locating Docket No. FAA–2015– rules. 3781; or in person at the Docket We will consider comments filed after Operations Office between 9 a.m. and 5 the comment period has closed if it is p.m., Monday through Friday, except possible to do so without incurring DEPARTMENT OF TRANSPORTATION Federal holidays. The AD docket expense or delay. We may change this contains this proposed AD, the proposal in light of the comments we Federal Aviation Administration European Aviation Safety Agency receive. (EASA) AD, the economic evaluation, Discussion 14 CFR Part 39 any comments received, and other EASA, which is the aviation authority information. The street address for the for Italy, has issued AD No. 2015–0054, [Docket No. FAA–2015–3781; Directorate Docket Operations Office (telephone dated March 27, 2015, to correct an Identifier 2015–SW–048–AD] 800–647–5527) is in the ADDRESSES unsafe condition for Model A109A with section. Comments will be available in retrofit kit part number 109–0820–27– RIN 2120–AA64 the AD docket shortly after receipt. For service information identified in 101 installed, and Model A109A II, A109C, A109E, A109K2, A109LUH, Airworthiness Directives; Agusta this proposed rule, contact AgustaWestland, Product Support A109S, and AW109SP helicopters. S.p.A. Helicopters EASA advises that during scheduled Engineering, Via del Gregge, 100, 21015 maintenance on a Model A109S AGENCY: Federal Aviation Lonate Pozzolo (VA) Italy, ATTN: helicopter, three cracks were found on Administration (FAA), DOT. Maurizio D’Angelo; telephone 39–0331– the drive shaft. An investigation could 664757; fax 39–0331–664680; or at ACTION: Notice of proposed rulemaking not determine the cause of the cracking http://www.agustawestland.com/ (NPRM). but concluded it could not have been technical-bulletins. You may review the caused by fatigue. This condition, if not SUMMARY: We propose to adopt a new referenced service information at the detected and corrected, could lead to airworthiness directive (AD) for Agusta FAA, Office of the Regional Counsel, tail rotor failure, possibly resulting in Southwest Region, 10101 Hillwood S.p.A. (Agusta) Model A109A, A109A II, loss of helicopter control, EASA Pkwy., Room 6N–321, Fort Worth, TX A109C, A109E, A109K2, A109S and advises. EASA AD No. 2015–0054 76177. AW109SP helicopters. This proposed consequently requires a one-time AD would require visually inspecting FOR FURTHER INFORMATION CONTACT: inspection of the drive shaft, and the tail rotor drive shaft assembly (drive Martin R. Crane, Aviation Safety replacing the drive shaft if cracks are shaft) for a crack. This proposed AD is Engineer, Safety Management Group, found. prompted by the discovery of three Rotorcraft Directorate, FAA, 10101 cracks on the drive shaft of a Model Hillwood Pkwy., Fort Worth, TX 76177; FAA’s Determination A109S helicopter. The proposed actions telephone (817) 222–5110; email These helicopters have been approved are intended to detect a crack on the [email protected]. by the aviation authority of Italy and are drive shaft to prevent failure of the SUPPLEMENTARY INFORMATION: approved for operation in the United driveshaft, failure of the tail rotor, and States. Pursuant to our bilateral subsequent loss of helicopter control. Comments Invited agreement with Italy, EASA, its DATES: We must receive comments on We invite you to participate in this technical representative, has notified us this proposed AD by May 23, 2016. rulemaking by submitting written of the unsafe condition described in its comments, data, or views. We also AD. We are proposing this AD because ADDRESSES: You may send comments by invite comments relating to the any of the following methods: we evaluated all known relevant economic, environmental, energy, or information and determined that an • Federal eRulemaking Docket: Go to federalism impacts that might result unsafe condition is likely to exist or http://www.regulations.gov. Follow the from adopting the proposals in this develop on other products of the same online instructions for sending your document. The most helpful comments type design. comments electronically. reference a specific portion of the • Fax: 202–493–2251. proposal, explain the reason for any Related Service Information Under 1 • Mail: Send comments to the U.S. recommended change, and include CFR Part 51 Department of Transportation, Docket supporting data. To ensure the docket We reviewed AgustaWestland Operations, M–30, West Building does not contain duplicate comments, Bollettino Tecnico (BT) No. 109–147 for Ground Floor, Room W12–140, 1200 commenters should send only one copy Model A109A helicopters with retrofit New Jersey Avenue SE., Washington, of written comments, or if comments are kit P/N 109–0820–27–101 installed, DC 20590–0001. filed electronically, commenters should Model A109A II, and Model A109C • Hand Delivery: Deliver to the submit only one time. helicopters; BT No. 109EP–143 for ‘‘Mail’’ address between 9 a.m. and 5 We will file in the docket all Model A109E helicopters; BT No. 109K– p.m., Monday through Friday, except comments that we receive, as well as a 68 for Model A109K2 helicopters; BT Federal holidays. report summarizing each substantive No. 109S–067 for Model A109S

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helicopters; and BT No. 109SP–094 for Aviation Programs,’’ describes in more § 39.13 [Amended] Model AW109SP helicopters. All of the detail the scope of the Agency’s ■ 2. The FAA amends § 39.13 by adding BTs are dated March 25, 2015. authority. the following new airworthiness AgustaWestland reports that during a We are issuing this rulemaking under directive (AD): scheduled servicing of an A109S the authority described in ‘‘Subtitle VII, helicopter, three cracks were found on Part A, Subpart III, Section 44701: Agusta S.p.A.: Docket No. FAA–2015–3781; Directorate Identifier 2015–SW–048–AD. drive shaft P/N 109–8412–02–1. The General requirements.’’ Under that BTs prescribe a one-time drive shaft section, Congress charges the FAA with (a) Applicability inspection for cracks. promoting safe flight of civil aircraft in This AD applies to Agusta S.p.A. Model This service information is reasonably air commerce by prescribing regulations A109A, A109A II, A109C, A109E, A109K2, available because the interested parties for practices, methods, and procedures A109S, and AW109SP helicopters with a tail have access to it through their normal the Administrator finds necessary for rotor drive shaft assembly (drive shaft), part course of business or by the means safety in air commerce. This regulation number 109–8412–02–1 or 109–8412–02–3, identified in the ADDRESSES section. is within the scope of that authority installed, certificated in any category. Proposed AD Requirements because it addresses an unsafe condition (b) Unsafe Condition that is likely to exist or develop on This proposed AD would require, This AD defines the unsafe condition as a products identified in this rulemaking crack in a drive shaft. This condition could within 50 hours time-in-service, action. result in failure of a drive shaft, failure of the visually inspecting the drive shaft for a tail rotor, and subsequent loss of helicopter crack and replacing the drive shaft if it Regulatory Findings control. is cracked. We determined that this proposed AD (c) Comments Due Date would not have federalism implications Differences Between This Proposed AD We must receive comments by May 23, and the EASA AD under Executive Order 13132. This 2016. proposed AD would not have a The EASA AD applies to Agusta substantial direct effect on the States, on (d) Compliance Model A109LUH helicopters. This the relationship between the national You are responsible for performing each proposed AD would not because that Government and the States, or on the action required by this AD within the model does not have an FAA type distribution of power and specified compliance time unless it has certificate. responsibilities among the various already been accomplished prior to that time. Interim Action levels of government. (e) Required Actions We consider this proposed AD to be For the reasons discussed, I certify Within 50 hours time-in-service: an interim action. The design approval this proposed regulation: (1) Visually inspect each drive shaft in holder has not determined the cause of 1. Is not a ‘‘significant regulatory accordance with the Compliance the unsafe condition identified in this action’’ under Executive Order 12866; Instructions, paragraph 4, of AgustaWestland proposed AD. If a cause is determined Bollettino Tecnico (BT) No. 109–147, dated 2. Is not a ‘‘significant rule’’ under the March 25, 2015; BT No. 109EP–143, dated and actions developed to address the DOT Regulatory Policies and Procedures March 25, 2015; BT No. 109K–68, dated cause, we might consider additional (44 FR 11034, February 26, 1979); March 25, 2015; BT No. 109S–067, dated rulemaking. 3. Will not affect intrastate aviation in March 25, 2015; or BT No. 109SP–094, dated Costs of Compliance Alaska to the extent that it justifies March 25, 2015, as applicable for your model making a regulatory distinction; and helicopter. We estimate that this proposed AD (2) If there is a crack, replace the drive 4. Will not have a significant would affect 142 helicopters of U.S. shaft before further flight. economic impact, positive or negative, Registry and that labor costs average $85 on a substantial number of small entities (f) Alternative Methods of Compliance per work-hour. Based on these under the criteria of the Regulatory (AMOCs) estimates, we expect the following costs: Flexibility Act. (1) The Manager, Safety Management • Inspecting the drive shaft would We prepared an economic evaluation Group, FAA, may approve AMOCs for this require 9 work-hours and no parts. The AD. Send your proposal to: Martin R. Crane, estimated cost would be $765 per of the estimated costs to comply with Aviation Safety Engineer, Safety Management helicopter and $108,630 for the U.S. this proposed AD and placed it in the Group, Rotorcraft Directorate, FAA, 10101 fleet. AD docket. Hillwood Pkwy, Fort Worth, TX 76177; • Replacing the drive shaft would not List of Subjects in 14 CFR Part 39 telephone (817) 222–5110; email 9-ASW- require additional labor hours. Parts [email protected]. would cost $6,082 per helicopter. Air transportation, Aircraft, Aviation (2) For operations conducted under a 14 According to Agusta service safety, Incorporation by reference, CFR part 119 operating certificate or under Safety. 14 CFR part 91, subpart K, we suggest that information, some of the costs of this you notify your principal inspector, or proposed AD may be covered under The Proposed Amendment lacking a principal inspector, the manager of warranty, thereby reducing the cost the local flight standards district office or impact on affected individuals. We do Accordingly, under the authority certificate holding district office before not control warranty coverage by delegated to me by the Administrator, operating any aircraft complying with this Agusta. Accordingly, we have included the FAA proposes to amend 14 CFR part AD through an AMOC. 39 as follows: all costs in our cost estimate. (g) Additional Information Authority for This Rulemaking PART 39—AIRWORTHINESS The subject of this AD is addressed in DIRECTIVES European Aviation Safety Agency (EASA) AD Title 49 of the United States Code No. 2015–0054, dated March 27, 2015. You specifies the FAA’s authority to issue ■ 1. The authority citation for part 39 may view the EASA AD on the Internet at rules on aviation safety. Subtitle I, http://www.regulations.gov by searching for section 106, describes the authority of continues to read as follows: and locating it in Docket No. FAA–2015– the FAA Administrator. ‘‘Subtitle VII: Authority: 49 U.S.C. 106(g), 40113, 44701. 3781.

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(h) Subject Dated: March 17, 2016. do not wish to be made available to the Joint Aircraft Service Component (JASC) Dennis M. Keefe, public, submit the comment as a Code: 6510, Tail Rotor Drive Shaft. Director, Office of Food Additive Safety, written/paper submission and in the Issued in Fort Worth, Texas, on March 15, Center for Food Safety and Applied Nutrition. manner detailed (see ‘‘Written/Paper 2016. [FR Doc. 2016–06397 Filed 3–21–16; 8:45 am] Submissions’’ and ‘‘Instructions’’). Scott A. Horn, BILLING CODE 4164–01–P Written/Paper Submissions Acting Manager, Rotorcraft Directorate, Submit written/paper submissions as Aircraft Certification Service. DEPARTMENT OF HEALTH AND follows: [FR Doc. 2016–06373 Filed 3–21–16; 8:45 am] HUMAN SERVICES • Mail/Hand delivery/Courier (for BILLING CODE 4910–13–P written/paper submissions): Division of Food and Drug Administration Dockets Management (HFA–305), Food and Drug Administration, 5630 Fishers DEPARTMENT OF HEALTH AND 21 CFR Parts 878, 880, and 895 Lane, Rm. 1061, Rockville, MD 20852. HUMAN SERVICES • For written/paper comments [Docket No. FDA–2015–N–5017] submitted to the Division of Dockets Food and Drug Administration RIN 0910–AH02 Management, FDA will post your comment, as well as any attachments, 21 CFR Parts 73 and 74 Banned Devices; Proposal To Ban except for information submitted, Powdered Surgeon’s Gloves, [Docket No. FDA–2016–F–0821] marked and identified, as confidential, Powdered Patient Examination Gloves, if submitted as detailed in Milton W. Chu, M.D.; Filing of Color and Absorbable Powder for ‘‘Instructions.’’ Additive Petition Lubricating a Surgeon’s Glove Instructions: All submissions received must include the Docket No. FDA– AGENCY: Food and Drug Administration, AGENCY: Food and Drug Administration, HHS. 2015–N–5017 for ‘‘Banned Devices; HHS. Proposal to Ban Powdered Surgeon’s ACTION: ACTION: Notice of petition. Proposed rule. Gloves, Powdered Patient Examination Gloves, and Absorbable Powder for SUMMARY: The Food and Drug SUMMARY: The Food and Drug Administration (FDA or Agency) has Lubricating a Surgeon’s Glove.’’ Administration (FDA or we) is Received comments will be placed in announcing that we have filed a determined that Powdered Surgeon’s Gloves, Powdered Patient Examination the docket and, except for those petition, submitted by Milton W. Chu, submitted as ‘‘Confidential M.D., proposing that the color additive Gloves, and Absorbable Powder for Lubricating a Surgeon’s Glove present Submissions,’’ publicly viewable at regulations be amended to provide for http://www.regulations.gov or at the the safe use of titanium dioxide and an unreasonable and substantial risk of illness or injury and that the risk cannot Division of Dockets Management [phthalocyaninato (2-)] copper as between 9 a.m. and 4 p.m., Monday orientation marks for intraocular lenses. be corrected or eliminated by labeling or a change in labeling. Consequently, FDA through Friday. DATES: • The color additive petition was is proposing these devices be banned. Confidential Submissions—To filed on February 19, 2016. DATES: Submit either electronic or submit a comment with confidential FOR FURTHER INFORMATION CONTACT: written comments by June 20, 2016. information that you do not wish to be Laura Dye, Center for Food Safety and made publicly available, submit your ADDRESSES: You may submit comments Applied Nutrition (HFS–265), Food and comments only as a written/paper as follows: Drug Administration, 5100 Paint Branch submission. You should submit two Pkwy., College Park, MD 20740–3835, Electronic Submissions copies total. One copy will include the 240–402–1275. Submit electronic comments in the information you claim to be confidential SUPPLEMENTARY INFORMATION: Under following way: with a heading or cover note that states section 721(d)(1) of the Federal Food, • Federal eRulemaking Portal: http:// ‘‘THIS DOCUMENT CONTAINS Drug, and Cosmetic Act (21 U.S.C. www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The 379e(d)(1)), we are giving notice that we instructions for submitting comments. Agency will review this copy, including have filed a color additive petition (CAP Comments submitted electronically, the claimed confidential information, in 6C0305), submitted by Milton W. Chu, including attachments, to http:// its consideration of comments. The M.D., 5800 Santa Rosa Rd., Suite 111, www.regulations.gov will be posted to second copy, which will have the Camarillo, CA 93012. The petition the docket unchanged. Because your claimed confidential information proposes to amend the color additive comment will be made public, you are redacted/blacked out, will be available regulations in § 73.3126 Titanium solely responsible for ensuring that your for public viewing and posted on dioxide (21 CFR 73.3126) and § 74.3045 comment does not include any http://www.regulations.gov. Submit [Phthalocyaninato (2-)] copper (21 CFR confidential information that you or a both copies to the Division of Dockets 74.3045) to provide for the safe use of third party may not wish to be posted, Management. If you do not wish your titanium dioxide and [phthalocyaninato such as medical information, your or name and contact information to be (2-)] copper as orientation marks for anyone else’s Social Security number, or made publicly available, you can intraocular lenses. confidential business information, such provide this information on the cover We have determined under 21 CFR as a manufacturing process. Please note sheet and not in the body of your 25.32(l) that this action is of a type that that if you include your name, contact comments and you must identify this does not individually or cumulatively information, or other information that information as ‘‘confidential.’’ Any have a significant effect on the human identifies you in the body of your information marked as ‘‘confidential’’ environment. Therefore, neither an comments, that information will be will not be disclosed except in environmental assessment nor an posted on http://www.regulations.gov. accordance with 21 CFR 10.20 and other environmental impact statement is • If you want to submit a comment applicable disclosure law. For more required. with confidential information that you information about FDA’s posting of

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comments to public dockets, see 80 FR amendments), amending the Federal if more information becomes available. 56469, September 18, 2015, or access Food, Drug, and Cosmetic Act (the The proposed ban would also not apply the information at: http://www.fda.gov/ FD&C Act) (21 U.S.C. 321 et seq.), to powder intended for use in or on regulatoryinformation/dockets/ became law on May 28, 1976. Among other medical devices, such as default.htm. other provisions, the amendments condoms. FDA has not seen evidence Docket: For access to the docket to added section 516 to the FD&C Act (21 that powder intended for use in or on read background documents or the U.S.C. 360f), which authorizes FDA to other medical devices, such as electronic and written/paper comments ban by regulation any device intended condoms, presents the same public received, go to http:// for human use if FDA finds, based on all health risks as that on powdered www.regulations.gov and insert the available data and information, that medical gloves. such device presents a ‘‘substantial docket number, found in brackets in the A. History of Powdered Gloves and deception’’ or an ‘‘unreasonable and heading of this document, into the Their Regulation ‘‘Search’’ box and follow the prompts substantial risk of illness or injury,’’ and/or go to the Division of Dockets which cannot be, or has not been, Medical gloves play a significant role Management, 5630 Fishers Lane, Rm. corrected or eliminated by labeling or a in the protection of both patients and 1061, Rockville, MD 20852. change in labeling. health care personnel in the United States. Health care personnel rely on FOR FURTHER INFORMATION CONTACT: FDA is proposing to ban powdered Elizabeth Claverie-Williams, Center for surgeon’s gloves (21 CFR 878.4460), medical gloves as barriers against transmission of infectious diseases and Devices and Radiological Health, Food powdered patient examination gloves contaminants when conducting surgery, and Drug Administration, 10903 New (21 CFR 880.6250), and absorbable as well as when conducting more Hampshire Ave., Bldg. 66, Rm. 2508, powder for lubricating a surgeon’s glove limited interactions with patients. Silver Spring, MD 20993, 301–796– (21 CFR 878.4480). Non-powdered gloves are not included in this ban. In Various types of powder have been 6298, email: elizabeth.claverie@ used to lubricate gloves so that wearers fda.hhs.gov. order to clarify this distinction, we are proposing to amend the descriptions of could don the gloves more easily. The SUPPLEMENTARY INFORMATION: these devices in the regulations to first lubricant powder used to aid in surgical glove donning, introduced in Table of Contents specify that, if the ban were to be finalized, these regulations would apply the late nineteenth century, was I. Background only to non-powdered gloves. FDA’s composed of Lycopodium spores (club A. History of Powdered Gloves and Their conclusions, which are discussed in this moss spores) or ground pine pollen Regulation document, are based on an evaluation of (Refs. 3 and 4). By the 1930s, B. Citizen Petitions Lycopodium powder was recognized to C. Scope of the Ban all available data and information D. Legal Standard known to the Agency. However, to the cause wound granulomas and adhesion II. Evaluation of Data and Information extent that there is additional formation and was replaced by talcum Regarding Glove Powder information that we should consider powder (chemically hydrous A. Summary of Benefits for Devices That regarding the risks and benefits of magnesium silicate), a nonabsorbable FDA Is Proposing To Ban powdered gloves, comments should be lubricant powder. In the 1940s, talcum B. Summary of Risks for Devices That FDA submitted as described previously. powder (talc) was also recognized to be Is Proposing To Ban The proposed rule would apply to all a cause of postoperative adhesions and C. State of the Art powdered gloves except powdered granuloma formation. In 1947, modified D. Scientific Literature radiographic protection gloves. FDA has cornstarch powder was introduced as an E. Actions of Other Regulatory Entities and absorbable and non-irritating glove Professional Organizations determined that the banning standard F. Analysis of Medical Device Adverse does not apply to this type of glove. In powder, and it largely replaced talc as Events Reported to FDA for Medical addition, we are not aware of any a donning lubricant for surgical gloves Gloves powdered radiographic protection by the 1970s. Cornstarch is currently the III. The Reasons FDA Initiated the gloves that are currently on the market. most commonly used type of absorbable Proceeding; Determination That The proposed ban would not apply to glove powder. Powdered Gloves Present an powder used in the manufacturing In the 1980s, preventing the Unreasonable and Substantial Risk of process (e.g., former-release powder) of transmission of acquired Illness non-powdered gloves, where that immunodeficiency syndrome (AIDS) IV. FDA’s Determination That Labeling, or a powder is not intended to be part of the became a major public health concern. Change in Labeling, Cannot Correct or final finished glove. Finished non- The Centers for Disease Control and Eliminate the Risk Prevention (CDC) recommended that V. FDA’s Determination That the Ban powdered gloves are expected to Applies to Devices Already in include no more than trace amounts of health care workers use appropriate Commercial Distribution and Sold to residual powder from these processes, barrier precautions to prevent exposure Ultimate Users, and the Reasons for This and the Agency encourages to the human immunodeficiency virus Determination manufacturers to ensure finished non- (HIV) and other bloodborne pathogens. VI. Legal Authority powdered gloves have as little powder Responding to heightened concerns VII. Environmental Impact as possible. In our 2008 Medical Glove about cross-contamination between VIII. Economic Analysis of Impacts Guidance Manual (Ref. 1), we patients and health care workers, in the A. Introduction recommended that non-powdered Federal Register of January 13, 1989 (54 B. Summary FR 1602), FDA revoked the exemption IX. Proposed Effective Date gloves have no more than 2 milligrams X. Paperwork Reduction Act of 1995 of residual powder and debris per glove, for patient examination gloves from XI. Federalism as determined by the Association for certain current good manufacturing XII. References Testing and Materials (ASTM) D6124 practice requirements in order to ensure test method (Ref. 2). The Agency that manufacturers provide an I. Background continues to believe this amount is an acceptable manufacturing quality level. The Medical Device Amendments of appropriate maximum level of residual FDA similarly revoked the exemption 1976 (Pub. L. 94–295) (the powder, but may reevaluate this amount from premarket notification

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requirements for patient examination time. The report concluded that banning would not address exposure to natural gloves. powdered gloves in 1997 would cause a latex allergens from medical gloves with On December 12, 1990, FDA market shortage of medical gloves, high levels of natural latex proteins; (2) published regulations describing certain which could result in inferior glove a ban of powdered gloves might circumstances under which surgeon’s products and increased costs to the U.S. compromise the availability of high and patient examination gloves would health care system due to a lack of quality medical gloves; and (3) a ban of be considered adulterated (55 FR immediate availability of suitable powdered gloves might greatly increase 51254). The regulations established the alternatives. annual costs by almost as much as $64 sampling plans and test methods for We identified two options in 1997: (1) million over the alternative approach glove leakage defects that we would use Provide adequate information for the proposed by FDA in the ‘‘Draft to determine whether gloves were consumer to make an informed decision Guidance for Industry and FDA Staff: adulterated (see 21 CFR 800.20). These by, among other things, requiring that Medical Glove Guidance Manual.’’ sampling plans and test methods were the amount of water-soluble NRL FDA did not finalize the 1999 Draft further updated in 2006 (December 19, proteins and the amount of glove Guidance. The Draft Guidance was 2006, 71 FR 75865 at 75876). powder present in powdered gloves be withdrawn when we issued our Subsequently, we initiated inspections stated on the product label and ‘‘Guidance for Industry and FDA Staff— of glove manufacturers to ensure establishing upper limits for the amount Medical Glove Guidance Manual,’’ on conformance with the acceptable quality of these substances allowed in gloves, or January 22, 2008 (Ref. 1). Recognition levels identified in the regulation. (2) initiate the process to ban glove and use of ASTM D6124 to reduce the In 1997, FDA issued its Medical Glove powder at some predetermined time in powder burden on medical gloves Powder Report (Ref. 5), which described the future and require manufacturers to continued in the revised guidance. the risks presented by glove powder and convert to powder-free production or Since we issued the draft guidance in the state of the medical glove market at provide safety data, including foreign 1999, the number of adverse events that time. We reviewed the clinical and body and airborne allergen concerns, by reported to FDA related to glove use and experimental data on the risks and a certain date. the number of powdered glove devices adverse events associated with the use At that time, the Agency determined seeking premarket clearance have of powder on surgical and medical that the first option was preferable and decreased. gloves available at that time in the issued the draft guidance entitled ‘‘Draft medical literature. We also reviewed the Guidance for Industry and FDA Staff: B. Citizen Petitions information in our MedWatch database Medical Glove Guidance Manual’’ on FDA has received several citizen on the adverse events associated with July 30, 1999 (Ref. 6). In addition to petitions regarding the use of glove the use of powdered gloves. In addition, other changes, including the natural powder. In 1998, a citizen petition was the Agency reviewed the commercial rubber latex caution statement for gloves submitted by Public Citizen requesting information available at that time on made of NRL, this document advised that FDA ban the use of cornstarch sources for medical gloves, relative industry that FDA recognized the newly powder in the manufacture of latex numbers and types of gloves, and the issued consensus standard ASTM surgeon’s and patient examination costs of different glove types. FDA D6124, ‘‘Standard Test Method for gloves (see Docket No. FDA–2008–P– found that glove powder could cause Residual Powder on Medical Gloves,’’ 0531). While there was scientific inflammation and granulomas, and that which established an accepted method evidence in 1998 that indicated that the aerosolized glove powder on natural to measure residual powder or debris on use of glove powder was associated with rubber latex (NRL) gloves can carry medical gloves (Ref. 2). In the draft negative health consequences (partly allergenic proteins that have the guidance, we recommended that due to the ability of glove powder to potential to cause respiratory allergic medical gloves have no more than 2 mg facilitate sensitization of health care reactions. of residual powder or debris per glove workers to NRL and partly due to Even though the Agency was aware of in order to label that glove as ‘‘powder- adverse effects due only to contact with certain health risks presented by glove free.’’ Since 1999, gloves with low glove powder), as discussed previously, powder, based on the totality of amounts of residual powder after quality concerns, the lack of suitable information available in 1997, the manufacturing have been referred to as alternatives, and costs weighed against Agency opted not to initiate a ban. At ‘‘powder-free’’ or ‘‘powderless.’’ Such FDA initiating the process to remove the time, use of chlorination was the gloves may have residual powder from powdered gloves from the market. most common alternative to powder for the manufacturing process removed by Moreover, the impact of reductions in the purpose of lubricating NRL surfaces. washing and chlorination, and they may the amount of NRL protein used in However, the chlorination process was be coated with a polymer to aid gloves and in the amount of powder recognized to cause physical damage to donning. For comparison, powdered added to gloves, which were being done gloves and to alter the physical medical gloves contain approximately as means to mitigate the risk of health properties of treated gloves if not 120 to 400 mg of residual particulates, care worker sensitization to NRL, had performed properly (Ref. 5). In 1997, mold release, and donning powder. not yet been studied for a reasonable FDA was concerned that widespread In addition to the draft guidance length of time. As a result of these use of glove chlorination would issued in 1999, in the same issue of the considerations, we did not grant the compromise some of the mechanical Federal Register, FDA proposed 1998 petition to ban the use of glove and physical properties of gloves regulations to reclassify all surgeon’s powder. including shelf life, grip, and in-use and patient examination gloves as class Approximately a decade later, durability, since these were widely II medical devices (July 30, 1999, 64 FR between 2008 and 2011, FDA received recognized risks of poorly managed 41710). While the proposed rule was three petitions requesting, among other chlorination processes. Polymer never finalized, the preamble provided things, that the Agency ban the use of coatings to replace glove powder for FDA’s rationale for choosing not to cornstarch powder on NRL and glove lubrication had been developed initiate a ban for powdered surgeon’s synthetic latex surgical and examination but, because of their increased cost, and patient examination gloves at the gloves (FDA–2008–P–0531–0001, FDA– were not yet in widespread use at the time. We explained that: (1) A ban 2009–P–0117–0001, and FDA–2011–P–

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0331–0001). These petitions prompted D. Legal Standard labeling or change in labeling necessary us to evaluate new data on the risks of Section 516(a)(1) of the FD&C Act to eliminate or correct such risk (see 21 using powdered gloves, to consider new authorizes FDA to ban a device CFR 895.25). information regarding the current intended for human use by regulation if Section 895.21(d) requires this availability and costs of alternatives to it finds, on the basis of all available data proposed rule to summarize: (1) The glove powder for glove lubrication, and and information, that such a device Agency’s findings regarding substantial to reassess the frequency of use of ‘‘presents substantial deception or an deception or the unreasonable and powdered medical gloves. As a result of unreasonable and substantial risk of substantial risk of illness or injury; (2) these petitions, FDA published in 2011 illness or injury.’’ A banned device is the reasons why FDA initiated the in the Federal Register a document adulterated under section 501(g) of the proceeding; (3) the evaluation of the requesting comments related to the risks FD&C Act (21 U.S.C. 351(g)). data and information FDA obtained and benefits of powdered gloves In determining whether a deception under provisions (other than section (February 7, 2011, 76 FR 6684; FDA– or risk of illness or injury is 516) of the FD&C Act, as well as 2011–N–0027). In addition, although we ‘‘substantial,’’ FDA will consider information submitted by the device believed that additional labeling would whether the risk posed by the continued manufacturer, distributer, or importer, not correct or eliminate the risks marketing of the device, or continued or any other interested party; (4) the associated with glove powder, we marketing of the device as presently consultation with the classification decided that it was important to inform labeled, is important, material, or panel; (5) the determination that consumers about the risks of powdered significant in relation to the benefit to labeling, or a change in labeling, cannot gloves while FDA assessed whether the public health from its continued correct or eliminate the deception or glove powder had benefits that might marketing (see 21 CFR 895.21(a)(1)). risk; (6) the determination of whether, affect the determination of whether or Although FDA’s device banning and the reasons why, the ban should not a ban on the devices was regulations do not define ‘‘unreasonable apply to devices already in commercial appropriate at this time. Accordingly, risk,’’ in the preamble to the final rule distribution, sold to ultimate users, or on February 7, 2011, FDA issued the promulgating 21 CFR part 895, we both; and (7) any other data and draft guidance entitled ‘‘Draft Guidance explained that, with respect to information that FDA believes are for Industry and FDA Staff: ‘‘unreasonable risk,’’ it ‘‘will conduct a pertinent to the proceeding. Recommended Warning for Surgeon’s careful analysis of risks associated with We have grouped some of these Gloves and Patient Examination Gloves the use of the device relative to the state together within broader categories and that Use Powder,’’ which proposed a address them in the following order: of the art and the potential hazard to • general voluntary warning for powdered patients and users’’ (44 FR 29214 at Evaluation of data and information glove devices, regardless of whether the 29215, May 18, 1979). The state of the regarding glove powder, including data devices were surgeon’s gloves or patient art with respect to this proposed rule and information FDA obtained under examination gloves (Ref. 7). As we relates to current technical and provisions other than section 516 of the reviewed the comments received on the scientific knowledge and medical FD&C Act, information submitted by the benefits and risks of glove powder, we practice as it pertains to the various device manufacturer and other determined that a ban on powdered medical gloves that are used when interested parties, the consultation with gloves is appropriate and determined treating patients. the classification panel, and other data not to finalize the draft guidance. This Thus, in determining whether a and information that FDA believes are draft guidance was withdrawn on May device presents an ‘‘unreasonable and pertinent to the proceeding, with 6, 2015 (80 FR 26059) as part of a mass substantial risk of illness or injury,’’ respect to: withdrawal effort to remove draft FDA analyzes the risks and the benefits Æ Benefits guidance documents issued before 2014 the device poses to patients and, in the Æ Risks that have not been finalized. When case of powdered gloves, other Æ State of the Art final, this rule will address the risks of individuals who come in contact with • The reasons FDA initiated the powdered gloves that were addressed in these devices, by comparing those risks proceeding, our determination that the draft guidance. and benefits to the risks and benefits glove powder presents an unreasonable C. Scope of the Ban posed by alternative devices and/or and substantial risk of illness or injury treatments being used in current (FDA has not made a finding regarding FDA is proposing to ban the following medical practice. Actual proof of illness substantial deception); devices: (1) Powdered surgeon’s gloves or injury is not required; we need only • FDA’s determination that labeling, (21 CFR 878.4460), (2) powdered patient find that a device presents the requisite or a change in labeling, cannot correct examination gloves (21 CFR 880.6250), degree of risk on the basis of all or eliminate the risk; and and (3) absorbable powder for available data and information (H. Rep. • FDA’s determination that the ban lubricating a surgeon’s glove (21 CFR 94–853 at 19; 44 FR 29215). applies to devices already in 878.4480). Whenever FDA finds, on the basis of commercial distribution and sold to Because the classification regulations all available data and information, that ultimate users, and the reasons for this for these device types do not distinguish the device presents substantial determination. between powdered and non-powdered deception or an unreasonable and versions, FDA is proposing to amend substantial risk of illness or injury, and II. Evaluation of Data and Information the descriptions of these devices in the that such deception or risk cannot be, or Regarding Glove Powder regulations to specify that, if this has not been, corrected or eliminated by A thorough review of the information proposed ban is finalized, these labeling or by a change in labeling, FDA that has become available since FDA regulations will apply only to non- may initiate a proceeding to ban the issued the Medical Glove Powder powdered gloves while the powdered device (see 21 CFR 895.20). If FDA Report in 1997 (Ref. 5) supports FDA’s version of each type of glove will be determines that the risk can be corrected conclusion that powdered surgeon’s added to 21 CFR 895 Subpart B—Listing through labeling, FDA will notify the gloves, powdered patient examination of Banned Devices. responsible person of the required gloves, and absorbable powder for

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lubricating a surgeon’s glove should be A. Summary of Benefits for Devices That to the minimal benefits that powdered banned. As discussed in the paragraphs FDA Is Proposing To Ban gloves offer, especially when that follow, FDA has concluded that the To help determine whether powdered considering the benefits and risks posed risks posed by powdered gloves, gloves present an unreasonable and by readily available alternative devices including health care worker and substantial risk of illness or injury, FDA (discussed in section II.C). The patient sensitization to NRL allergens, issued a notice in the Federal Register identified risks of powdered gloves are surgical complications related to requesting public input on the risks and as follows: peritoneal adhesions, and other adverse benefits of powdered gloves (February 7, 1. Risks of Absorbable Powder for health events not necessarily related to 2011, 76 FR 6684; FDA–2011–N–0027). Lubricating a Surgeon’s Glove surgery, such as inflammatory responses FDA received nearly 300 comments to The powder used for lubricating a to glove powder, outweigh the benefits the docket, the large majority of which surgeon’s glove, which is often used to that these devices pose to patients. addressed the continuing risks lubricate patient examination gloves as FDA’s position is bolstered when the associated with the use of powdered well, presents risks not only to the user state of the art for medical gloves is gloves, which are discussed later in this and patient, but also to other considered, which includes viable non- document. Comparatively, very few individuals that might be exposed to it. powdered alternatives that do not carry comments addressed the benefits of This powder, often referred to as any of the risks associated with glove gloves that are powdered, and the Absorbable Dusting Powder or ADP, has powder. Further, unlike when this benefits that were addressed were been shown to cause acute severe decision was considered previously, minimal. The primary benefits airway inflammation, granulomas, and FDA believes that this ban would likely described in the comments were almost adhesions. These risks are present have minimal economic and shortage entirely related to greater ease of before the glove is lubricated with the donning and doffing gloves and impact on the health care industry. powder. Then, during the lubrication decreased tackiness of gloves packaged Thus, a transition to alternatives in the process, the powder particles may together. These benefits apply to both marketplace should not result in any absorb harmful contaminants (Ref. 15). powdered surgeon’s gloves and detriment to public health. As mentioned previously, the risks powdered patient examination gloves. presented by glove powder can vary In reaching the conclusions that form The benefits of absorbable powder for depending on the type of glove on the basis for this proposed rule, FDA lubricating a surgeon’s glove derive which it is used. When used on NRL considered evidence from multiple from the benefits of powdered surgeon’s gloves, powder has the ability to adhere sources. FDA re-examined the 1997 gloves, which include ease of donning to latex allergenic proteins that, when Report on Medical Glove Powder (Ref. and doffing gloves and decreased aerosolized and inhaled, present 5) along with its scientific and clinical tackiness. significant risks to patients, including literature references, its analysis of Some studies have reported that inflammatory responses, reported adverse events due to the use alternatives to powdered gloves, such as hypersensitivity reactions, and allergic of gloves, and its analysis of glove vinyl gloves, may not provide as good reactions (see risks on powdered NRL market availability (Ref. 5). In addition, of dexterity and biological gloves in the paragraphs that follow). we performed a more contemporary impermeability as NRL gloves (Ref. 8). Additionally, latex sensitive individuals analysis of relevant scientific literature However, this proposed ban does not can experience cutaneous reactions and of adverse events related to medical include non-powdered NRL gloves, upon skin exposure to the latex which offer the same performance glove use from 1992 through 2014 and allergenic proteins adherent to the characteristics of powdered NRL gloves, obtained new market availability data powder (Refs. 15 and 16). These and several studies have found that consequences of powder may persist on medical glove use by type. We also alternatives, such as nitrile and even after patients or health care reviewed the information contained in neoprene gloves, offer the same level of workers are no longer in contact with related citizen petitions, as well as the protection, dexterity, and performance the powder. Risks such as allergic comments associated with the petitions. as NRL gloves (Ref. 9 to 14). Thus, the reactions, granulomas, and adhesions Further, the Agency reviewed the public only benefits to using powdered gloves can be long-lasting, and may not be statements and actions of other U.S. that FDA has been able to identify is a mitigated by removing powder after government Agencies, U.S. health care greater ease of donning and doffing and exposure (Refs 17 to 19). organizations, and of foreign decreased tackiness of gloves packaged 2. Risks of Powdered Natural Rubber governments concerning powdered together. natural rubber latex gloves. Latex Gloves B. Summary of Risks for Devices That When absorbable dusting powder is The sections that follow discuss the FDA Is Proposing To Ban information that FDA evaluated as part used on NRL gloves, the combination of the decision to propose this ban. Although some risks of these devices presents specific risks that apply to both are similar for all glove types, the level surgeon’s and patient examination Sections II.A and II.B provide a concise and types of risks presented by gloves. The powder used to lubricate summary of the benefits and risks that powdered gloves can vary depending on these gloves may bind to natural rubber FDA believes are posed by the use of the composition of the glove (synthetic latex proteins. The powder carries the powdered gloves. Section II.C provides versus NRL) and its indicated uses latex protein, resulting in a latex aerosol a discussion on the state of the art as it (surgeon’s glove versus patient whenever health care workers put on or pertains to medical gloves. Sections II.D, examination glove). While we remove the gloves. Clinical and II.E, and II.F provide detailed acknowledge that powdered synthetic laboratory studies indicate that glove discussions of the scientific literature, patient examination gloves present less powder facilitates impaired respiratory actions of other regulatory and risk than powdered NRL surgeon’s function due to allergic and professional organizations, and adverse gloves, we concluded that the risks inflammatory responses to NRL in event reports that formed the basis of posed by either of these glove types is health care personnel and in animals the summaries in sections II.A and II.B. unreasonable and substantial in relation exposed to glove powder because

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aerosolized powder particles carrying when employed in procedures such as alternative non-powdered gloves. NRL antigens into the health care oral, vaginal, gynecological, and rectal Annual sales figures from 2000 through environment and the respiratory tracts examinations. Powder may be 2008 indicate a consistent increase in of exposed health care personnel and introduced to the female reproductive non-powdered surgeon’s and patient patients make NRL sensitization a much tract during gynecological exams (Refs. examination glove sales as a percent of more efficient process than it would be 45 to 47), which may lead to female total glove sales, and recent projections in the absence of glove powder (Ref. 8, reproductive complications (Refs. 18, 48 of annual gloves sales indicate that at 20 to 23). As a result, health care to 50). The migration of powder into the least 93 percent of medical providers workers that are sensitive to latex reproductive tract was demonstrated in have switched to non-powdered gloves occasionally develop allergic reactions an animal model and human clinical (Ref. 52). when they inhale too much powder. studies (Refs. 21, 40, 51). The wearers of These trends can be at least partially Sensitization to latex and subsequent these gloves can also facilitate the attributed to scientific studies that have allergic reactions also may result from migration of powder from these gloves been conducted in this area that have exposure to aerosolized powder carrying into the body when handling helped raise public awareness of the NRL proteins (Ref. 24). Allergic instruments such as endoscopes or powder-induced latex hypersensitivity, reactions include asthma, allergic when performing postsurgical wound peritoneal adhesions, granulomas, and rhinitis, conjunctivitis, and dyspnea. As care. Thus, the powder on synthetic other adverse events that can result from discussed in the paragraphs that follow, patient exam gloves presents risks using powdered gloves. These trends the majority of studies suggest that use similar to those of the powder on can also be partially attributed to of low NRL protein powder-free gloves synthetic surgeon’s gloves, including increased public awareness resulting significantly reduces occupational granulomas and adhesions, and the from the availability of studies that have asthma and the incidence of individuals resulting complications. Finally, as with examined the effects of glove powder developing allergies to NRL in the synthetic surgeon’s gloves, powdered and the public health benefits that result health care workplace (Refs. 21, 23, 25 patient examination gloves also can from its removal from the market, along to 35). expose those in their proximity to the with industry initiatives to improve risk of powder inhalation, even if not donning, doffing, and protection of non- 3. Risks of Powdered Synthetic carrying NRL. powdered gloves, which have helped to Surgeon’s Gloves move the state of the art forward to the Although powdered synthetic C. State of the Art use of alternative non-powdered gloves. surgeon’s gloves do not present the risk FDA has considered the As described previously, some users of allergic reactions due to aerosolized reasonableness of the risks of powdered of powdered gloves have noted ease of powder that is carrying latex, the use of surgeon’s gloves, powdered patient donning or doffing as a benefit over powdered synthetic gloves still presents examination gloves, and absorbable non-powdered gloves. However, a study the risk of exposing individuals to the powder for lubricating a surgeon’s of various brands of powdered and non- powder via inhalation, which can lead gloves relative to the state of the art, i.e., powdered NRL gloves by Cote et al. to airway inflammation. Additionally, the state of technical and scientific found that there are non-powdered latex use of these gloves by health care knowledge and modern practices of gloves that are easily donned with wet providers can expose patients’ tissues medicine, for medical protective gloves or dry hands with relatively low force during surgery and invasive (see 44 FR 29214; May 18, 1979). Given compared to the forces required to don examinations to deposits of glove that alternatives are readily available powdered latex examination gloves (Ref. powder, which could then result in that do not carry the risks posed by 53). Additional non-powdered granuloma formation in any exposed powdered gloves, we have concluded alternatives to powdered gloves include site, as well as peritoneal and other that powdered gloves now lag behind synthetic gloves, which are traditionally tissues adhesions. Recent studies show the state of the art. As discussed further non-powdered and offer similar levels that cornstarch glove powder causes in sections II.D and II.E, this conclusion of performance to powdered gloves and peritoneal adhesion formation and is illustrated both by market trends non-powdered NRL gloves (Refs. 9, 14, granulomatous reactions in indicating that the health care industry 54). experimental animal models (Refs. 24, is moving to non-powdered alternatives Studies that have examined the effects 36 to 39) as well as in exposed patient and by the actions of certain regulatory of removing powdered gloves from tissues with resulting patient injury entities and professional organizations health care environments have shown (Refs. 40 and 41). In addition to risk of that have banned or restricted the use of that removing these devices consistently powder-induced adhesion formation, glove powder. results in a reduction of the types of many in vitro and animal studies have Over the last two decades FDA has adverse events associated with glove shown the adverse effects of glove observed a progressive increase in the powder. Korniewicz et al. examined the powder on wound healing, including use of non-powdered gloves. Since effect of conversion from powdered NRL increases in wound inflammation (Refs. 1998, medical glove manufacturers have surgical gloves to non-powdered NRL 42 to 44). These studies indicate that developed a variety of non-powdered surgical gloves on operating room powder may promote infection in gloves, which can be made from various personnel (Ref. 32). This study found wounds, which can lead to wound materials, including NRL, polyvinyl that conversion to non-powdered NRL healing complications. chloride, nitrile, and neoprene. Both gloves reduced adverse events related to non-powdered patient examination and exposure to NRL, including a significant 4. Risks of Powdered Synthetic Patient non-powdered surgeon’s gloves are decrease in skin and upper respiratory Examination Gloves currently marketed. These alternatives symptoms. During the course of the Although the powder on patient are readily available at similar costs to study, the authors also evaluated user examination gloves is not exposed to powdered gloves. As a result, both satisfaction for non-powdered gloves internal organs during surgery, these industry and glove users appear to be and found that users rated their gloves still present a substantial risk of shifting away from the use of powdered satisfaction, on average, the same or illness or injury because they are gloves, which has led to an increase in better than before conversion from nevertheless exposed to internal tissue the manufacturing and usage of powdered gloves to non-powdered

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gloves in categories including quality, powdered gloves should have little glove powder facilitates impaired comfort, safety, performance, trouble transitioning to non-powdered respiratory function due to allergic and standardization, and needle stick alternatives. As described previously, inflammatory responses to NRL in injuries. there are many readily available health care personnel and in animals In another study on the effects of alternatives to powdered gloves that exposed to glove powder because eliminating powdered NRL gloves from provide similar or better protection and aerosolized powder particles carrying a hospital, Allmers et al. found that utility without the risks associated with NRL antigens into the health care eliminating powdered NRL gloves powdered gloves, and available market environment and the respiratory tracts reduced aerogenic NRL allergen loads projections and data have shown that of exposed health care personnel and and allowed latex-sensitized or latex- these alternatives that represent the patients make NRL sensitization a much allergic health care workers to continue state of the art have already resulted in more efficient process than it would be working (Ref. 25). Allmers et al. further a shift away from powdered gloves. in the absence of glove powder (Refs. 8, assessed the effects of switching to non- Further, more studies are now available 20 to 23). The newer studies also powdered NRL gloves on the incidence on the positive health benefits continue to show that cornstarch glove of NRL allergy in personnel working in associated with the restriction or powder causes adhesion formation and multiple health care facilities insured by elimination of the use of powdered granulomatous reactions in the German Professional Association for gloves in health care environments experimental animal models (Refs. 24, Health Services and Welfare (Ref. 27). where they were previously prevalent. 36 to 39), as well as in exposed patient This study concluded that there was a Based on an examination of all these tissues with resulting patient injury significant correlation between an factors, FDA has determined that the (Refs. 40 and 41). increase in the purchase of non- state of the art, i.e., the state of technical In vitro and animal studies continue powdered NRL gloves and a decline in and scientific knowledge and modern to show the adverse effects of glove NRL-induced occupational asthma. In a practices of medicine, has moved powder on experimental wound subsequent study, Allmers et al. further beyond the use of powdered gloves in healing, including increases in wound showed that a reduction in the use of the health care industry. inflammation (Refs. 42 to 44). Most powdered NRL gloves correlated with a importantly, since 1997, more data have dramatic decline in reported NRL- D. Scientific Literature become available on the positive health induced occupational skin disease (Ref. In 1997, FDA issued the Medical benefits associated with the restriction 26). The authors of these studies Glove Powder Report (Ref. 5), or elimination of the use of powdered concluded that removing powdered discussing the potential adverse health gloves in health care environments NRL gloves from health care effects of medical glove powder, along where they were previously permitted. environments successfully reduced the with alternatives and market We reviewed studies from clinics and development of NRL-induced allergies. information available at that time. hospitals that have converted to either These observations have been confirmed Adverse health events documented in non-powdered NRL gloves or to by several other studies that are the scientific literature review section of powder-free gloves of all materials. described further in section II.D (Refs. the Medical Glove Powder Report These studies reported reductions in 21, 30, 32 to 35, 55). included a discussion on aerosolized NRL allergy development and FDA also expects that the removal of glove powder on NRL gloves carrying respiratory symptoms among health care powdered gloves from health care allergenic proteins that efficiently workers (Refs. 20, 21, 23, 25 to 27, 29 environments will reduce the risks of sensitized health care providers to NRL to 34, 39). Although this has not been using powdered synthetic gloves, such antigens. This exposure subsequently a universal finding, FDA recognizes the as granuloma formation in any exposed triggered respiratory allergic reactions positive association between decreased site, as well as peritoneal and other including asthma and allergic rhinitis, usage of glove powder, especially on tissues adhesions. As discussed conjunctivitis, and dyspnea. In addition, NRL gloves, and decreased adverse previously, recent literature has shown as discussed previously, the powdered health events in the health care setting. that cornstarch glove powder causes gloves of health care providers expose Epidemiological studies comparing peritoneal adhesion formation and patients to certain risks, including the adverse health events and economic granulomatous reactions in granuloma formation, as well as consequences in health care settings experimental animal models (Refs. 24, peritoneal and other tissue adhesions before and after conversion to powder- 36 to 39) as well as in exposed patient when exposed during surgery or an free gloves have limitations, such as the tissues with resulting patient injury invasive procedure. size of studies, the endpoint data (Refs. 40 and 41). In addition to risk of Since the publication of the Medical collected, and the different populations powder-induced adhesion formation, Glove Powder Report, there have been studied. Some studies include the many in vitro and animal studies have additional scientific studies published period before the amount of NRL shown the adverse effects of glove regarding the risks related to the use of protein in surgical and examination powder on wound healing, including medical glove powder. Many of these gloves was reduced. Others were increases in wound inflammation (Refs. references were submitted to the Agency performed abroad where U.S. 42 to 44). Non-powdered gloves do not in support of the petitions received in regulations do not apply and the carry these risks, and their exclusive use 2008, 2009, and 2011. We also amounts of NRL protein and powder should greatly reduce the risk of these performed our own review of the remaining on gloves are not stated. adverse health effects in health care scientific literature to ensure that all Despite these limitations, the settings. available evidence, including all preponderance of evidence suggests that In comparison to the evidence available scientific evidence, was use of low NRL protein powder-free considered in 1997, FDA has concluded considered in its decision-making gloves significantly reduces that this proposed ban would likely process. The most relevant articles occupational asthma and the incidence have minimal economic and shortage gathered from these sources are briefly of individuals developing allergies to impact on the health care industry, such summarized in this document. NRL in the health care workplace (Refs. that, if they have not already, health Clinical and laboratory studies 20, 21, 23, 25 to 27, 29 to 34, 39). care entities that currently use published after 1998 still indicate that Importantly, these studies did not report

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difficulty in replacing powdered gloves reduced aerogenic NRL allergen loads in 1995 in this hospital system, after with non-powdered ones and did not and allowed sensitized or allergic health which new workers with reported NRL note any decrease in glove performance care workers to continue working. allergy dropped to eight in 1995, to in the replacement gloves (Refs. 32, 53). Not every physician or locality was three in 1997 and to one in 1999. NRL Charous et al. (Ref. 20) reported in equally concerned about the risk allergy-related time lost from work and 2000 that a dental office was able to associated with the use of glove powder. workers’ compensation claims fell reduce airborne NRL antigen levels to In 1999, Sellar and Sparrow (Ref. 57) significantly after powder-free, low undetectable levels with the exclusive surveyed ophthalmologists in northern protein NRL gloves replaced powdered use of non-powdered NRL gloves, England and found that, despite non-sterile gloves in this Ontario permitting a highly sensitized staff relatively high awareness of risks hospital system. In 2002, Saary et al. member to continue to work there. Also associated with powdered glove use (Ref. 23) resurveyed the upper-year in 2002, Kujala et al. (Ref. 22) studied during ophthalmic surgery, such as students and faculty of a dental school NRL gloves agitated in laboratory test sterile endophthalmitis or iritis in in Ontario for NRL allergy using the chambers and found that the patients, up to 15 percent of surveyed same methods as those used in the concentration of airborne NRL allergens United Kingdom ophthalmic surgeons study performed by Tarlo et al. (Ref. 55). correlated with high levels of airborne were using powdered gloves in their In 1995, the school was using powdered glove powder rather than with the NRL surgical practices. However, in 2000, NRL gloves in patient care. Following antigen concentrations in the medical Petsonk (Ref. 58) found that the role of the 1995 survey, the school changed to glove material. In addition, Ahmed et al. glove powder in binding and powder-free, low protein NRL gloves. In (Ref. 8) reviewed the literature to 2004 transferring NRL antigens was widely 2000, the incidence of positive prick on occupational NRL allergy and acknowledged in the scientific literature tests to NRL fell from 10 percent (in concluded that the use of low NRL and noted that interventions, such as 1995) to 3 percent and there were protein powder-free gloves reduced limiting the use of glove powder, significant reductions in the incidence symptoms and markers of sensitization seemed likely to result in a decline in of urticaria and immediate pruritus after in hospitals that had removed powdered the prevalence of NRL allergies. glove contact reported by the dental NRL gloves from their workplaces; Additionally, in 2000, Jackson et al. students. however, they noted that alternatives (Ref. 31) reported that 70 hospitals in Allmers et al. (Ref. 27) reported in such as nitrile and vinyl gloves may not the United States and 3 in Europe had 2002 occupational allergy to NRL data provide as good dexterity and biological registered on an Internet Web site as from the German Professional impermeability as natural rubber latex institutions using only powder-free Association for Health Services and gloves. The practicality of using non- gloves; however, the article did not Welfare, which covered approximately powdered gloves was studied in 1998 by specify whether these hospitals had half of all German hospitals and all Cote et al. (Ref. 53) who performed a removed only NRL powdered gloves dental offices. In 1998, Germany banned prospective randomized trial measuring from their workplaces or whether the use of powdered NRL gloves in the force required for volunteers to don synthetic latex powdered gloves were health care facilities. From 1996 through various gloves in the laboratory without removed from use as well, and the Web 2001, the incidence of suspected tearing the glove. They concluded that site is no longer registered. The occupational NRL allergy declined there were available powder-free gloves conclusion of Jackson et al. was that the steadily as the use of powder-free NRL that can be donned easily with forces leadership shown by the hospitals that examination gloves and powder-free that are comparable to those required for registered as not using powdered gloves NRL sterile gloves overtook the use of powdered glove donning. should serve as a catalyst for FDA to ban powdered gloves in 1998 and 2000, Individual hospitals, health care the use of cornstarch on examination respectively, in German acute care systems, regional authorities and and surgical gloves. hospitals. The authors concluded that countries have evaluated the extent of In 2001, Liss and Tarlo (Ref. 33) primary prevention of occupational NRL NRL allergies among their staff and the reviewed the number of allowed allergies could be achieved through effects of removing glove powder from occupational asthma claims in health practical interventions such as the gloves used in their facilities. In care workers reported to the Ontario decreasing the use of powdered NRL 1998, Handfield-Jones (Ref. 56) found Workplace Safety and Insurance Board gloves. Allmers et al. (Ref. 26) that at least 0.9 percent of health care over time as the replacement use of reassessed the effects of the 1998 workers in an English district general powder-free synthetic latex or low German ban on powdered NRL gloves in hospital had confirmable NRL allergies. protein NRL gloves was encouraged, 2004 and found that between 1996 and Anecdotal accounts suggested that starting in 1996, throughout the 2002, the incidence of suspected cases problems had worsened as glove use province of Ontario. Reported health of NRL-induced occupational allergies increased. Allmers et al. (Ref. 25) in care-related occupational asthma claims reported to the German statutory 1998 reported a prospective study in a ranged from 7 to 11 per year during accident insurance carrier decreased by single hospital in Germany to evaluate 1991 to 1994 and fell to 1 to 2 claims almost 80 percent. the effect of eliminating powdered NRL per year in 1997 to 1999 as exposure to Charous et al. (Ref. 28) reviewed the gloves from the workplace and also powdered NRL gloves decreased. Tarlo scientific literature available in 2002 giving NRL-free gloves to sensitized et al. (Ref. 55) also reported on the and subsequently recommended using workers. Six of seven sensitized health experience with occupational allergy to only non-powdered sterile NRL gloves care workers showed a decrease in NRL- NRL in an Ontario teaching hospital or low-protein NRL powdered sterile specific Immunoglobulin E antibody network of two hospitals. In this gloves as evaluation of the effect on concentration during followup after the hospital system, the number of workers occupational NRL allergic reactions elimination of powdered NRL gloves in identified with NRL allergy each year continued, in order to reduce the that hospital. Two other health care rose from 1 in 1988 to 6 in 1993 and to burden of NRL allergy and its effects on workers were able to stop using asthma 25 in 1994 after staff education and health care personnel. Cuming (Ref. 29) medication and antiallergic drugs. The surveillance for the manifestations of also noted that the link between glove study authors concluded that NRL allergy. Powder-free, low protein powder and the occurrence of NRL eliminating powdered NRL gloves NRL gloves replaced non-sterile gloves allergies and postoperative

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complications in surgical patients was workers’ compensation claims in a U.S. Fallopian tube and the ipsilateral well supported scientifically and multihospital system, the Geisinger peritoneum. The control group was not described how his four hospital system Health System, between 1997 and 2005. exposed to glove powder and (not identified) with multiple They estimated that 52 percent of the experienced only loose adhesions after ambulatory care centers and associated system work force at that time was laparotomy with standardized trauma. medical practices successfully occupationally exposed to NRL gloves. The authors recommended against the eliminated powdered glove use after In 2001, the system transitioned to use of powdered gloves during appropriate alternate glove product powder-free NRL gloves. The incidence gynecologic surgery. evaluation. of NRL-related workers’ compensation In 2001, van den Tol et al. (Ref. 39) Edelstam and colleagues (Ref. 21) claims decreased progressively after found that starch, either washed from described the implementation of a 2001, from 62 claims over the 5 year gloves or pure base starch, when added powder-free environment in a period before the change to only 18 to the peritoneal cavity of rats during Stockholm hospital. These authors claims in the next 4 years. The average laparotomy plus surgical peritoneal administered symptom questionnaires annual savings in NRL-related trauma, caused increased peritoneal to hospital staff designed to detect compensation claims was estimated to adhesion formation. When tumor cells symptoms highly suggestive of be over $30,000. Although the cost of were added to the peritoneal cavity at occupational NRL allergy. They found the powder-free NRL gloves resulted in the end of the experimental surgery, that 8 months after a powder-free policy a 36 percent increase in the cost of increased adhesion and growth of the was fully implemented in the hospital gloves, this was partially offset by the tumor cells occurred in rats who also there was a significant reduction in elimination of the costs of washing received powder contamination of the reported hand itching, eczema, and powder off the surgical gloves, peritoneal cavity. These authors upper respiratory tract disorders in estimated at about $57,000. recommended that powdered gloves no health care workers. The authors also Vandenplas et al. (Ref. 35) reported in longer be used during intra-abdominal noted that reduced costs associated with 2009 on changes in the incidence of surgery on the basis of these results. In lower work absence rates may offset NRL-related occupational asthma (OA) 2003, Barbara et al. (Ref. 24) found that higher costs associated with the use of claims from health care providers after guinea pigs were sensitized to NRL powder-free medical gloves. submitted to the Workers’ antigens, with or without added In 2005, Korniewicz et al. (Ref. 32) Compensation Board of Belgium from cornstarch powder given by examined whether switching to low 1992 through 2004. Definite and intraperitoneal injection, the guinea pigs NRL protein powder-free surgical gloves probable NRL-related OA incidence per who received NRL antigens mixed with in the operating room suite of a single 100,000 full-time equivalents for health cornstarch had increased antibody U.S. university hospital was worth the care workers was 10.9 per 100,000 in production and antigen-induced cost. Surveys prior to and 7 to 12 1991, 19.7 per 100,000 in 1998, and 3.8 constriction of the bronchial tubes when months after the conversion to powder- per 1,000,000 in 2003. The overall usage challenged with an aerosol of NRL free surgical gloves found that 27 index of NRL-powdered glove use was antigens compared to animals who percent fewer health care workers 80.9 percent in 1989 and fell to 17.9 received intraperitoneal NRL antigens reported skin symptoms and 12 percent percent by 2004. The non-sterile NRL- alone. They concluded that cornstarch fewer health care works reported upper powdered glove use index fell from 80.5 powder used as a donning agent on NRL respiratory symptoms related to NRL percent to 14.4 percent. However, the gloves can increase sensitization to NRL exposure. These authors concluded that sterile procedure, NRL-powdered glove compared to exposure to NRL antigens the use of powder-free low protein NRL use index changed only from 84.6 alone. gloves reduced symptoms and resulted percent to 48.9 percent over this 15-year In 2002, Smither et al. (Ref. 41) in workers compensation cost savings. period. presented a case report of a 58-day-old In addition, because fewer different Although the adverse event risks of male infant with bilateral scrotal masses types of gloves were purchased after the glove powder on a variety of tissues due to a foreign body reaction to glove conversion to non-powdered surgical were well-documented before 1997, powder following a pyloromyotomy gloves, a glove cost savings of $10,000 investigations to understand the performed shortly after birth. In 2004, per year was estimated for the hospital. pathogenesis of tissue damage caused by Sjo¨sten et al. (Ref. 40) extended their In a 2006 report, Filon and Radman glove powder have continued. In 1999, prior work on the adverse effects of (Ref. 30) described the results of Chegini and Rong (Ref. 36) studied the glove powder in animals to a clinical following 1,040 health care workers in effect of glove powder, NRL proteins, observational study. They found that in Trieste for 3 years before and after the and lipopolysaccharide added directly patients who underwent vaginal introduction of powder-free gloves with to the peritoneal cavity of mice and examination 1 or 4 days prior to a low NRL levels. After the introduction found that glove powder worsened the scheduled hysterectomy with either of powder-free gloves, no new cases of inflammatory response to tissue injury powdered or non-powdered gloves, NRL allergy, as diagnosed by skin test caused by NRL proteins and examination of the removed tissues hypersensitivity to NRL were identified lipopolysaccharide alone. The study postoperatively detected more starch in the followup survey. The authors suggested that this interaction could particles in the cervix and uterus of concluded that avoiding unnecessary contribute to inflammatory or immune patients examined with powdered NRL glove use and using non-powdered reactions and the development of gloves. There were no differences NRL gloves (and non-NRL gloves for adhesions after abdominal surgery. between the patient groups in the sensitized health care workers) could Sjo¨sten et al. (Ref. 38) published a study numbers of starch particles seen in the stop the progression of symptoms of in 2000 showing that the intravaginal distant sites of the Fallopian tubes or NRL allergy and avoid new cases of deposition of free glove powder in the peritoneal fluid. In 2 patients health care provider sensitization to rabbit vaginas prior to laparotomy led to examined with powdered gloves, no NRL. dense pelvic adhesions and even starch particles were found, and 3 In 2008, Malerich et al. (Ref. 34) attachment of the Fallopian tube to the patients examined with only powder- studied the effect of transitioning from peritoneal wall after laparotomy with free gloves had a few starch particles in powdered to powder-free NRL gloves on standardized trauma on the left their tissues.

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Odum et al. (Ref. 43) studied a guinea gloves are used in the workplace, they latex gloves was not permissible in the pig model of paravertebral abscess should not be powdered. The ACS workplace; only ‘‘powder-free’’ NRL formation. They reported that when issued a statement from their Committee gloves could be used. slurries of either calcium carbonate on Perioperative Care in 1997 that In the United Kingdom in 2008, the (CaCO3) or cornstarch were added to recommended that surgeons should National Health Service (NHS) Plus guinea pig wounds along with insist on using only non-powdered Occupational Health Clinical Staphylococcus aureus, the wounds (‘‘powder-free’’) surgeons gloves (Ref. Effectiveness Unit, in association with with added CaCO3 had higher bacterial 62). The ACAAI issued a the Royal College of Surgeons, issued counts 4 days later than did the wounds recommendation (Ref. 60) on the use of evidence-based guidelines (Ref. 70) on with added cornstarch, and both had NRL gloves in 1997 and stated that only ‘‘the occupational aspects of latex higher bacterial counts than the control non-powdered (‘‘powder-free’’) NRL allergy management.’’ These guidelines wounds with only S. aureus inoculated. gloves should be purchased and used in include the recommendation that when This study was considered by the order to reduce NRL aeroallergen levels NHS employers determine that a NRL authors to support an increased risk of and exposure to them. glove is the most suitable choice for use wound infection after wound exposure Moreover, health care systems against a specific hazard, the NRL glove to powdered gloves. In addition, Dave et including the Johns Hopkins Hospital, selected should be a low NRL protein al. (Ref. 42) reviewed the literature on the Cleveland Clinic’s network of nine glove without glove powder. glove powder relating to dental hospitals, and the University of Virginia In 2011, the Association of powdered glove use and noted that Healthcare System have all restricted or Professionals in Infection Control and cornstarch promoted wound infection in banned the use of powdered NRL gloves Epidemiology (APIC) responded to the reported animal model studies and that in their facilities (Refs. 63–64). Finally, FDA’s request for comments on cost-effective powder-free gloves were the international health care systems of information related to risks and benefits available. The authors recommended Germany and the United Kingdom have of powdered gloves (Docket No. FDA– the use of non-powdered gloves in place also independently taken steps against 2011–N–0027). APIC stated (Ref. 71) of powdered gloves. Dwivedi et al. (Ref. the use of powdered NRL gloves due to that it supported the use of powder-free 37) studied both NRL and synthetic the dangers of the devices and the surgeon’s gloves in health care. It stated latex gloves, both powdered and hazards they pose in the health care also that it agreed with the position of unpowdered in a rat laparotomy model. setting (Refs. 65–66). the ACS and that of the Association of They found that both non-powdered The Occupational Safety and Health Perioperative Registered Nurses (AORN) natural rubber latex and powdered Administration (OSHA) of the that powdered gloves increase the risk surgical gloves resulted in peritoneal Department of Labor (DOL) issued a of sensitization to NRL antigens. APIC adhesions. However, powdered NRL Technical Information Bulletin (TIB 99– also noted that the evidence for the role gloves further promoted increased tissue 04–12) in 1999 and updated it in 2008 of glove powder in surgical site adhesions, which correlated with (SHIB 01–28–2008) (Ref. 67) describing infection risk is limited. the risk of sensitization to natural elevated serum cytokine levels. They F. Analysis of Medical Device Adverse rubber latex products used in the suggested that the use of NRL free, Events Reported to FDA for Medical workplace. In both of its documents, powder-free gloves would be most Gloves effective in decreasing peritoneal OSHA recommended that, if NRL gloves adhesion formation. In 2010, Suding et must be used, they should be non- On its own initiative, FDA evaluated al. (Ref. 44) performed another study of powdered (‘‘powder-free’’). adverse event reports for medical gloves the effect of cornstarch on experimental In the 1998 CDC Guideline for that use powder as additional model abscess formation. They found Infection Control in Hospital Personnel- information to help determine whether that the injection of starch into wound 1998 (Ref. 68), CDC addressed the issues the standard for initiating a ban was met sites increased the likelihood of of NRL sensitization in the health care and, if so, whether a ban was the methicillin-resistant S. aureus injection workplace and recommended that the appropriate regulatory action to address abscess formation in a rat model. use of non-powdered natural rubber the unreasonable and substantial risk of latex gloves would be more efficient illness or injury presented by powdered E. Actions of Other Regulatory Entities than other interventions such as trying gloves. and Professional Organizations to wash powder off gloves in reducing We performed a search of our Over the past several years, some NRL allergy in the workplace when NRL Manufacturer and User Facility Device domestic health care organizations, gloves were retained instead of Experience (MAUDE) database to isolate health care systems, and other nations replaced. reports through September 30, 2015, to have banned or restricted the use of In January 2000, the New Jersey evaluate the number of adverse events glove powder because of its deleterious Department of Health and Senior reported for all types of medical gloves. effects on the body. Organizations such Services (DHSS) issued ‘‘Guidelines on A total of 3,780 reports were identified, as the National Institute for the Management of Natural Rubber including some that identify Occupational Safety and Health Latex Allergy; Selecting the Right Glove inflammation and granulomas. The (NIOSH), the American Academy of for the Right Task’’ (Ref. 69) for the reports retrieved in this query date back Allergy, Asthma, and Immunology health care facility environment. The to 1992. Charting the reports entered by (ACAAI), the American College of New Jersey DHSS recommended that year indicates a bell curve in which the Surgeons (ACS), and the American reduced powder or, preferably, non- majority of reports were entered in 1999 Nurses Association have all issued powdered NRL gloves be used when with 783 reports. Since 1999, the statements discouraging the use of NRL gloves are selected. number of adverse events reported for powdered NRL gloves (Refs. 59 to 61). Allmers and colleagues (Ref. 25) these devices has consistently In June 1997, the NIOSH of the CDC reported that a revised version of the decreased, and since 2003, the number issued an Alert titled ‘‘Preventing technical regulations for dangerous of adverse events reported for these Allergic Reactions to Natural Rubber substances (TRGS 540) was published in devices has tapered off to consistently Latex in the Workplace’’ (Ref. 59) in Germany in December 1997 that stated remain below 100 per year. FDA which it recommended that if NRL that the use of powdered natural rubber believes that this reduction can be

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attributed to the risks of powdered As discussed in section VIII such, health care workers, patients, and gloves becoming better known, which ‘‘Economic Analysis of Impacts,’’ other individuals who come in contact has led to suitable powder-free market analysis clearly indicates that with glove powder are being exposed to alternatives being developed and use of powdered gloves is declining, but risks unnecessarily, which is one of the becoming more widely available on the some individuals and organizations reasons that FDA decided to initiate this market. continue to use them despite the risks ban. of illness or injury they present. As

III. The Reasons FDA Initiated the gloves varies depending on the The risks of inflammatory responses, Proceeding; Determination That composition and intended use of the hypersensitivity reactions, and allergic Powdered Gloves Present an glove. While some glove types present reactions, including asthma, allergic Unreasonable and Substantial Risk of less risk than others, we have concluded rhinitis, conjunctivitis, and dyspnea, are Illness that the public’s exposure to such risk risks presented by all powdered latex As described in section 1.D, section is substantial in relation to the nominal glove types. FDA has determined that 516(a)(1) of the FD&C Act authorizes public health benefit derived from the these risks are important, material, and FDA to ban a device intended for continued marketing of these devices. significant risks in relation to the human use by regulation if it finds, on Further, it is FDA’s position that minimal potential benefits of greater the basis of all available data and exposure to these risks is unreasonable ease of donning and doffing and information, that such a device in the current market where suitable decreased tackiness. In relation to the ‘‘presents substantial deception or an alternatives are readily available that state of the art of alternative non- unreasonable and substantial risk of carry none of the risks presented by powdered gloves that do not present illness or injury’’ In this section, we powdered gloves. risks of inflammatory responses, describe the reasons we initiated the The risk of acute severe airway hypersensitivity reactions, and allergic proceeding to ban powdered gloves, inflammation due to ADP inhalation is reactions, we conclude that these risks including the determination that a risk presented by all powdered glove are substantial and unreasonable. powdered gloves present an types and absorbable powder alone and The risk of granuloma and adhesion unreasonable and substantial risk of is considered important, material, and formation is presented to patients and illness or injury. In order to make this significant in relation to the minimal health care workers via exposure to determination, we analyzed both the potential benefits of greater ease of internal tissue through the use of benefits and the risks that these devices donning and doffing and decreased powdered latex or synthetic surgeon’s pose to those that may come into tackiness. In considering these risks and patient examination gloves. FDA contact with them, comparing those relative to the state of the art and has determined that this risk is benefits and risks to the benefits and alternative non-powdered gloves that do important, material, and significant in risks posed by similar alternative not present risks of acute severe airway relation to the minimal potential devices. inflammation, FDA has determined that benefits of greater ease of donning and As explained in section II, the level these risks are substantial and doffing and decreased tackiness. In and types of risk presented by powdered unreasonable. relation to the state of the art of

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alternative non-powdered gloves that do risk of illness or injury to individuals, posed by glove powder because a not present risk of granuloma and and that no change in labeling could warning label would not be visible to adhesion formation, we have concluded correct the risk of illness or injury everyone affected by risks of glove that this risk is substantial and presented by the continued use of these powder. unreasonable. devices. FDA has determined that a ban Although the use of powdered gloves A critical aspect of these devices that is the appropriate regulatory approach has declined in recent years, the use of FDA considered in coming to the to addressing risks posed by glove these devices has not been eliminated, decision to propose this ban is their powder. No labeling or warnings can and patients and health care workers ability to affect persons other than the mitigate the risks posed by these continue to be exposed to the risks of individual who decides to wear or use devices. glove powder. Due to the ability of them. Patients often do not know the As discussed previously, powdered powder to affect people who would not type of gloves being worn by the health gloves have additional or increased risks have an opportunity to read warning care professional treating them, but are to health compared to non-powdered labels, such a label would be ineffective still exposed to the potential dangers of gloves related to the spread of powder at informing the affected persons of those gloves. Glove powder’s expansive and powder-transported contaminants potential risks. In addition, potential danger zone includes persons, including such as latex allergens through aerosols warning labels would raise awareness of other health care workers, completely and inhalation or direct or indirect the risks, but would not eliminate the unaware or unassociated with its contact with wounds, oral, vaginal, risks posed by glove powder. Therefore, employment. In addition, users wear rectal tissue, etc. Although labeling can despite declining use of powdered gloves as a conventional prophylactic raise awareness of these risks, we do not gloves and previous warning label measure to prevent harm, but may be conclude that labeling can effectively suggestions, FDA has determined no exposed to the myriad harms posed by mitigate these risks because it cannot label or warning can mitigate the risks powdered gloves. Although we have prohibit the spread of glove powder or posed by these devices. noticed a progressive reduction in the powder-transported contaminants. In Due to the nature of the risks market share of powdered gloves, some addition, an important aspect of these presented by glove powder that are individuals and institutions continue to devices is their ability to affect persons posed simply by virtue of the powder use them. This, in turn, has led to other than the individual who decides being used, we do not conclude that continued exposure to the risks to wear or use them. For example, additional or new labeling can presented by powdered gloves. patients often do not know the type of adequately correct or eliminate the In aggregate, the risks posed by these gloves being worn by the health care risks. As such, in light of all available devices include severe airway professional treating them, but are still data and information, FDA has inflammation, hypersensitivity exposed to the potential dangers. determined that it should address the reactions, allergic reactions (including Similarly, glove powder’s ability to risks posed by glove powder by banning asthma), allergic rhinitis, conjunctivitis, aerosolize and carry NRL proteins its use. dyspnea, as well as granuloma and exposes individuals to harm via V. FDA’s Determination That the Ban adhesion formation when exposed to inhalation or surface contact. Glove Applies to Devices Already in internal tissue. The state of the art of powder’s expansive danger zone Commercial Distribution and Sold to both surgeon’s and patient examination includes persons completely unaware or Ultimate Users, and the Reasons for gloves includes non-powdered unassociated with its employment and This Determination alternatives that provide similar without the opportunity to consider the performance as the various powdered devices’ labeling. Because of this FDA has determined that this ban, if glove types do: That is, there are many inherent quality, adequate directions for finalized, should apply to devices non-powdered gloves available that use cannot be written that would ensure already in commercial distribution and have the same level of protection, the safe and effective use of these devices already sold to the ultimate dexterity, and performance. The benefits devices for all persons that might come user, as well as to devices that would be of these devices appear to only include in contact with them. sold or distributed in the future. (See 21 ease of donning and doffing and In the now withdrawn draft guidance CFR 895.21(d)(7).) This means that increased tackiness. We have concluded entitled ‘‘Draft Guidance for Industry powdered gloves currently being used that these benefits are nominal, and that and FDA Staff: Recommended Warning in the marketplace would be subject to the risks that are posed by the continued for Surgeon’s Gloves and Patient this ban, and thus adulterated under marketing of powdered gloves outweigh Examination Gloves that Use Powder,’’ section 501(g) of the FD&C Act and those benefits in all instances, FDA proposed a general voluntary would be subject to enforcement action. especially in light of the current state of warning for powdered glove devices in FDA made this determination because the art, and the fact that readily order to alert users to the potential the risks of illness or injury to available alternatives exist in today’s adverse health effects of medical glove individuals who are currently exposed market that carry none of these risks. As powder while FDA assessed the benefits to these devices is equally unreasonable such, FDA has determined that the and risks of glove powder (Ref. 7) (80 FR and substantial as it would be for future standard to ban powdered gloves has 26059). In order to facilitate this individuals that might be exposed to been met, and that it is appropriate to assessment, concurrent with the issue of powdered gloves. Indeed, because issue this proposal to ban. this draft guidance document, we issued suitable alternatives already exist in the a notice in the Federal Register current marketplace, and because the IV. FDA’s Determination That Labeling, requesting public input on the benefits market trends have shown that powder or a Change in Labeling, Cannot Correct and risks of powdered gloves (76 FR glove use is steadily decreasing, it is or Eliminate the Risk 6684, February 7, 2011; FDA–2011–N– likely that the remaining users of FDA has determined that powdered 0027). Many of the comments we powder gloves will be able to quickly surgeon’s gloves, powdered patient received, in addition to a citizen transition to alternatives that are equally examination gloves, and absorbable petition filed in 2011 (FDA–2011–P– effective and carry none of the risks powder for lubricating a surgeon’s glove 0331–0001), indicated that labeling associated with powdered gloves. present an unreasonable and substantial would not sufficiently address the risks Further, because of the steady decrease

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in powdered glove use, it is likely that The Agency has concluded that the B. Summary the greatest number of people that might proposed rule will not have a significant The proposed rule, if finalized, would benefit from the ban include those who impact on the human environment, and prohibit marketing of powdered would be exposed to powdered gloves that an environmental impact statement surgeon’s gloves, powdered patient already in distribution. It is our is not required. FDA’s finding of no examination gloves, and absorbable conclusion that this group is being significant impact (FONSI) and the powder for lubricating surgeon’s gloves. unnecessarily exposed to risks that can evidence supporting that finding, The rule does not cover or include be eliminated through the use of contained in an EA prepared under 21 powdered radiographic gloves. In the alternative gloves that are readily CFR 25.40, may be seen in the Division past, powdering gloves was a popular available. For these reasons, FDA has of Dockets Management (see ADDRESSES) method to make the gloves easier to put determined that the ban should apply to between 9 a.m. and 4 p.m., Monday on and remove. However, recent studies powdered gloves and glove powder through Friday (Ref. 72). FDA invites indicate that these powders pose an already in commercial distribution. comments and submission of data unnecessary risk to medical workers VI. Legal Authority concerning the EA and FONSI. (Ref. 73 and 74). Their results note that these powders carry the latex material This proposed rule, if finalized, VIII. Economic Analysis of Impacts would amend §§ 878.4460, 878.4480, on latex gloves. As a result, medical 880.6250, 895.102, 895.103, and A. Introduction workers who are sensitive to latex are 895.104. FDA’s legal authority to modify occasionally exposed to enough latex to §§ 878.4460, 878.4480, 880.6250, We have examined the impacts of the develop an allergy. 895.102, 895.103, and 895.104 arises proposed rule under Executive Order Adopting the proposed rule is from the device and general 12866, Executive Order 13563, the expected to provide a positive net administrative provisions of the FD&C Regulatory Flexibility Act (5 U.S.C. benefit (estimated benefits minus Act (21 U.S.C. 352, 360f, 360h, 360i, and 601–612), and the Unfunded Mandates estimated costs) to society. Banning 371). Reform Act of 1995 (Pub. L. 104–4). powdered glove products is not Executive Orders 12866 and 13563 expected to impose any costs to society VII. Environmental Impact direct us to assess all costs and benefits because improvements to non-powdered FDA has carefully considered the of available regulatory alternatives and, gloves have made these products as potential environmental effects of this when regulation is necessary, to select affordable and easy to put on as proposed rule and of possible regulatory approaches that maximize powdered gloves. The ban is expected to alternative actions. In doing so, we net benefits (including potential reduce the adverse events associated focused on the environmental impacts economic, environmental, public health with using powdered gloves. Total of its action as a result of disposal of and safety, and other advantages; annual benefits are estimated to range unused powdered surgeon’s gloves, distributive impacts; and equity). We between $26.6 million and $29.3 powdered patient examination gloves, have developed a comprehensive million. and absorbable powder for lubricating a Economic Analysis of Impacts that The Economic Analysis of Impacts of surgeon’s glove that will need to be the proposed rule performed in assesses the impacts of the proposed handled after the rule is finalized. accordance with Executive Order 12866, rule. We believe that this proposed rule The environmental assessment (EA) Executive Order 13563, the Regulatory is not a significant regulatory action as considered each of the alternatives in Flexibility Act, and the Unfunded terms of the need to provide maximum defined by Executive Order 12866. Mandates Reform Act is available at reasonable protection of human health The Regulatory Flexibility Act http://www.regulations.gov under the without resulting in a significant impact requires us to analyze regulatory options docket number(s) (FDA–2015–N–5017) on the environment. The EA considered that would minimize any significant for this proposed rule and at http:// environmental impacts related to impact of a rule on small entities. www.fda.gov/AboutFDA/ landfill and incineration of solid waste. Because this rule imposes no new ReportsManualsForms/Reports/ The proposed action, if finalized, will burdens, we propose to certify that the EconomicAnalyses/default.htm (Ref. result in an initial batch disposal of final rule would not have a significant 75). We invite comments on this unused powdered surgeon’s gloves, economic impact on a substantial analysis. powdered patient examination gloves, number of small entities. and absorbable powder for lubricating a IX. Proposed Effective Date The Unfunded Mandates Reform Act surgeon’s glove at user facilities FDA is proposing that any final rule nationwide, followed by a rapid of 1995 (section 202(a)) requires us to based on this proposed rule become decrease in the rate of disposal of these prepare a written statement, which effective 30 days after the date of its devices, as supplies are depleted. The includes an assessment of anticipated publication in the Federal Register. proposed action does not change the costs and benefits, before proposing FDA proposes that manufacturers must ultimate disposition of these devices but ‘‘any rule that includes any Federal not market any new units of affected expedites their rate of disposal and mandate that may result in the devices after the effective date of any ceases future production. Overall, given expenditure by State, local, and tribal final rule based on this proposal. FDA the limited number of powdered governments, in the aggregate, or by the requests comment on the proposed surgeon’s gloves, powdered patient private sector, of $100,000,000 or more effective date for this proposed rule. examination gloves, and absorbable (adjusted annually for inflation) in any Once this rule is finalized, all powdered powder for lubricating a surgeon’s one year.’’ The current threshold after surgeon’s gloves, powdered patient glove, currently in commercial adjustment for inflation is $144 million, examination gloves, and absorbable distribution, the proposed action is using the most current (2014) Implicit powder for lubricating a surgeon’s expected to have no significant impact Price Deflator for the Gross Domestic gloves must be removed from the market on landfill and solid waste facilities and Product. This proposed rule would not by the effective date provided in the the environment in affected result in an expenditure in any year that final rule or the device will be deemed communities. meets or exceeds this amount. adulterated. Section 501(g) of the FD&C

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Act deems a device to be adulterated if the Royal College of Surgeons of 17. Cooke, S.A. and D.G. Hamilton, ‘‘The it is a banned device. England, 76(1):5–8, 1994, available at: Significance of Starch Powder http://www.ncbi.nlm.nih.gov/pmc/ Contamination in the Aetiology of X. Paperwork Reduction Act of 1995 articles/PMC2502175/. Peritoneal Adhesions,’’ British Journal of FDA tentatively concludes that this 5. Food and Drug Administration, Surgery, 64(6):410–412, 1977. Stratmeyer, M., T. Cunningham, A. 18. Luijendijk, R.W., D.C. de Lange, C.C. proposed rule contains no collection of Lowery, et al., Medical Glove Powder Wauters, et al., ‘‘Foreign Material in information. Therefore, clearance by the Report. 1997, available at: http:// Postoperative Adhesions,’’ Annals of Office of Management and Budget under www.fda.gov/medicaldevices/ Surgery, 223(3):242–248, 1996, available the Paperwork Reduction Act of 1995 is deviceregulationandguidance/ at: http://www.ncbi.nlm.nih.gov/pmc/ not required. guidancedocuments/ucm113316.htm. articles/PMC1235111/. 6. ‘‘Draft Guidance for Industry and FDA: 19. McEntee, G.P., R.C. Stuart, P.J. Byrne, et XI. Federalism Medical Glove Guidance Manual,’’ al., ‘‘Experimental Study of Starch- FDA has analyzed this proposed rule issued July 30, 1999; withdrawn January Induced Intraperitoneal Adhesions,’’ in accordance with the principles set 22, 2008. British Journal of Surgery, 77(10):1113– forth in Executive Order 13132. Section 7. ‘‘Draft Guidance for Industry and FDA 1114, 1990. Staff: Recommended Warning for 20. Charous, B.L., P.J. Schuenemann, and 4(a) of the Executive order requires Surgeon’s Gloves and Patient M.C. Swanson, ‘‘Passive Dispersion of Agencies to ‘‘construe . . . a Federal Examination Gloves that Use Powder,’’ Latex Aeroallergen in a Healthcare statute to preempt State law only where issued February 7, 2011; withdrawn Facility,’’ Annals of Allergy, Asthma & the statute contains an express April 27, 2015. Immunology, 85(4):285–290, 2000, preemption provision or there is some 8. Ahmed, S.M., T.C. Aw, and A. Adisesh, available at: http:// other clear evidence that the Congress ‘‘Toxicological and Immunological www.sciencedirect.com/science/article/ intended preemption of State law, or Aspects of Occupational Latex Allergy,’’ pii/S1081120610625318. where the exercise of State authority Toxicological Reviews, 23(2):123–134, 21. Edelstam, G., L. Arvanius, and G. Karlsson, ‘‘Glove Powder in the Hospital conflicts with the exercise of Federal 2004. 9. Fisher, M.D., V.R. Reddy, F.M. Williams, Environment—Consequences for authority under the Federal statute.’’ et al., ‘‘Biomechanical Performance of Healthcare Workers,’’ International Federal law includes an express Powder-Free Examination Gloves,’’ The Archives of Occupational and preemption provision that preempts Journal of Emergency Medicine, Environmental Health, 75(4):267–271, certain State requirements ‘‘different 17(6):1011–1018, 1999, available at: 2002, availabe at: http:// from or in addition to’’ certain Federal http://www.sciencedirect.com/science/ link.springer.com/article/ requirements applicable to devices (21 article/pii/S073646799900133X. 10.1007%2Fs00420-001-0296-y. U.S.C. 360k; See Medtronic, Inc. v. Lohr, 10. Kerr, L.N., M.P. Chaput, L.D. Cash, et al., 22. Kujala, V., H. Alenius, T. Palosuo, et al., 518 U.S. 470 (1996); Riegel v. ‘‘Assessment of the Durability of Medical ‘‘Extractable Latex Allergens in Airborne Medtronic, Inc., 552 U.S. 312 (2008)). Examination Gloves,’’ Journal of Glove Powder and in Cut Glove Pieces,’’ Occupational and Environmental Clinical & Experimental Allergy, This proposed rule, if finalized, would Hygiene, 1(9):607–612, 2004. 32(7):1077–1081, 2002, available at: create a requirement under 21 U.S.C. 11. Korniewicz, D.M., M. El-Masri, J.M. http://onlinelibrary.wiley.com/doi/ 360k that bans Powdered Surgeon’s Broyles, et al., ‘‘Performance of Latex 10.1046/j.1365-2222.2002.01413.x/full. Gloves, Powdered Patient Examination and Nonlatex Medical Examination 23. Saary, M.J., A. Kanani, H. Alghadeer, et Gloves, and Absorbable Powder for Gloves During Simulated Use,’’ al., ‘‘Changes in Rates of Natural Rubber Lubricating a Surgeon’s Glove. American Journal of Infection Control, Latex Sensitivity Among Dental School 30(2):133–138, 2002, available at: Students and Staff Members After XII. References http://www.sciencedirect.com/science/ Changes in Latex Gloves,’’ Journal of The following references are on article/pii/S0196655302751626. Allergy and Clinical Immunology, display in the Division of Dockets 12. Patel, H.B., G.J. Fleming, and F.J. Burke, 109(1):131–135, 2002, available at: ‘‘Puncture Resistance and Stiffness of http://www.sciencedirect.com/science/ ADDRESSES Management (see ) and are Nitrile and Latex Dental Examination article/pii/S0091674902343148. available for viewing by interested Gloves,’’ British Dental Journal, 24. Barbara, J., M.C. Santais, D.A. Levy, et al., persons between 9 a.m. and 4 p.m., 196(11):695–700, available at: http:// ‘‘Immunoadjuvant Properties of Glove Monday through Friday; they are also www.nature.com/bdj/journal/v196/n11/ Cornstarch Powder in Latex-Induced available electronically at http:// full/4811353a.html. Hypersensitivity,’’ Clinical and www.regulations.gov. FDA has verified 13. Rego, A. and L. Roley, ‘‘In-Use Barrier Experimental Allergy, 33(1):106–112, the Web site addresses, as of the date Integrity of Gloves: Latex and Nitrile 2003, available at: http:// this document publishes in the Federal Superior to Vinyl,’’ American Journal of onlinelibrary.wiley.com/doi/10.1046/ Register, but Web sites are subject to Infection Control, 27(5):405–410, 1999, j.1365-2222.2003.01573.x/full. available at: http:// 25. Allmers, H., R. Brehler, Z. Chen, et al., change over time. www.sciencedirect.com/science/article/ ‘‘Reduction of Latex Aeroallergens and 1. ‘‘Guidance for Industry and FDA Staff: pii/S0196655399700064. Latex-Specific IgE Antibodies in Medical Glove Guidance Manual,’’ 14. Sawyer, J. and A. Bennett, ‘‘Comparing Sensitized Workers After Removal of January 22, 2008, available at: http:// the Level of Dexterity Offered by Latex Powdered Natural Rubber Latex Gloves www.fda.gov/downloads/ and Nitrile SafeSkin Gloves,’’ The in a Hospital,’’ Journal of Allergy and MedicalDevices/ Annals of Occupational Hygiene, Clinical Immunology, 102(5):841–846, DeviceRegulationandGuidance/ 50(3):289–296, 2006, available at: 1998. GuidanceDocuments/UCM428191.pdf. http://annhyg.oxfordjournals.org/ 26. Allmers, H., J. Schmengler, and S.M. 2. Association for Testing and Materials, content/50/3/289.long. John, ‘‘Decreasing Incidence of ‘‘ASTM D6124 Standard Test Method for 15. 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Kheir, et al., Years: Recommendations and ‘‘Retrograde Migration of Glove Powder ‘‘Ease of Donning Commercially Perspectives,’’ Journal of Allergy and in the Human Female Genital Tract,’’ Available Latex Examination Gloves,’’ Clinical Immunology, 109(1):31–34, Human Reproduction, 19(4):991–995, Journal of Biomedical Materials 2002. 2004, available at: http:// Research, 43(3):331–337, 1998, available 29. Cuming, R.G., ‘‘Reducing the Hazards of humrep.oxfordjournals.org/content/19/ at: http://onlinelibrary.wiley.com/doi/ Exposure to Cornstarch Glove Powder,’’ 4/991.long. 10.1002/(SICI)1097- AORN Journal, 76(2):288–295, 2002. 41. Smither, A.R., A.L. Winthrop, and H.G. 4636(199823)43:3%3C331::AID- 30. Filon, F.L. and G. Radman, ‘‘Latex Mesrobian, ‘‘Bilateral Scrotal Masses in JBM15%3E3.0.CO;2-I/pdf. Allergy: A Follow Up Study of 1040 an Infant: Remote Presentation of an 54. Gnaneswaran, V., B. Mudhunuri,, and Healthcare Workers,’’ Journal of Inflammatory Reaction to Surgical Glove R.R. Bishu, ‘‘A Study of Latex and Vinyl Occupational and Environmental Powder,’’ The Journal of Urology, Gloves: Performance Versus Allergy Medicine, 63(2):121–125, 2006, available 168(6):2592–2593, 2002, available at: Protection Properties,’’ International at: http://www.ncbi.nlm.nih.gov/pmc/ http://www.sciencedirect.com/science/ Journal of Industrial Ergonomics, articles/PMC2078060/. article/pii/S0022534705642243. 38:171–181, 2008. 31. Jackson, E.M., J.A. Arnette, M.L. Martin, 42. Dave, J., M.H. Wilcox, and M. Kellett, 55. Tarlo, S.M., A. Easty, K. Eubanks, et al., et al., ‘‘A Global Inventory of Hospitals ‘‘Glove Powder: Implications for ‘‘Outcomes of a Natural Rubber Latex Using Powder-Free Gloves: A Search for Infection Control,’’ Journal of Hospital Control Program in an Ontario Teaching Principled Medical Leadership,’’ Journal Infection, 42(4):283–285, 1999, available Hospital,’’ Journal of Allergy and of Emergency Medicine, 18(2):241–246, at: http://www.sciencedirect.com/ Clinical Immunology, 108(4):628–633, 2000, available at: http:// science/article/pii/S0195670198905928. 2001, available at: http:// www.sciencedirect.com/science/article/ 43. Odum, B.C., J.S. O’Keefe, W. Lara, et al., www.sciencedirect.com/science/article/ pii/S0091674901609850. pii/S0736467999002024. ‘‘Influence of Absorbable Dusting Powders on Wound Infection,’’ Journal 56. Handfield-Jones, S.E., ‘‘Latex Allergy in 32. Korniewicz, D.M., N. Chookaew, J. of Emergency Medicine, 16(6):875–879, Health-Care Workers in an English Brown, et al., ‘‘Impact of Converting to 1998, available at: http:// District General Hospital,’’ British Powder-Free Gloves. Decreasing the www.sciencedirect.com/science/article/ Journal of Dermatology, 138(2):273–276, Symptoms of Latex Exposure in pii/S0736467998001024?np=y. 1998, available at: http:// Operating Room Personnel,’’ American 44. Suding, P., T. Nguyen, I. Gordon, et al., onlinelibrary.wiley.com/doi/10.1046/ Association of Occupational Health ‘‘Glove Powder Increases Staphylococcus j.1365-2133.1998.02073.x/pdf. Nurses Journal, 53(3):111–116, 2005. Aureus Abscess Rate in a Rat Model,’’ 57. Sellar, P.W. and R.A. Sparrow, ‘‘Are 33. Liss, G.M. and S.M. Tarlo, ‘‘Natural Surgical Infections, 11(2):133–135, 2010. Ophthalmic Surgeons Aware That Starch Rubber Latex-Related Occupational 45. Aarons, J. and N. Fitzgerald, ‘‘The Powdered Surgical Gloves Are a Risk Asthma: Association With Interventions Persisting Hazards of Surgical Glove Factor in Ocular Surgery?’’ International and Glove Changes Over Time,’’ Powder,’’ Surgery, Gynecology, and Ophthalmology, 22:247–251, 1999. American Journal of Industrial Medicine, Obstetrics, 138(3):385–390, 1974. 58. Petsonk, E.L., ‘‘Couriers of Asthma: 40(4):347–353, 2001. 46. Hamlin, C.R., A.L. Black, and J.T. Opalek, Antigenic Proteins in Natural Rubber 34. Malerich, P.G., M.L. Wilson, and C.M. ‘‘Assay Interference Caused by Powder Latex,’’ Occupational Medicine: State of Mowad, ‘‘The Effect of a Transition to From Prepowdered Latex Gloves,’’ the Art Reviews, 15(2):421–430, 2000. Powder-Free Latex Gloves on Workers’ Clinical Chemistry, 37(8):1460, 1991. 59. CDC, ‘‘Preventing Allergic Reactions to Compensation Claims for Latex-Related 47. Sharefkin, J.B., K.D. Fairchild, R.A. 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Latex Medical Gloves (Surgeons’ and 21 CFR Part 895 PART 895—BANNED DEVICES Examination) Powdered Latex Medical Gloves (Surgeons’ and Examination),’’ Administrative practice and ■ 6. The authority citation for 21 CFR 1998, MDA: London. procedure, Labeling, Medical devices. part 895 continues to read as follows: 66. Latza, U., F. Haamann, and X. Baur, ‘‘Effectiveness of a Nationwide Therefore, under the Federal Food, Authority: 21 U.S.C. 352, 360f, 360h, 360i, Interdisciplinary Preventive Programme Drug, and Cosmetic Act and under 371. for Latex Allergy,’’ International authority delegated to the Commissioner ■ 7. Add § 895.102 to subpart B to read Archives of Occupational and of Food and Drugs, it is proposed that as follows: Environmental Health, 78(5):394–402, 21 CFR parts 878, 880, and 895 be 2005, available at: http:// amended as follows: § 895.102 Powdered surgeon’s glove. link.springer.com/article/ A powdered surgeon’s glove is a 10.1007%2Fs00420-004-0594-2. PART 878—GENERAL AND PLASTIC device made of natural rubber latex or 67. U.S. Department of Labor, OSHA, SURGERY DEVICES Potential for Sensitization and Possible synthetic latex, intended to be worn by operating room personnel to protect a Allergic Reaction To Natural Rubber ■ 1. The authority citation for 21 CFR Latex Gloves and Other Natural Rubber surgical wound from contamination. A Products, 2008. Available at: https:// part 878 continues to read as follows: powdered surgeon’s glove incorporates www.osha.gov/dts/shib/ Authority: 21 U.S.C. 351, 360, 360c, 360e, powder for purposes other than shib012808.html. 360j, 360l, 371. manufacturing. 68. Bolyard, E.A., O.C. Tablan, W.W. ■ 8. Add § 895.103 to subpart B to read ■ 2. Amend § 878.4460 by revising the Williams, et al., ‘‘Guideline for Infection as follows: Control in Healthcare Personnel, 1998. heading and paragraph (a) to read as Hospital Infection Control Practices follows: § 895.103 Powdered patient examination Advisory Committee,’’ Infection Control glove. § 878.4460 Non-powdered surgeon’s and Hospital Epidemiology, 19(6):407– A powdered patient examination 463, 1998. glove. 69. Blumenstock, J.S., E. Bresnitz, and K. glove is a disposable device made of (a) Identification. A non-powdered natural rubber latex or synthetic latex, O’Leary, Guidelines Management of surgeon’s glove is a device made of Natural Rubber Latex Allergy; Selecting intended for medical purposes, that is the Right Glove for the Right Task in natural rubber latex or synthetic latex, worn on the examiner’s hand or finger Healthcare Facilities, New Jersey intended to be worn by operating room to prevent contamination between Department of Health and Senior personnel to protect a surgical wound patient and examiner. A powdered Services, ed. B. Gerwel, 2000. from contamination. A non-powdered patient examination glove incorporates 70. United Kingdom National Health Service, surgeon’s glove does not incorporate powder for purposes other than N.P., Royal College of Physicians, powder for purposes other than manufacturing. Faculty of Occupational Medicine, manufacturing. The final finished glove ■ ‘‘Latex Allergy: Occupational Aspects of 9. Add § 895.104 to subpart B to read includes only residual powder from as follows: Management. A National Guideline,’’ manufacturing. 2008, London: RCP. * * * * * § 895.104 Absorbable powder for 71. Olmsted, R., ‘‘APIC response to FDA lubricating a surgeon’s glove. Docket # FDA–2011–N–0027,’’ available § 878.4480 [Removed] at www.regulations.gov, 2011. Absorbable powder for lubricating a 72. ‘‘Finding of No Significant Impact ■ 3. Remove § 878.4480. surgeon’s glove is a powder made from (FONSI) and Environmental Analysis for cornstarch that meets the specifications Banned Devices; Proposal to Ban PART 880—GENERAL HOSPITAL AND for absorbable powder in the United Powdered Surgeon’s Gloves, Powdered PERSONAL USE DEVICES States Pharmacopeia (U.S.P.) and that is Patient Examination Gloves, and intended to be used to lubricate the Absorbable Powder for Lubricating a ■ 4. The authority citation for 21 CFR surgeon’s hand before putting on a Surgeon’s Glove.’’ part 880 continues to read as follows: 73. Korniewicz, D.M., N. Chookaew, M. El- surgeon’s glove. The device is Masri, et al., ‘‘Conversion to Low- Authority: 21 U.S.C. 351, 360, 360c, 360e, absorbable through biological Protein, Powder-Free Surgical Gloves: Is 360j, 371. degradation. It Worth the Cost?’’ American ■ Dated: March 16, 2016. Association of Occupational Health 5. Amend § 880.6250 by revising the Leslie Kux, Nurses Journal, 53(9):388–393, 2005. heading and paragraph (a) to read as 74. Ranta, P.M. and D.R. Ownby, ‘‘A Review follows: Associate Commissioner for Policy. of Natural-Rubber Latex Allergy in [FR Doc. 2016–06360 Filed 3–21–16; 8:45 am] § 880.6250 Non-powdered patient Health Care Workers,’’ Clinical examination glove. BILLING CODE 4164–01–P Infectious Diseases, 38(2):252–256, 2004. 75. ‘‘Preliminary Regulatory Impact Analysis, (a) Identification. A non-powdered Initial Regulatory Flexibility Analysis, patient examination glove is a DEPARTMENT OF JUSTICE and Unfunded Mandates Reform Act disposable device made of either natural Analysis for Banned Devices; Proposal to rubber latex or synthetic latex, intended Ban Powdered Surgeon’s Gloves, Drug Enforcement Administration Powdered Patient Examination Gloves, for medical purposes, that is worn on and Absorbable Powder for Lubricating a the examiner’s hand or finger to prevent 21 CFR Part 1308 Surgeon’s Glove,’’ available at http:// contamination between patient and www.fda.gov/AboutFDA/ examiner. A non-powdered patient [Docket No. DEA–417C] ReportsManualsForms/Reports/ examination glove does not incorporate EconomicAnalyses/default.htm. powder for purposes other than Schedules of Controlled Substances: Placement of UR–144, XLR11, and List of Subjects manufacturing. The final finished glove includes only residual powder from AKB48 Into Schedule I; Correction 21 CFR Parts 878 and 880 manufacturing. AGENCY: Drug Enforcement Medical devices. * * * * * Administration, Department of Justice.

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ACTION: Notice of proposed rulemaking; submission are not necessary and are included in the text of your electronic correction. discouraged. Should you wish to mail a submission that is not identified as paper comment in lieu of an electronic directed above as confidential. SUMMARY: The Drug Enforcement comment, it should be sent via regular An electronic copy of this document Administration published a document or express mail to: Drug Enforcement is available at http:// in the Federal Register of May 14, 2015, Administration, Attn: DEA Federal www.regulations.gov for easy reference. concerning the proposal to place (1- Register Representative/ODW, 8701 Legal Authority pentyl-1H-indol-3-yl)(2,2,3,3- Morrissette Drive, Springfield, Virginia tetramethylcyclopropyl)methanone (UR- 22152. The DEA implements and enforces 144), [1-(5-fluoro-pentyl)-1H-indol-3- Titles II and III of the Comprehensive FOR FURTHER INFORMATION CONTACT: yl](2,2,3,3- Drug Abuse Prevention and Control Act tetramethylcyclopropyl)methanone (5- Barbara J. Boockholdt, Office of of 1970, as amended. 21 U.S.C. 801–971. fluoro-UR-144, XLR11), and N-(1- Diversion Control, Drug Enforcement Titles II and III are referred to as the adamantyl)-1-pentyl-1H-indazole-3- Administration; Mailing Address: 8701 ‘‘Controlled Substances Act’’ and the carboxamide (APINACA, AKB48) Morrissette Drive, Springfield, Virginia ‘‘Controlled Substances Import and including their salts, isomers, and salts 22152; Telephone: (202) 598–6812. Export Act,’’ respectively, and are of isomers whenever the existence of SUPPLEMENTARY INFORMATION: collectively referred to as the such salts, isomers, and salts of isomers Posting of Public Comments ‘‘Controlled Substances Act’’ or the is possible, into schedule I of the ‘‘CSA’’ for the purposes of this action. Controlled Substances Act (CSA), Please note that all comments 21 U.S.C. 801–971. The DEA publishes specifically under cannabimimetic received are considered part of the the implementing regulations for these agents. This corrected notice of public record. They will, unless statutes in title 21 of the Code of Federal proposed rulemaking proposes to place reasonable cause is given, be made Regulations (CFR), chapter II. The CSA such substances into schedule I of the available by the Drug Enforcement and its implementing regulations are CSA under hallucinogenic substances. Administration (DEA) for public designed to prevent, detect, and inspection online at http:// eliminate the diversion of controlled DATES: Interested persons may file www.regulations.gov. Such information substances and listed chemicals into the written comments on this correction to includes personal identifying illicit market while providing for the the initial proposal in accordance with information (such as your name, legitimate medical, scientific, research, 21 CFR 1308.43(g). The DEA is address, etc.) voluntarily submitted by and industrial needs of the United requesting comments on this change the commenter. The Freedom of States. Controlled substances have the only and is not soliciting comments on Information Act (FOIA) applies to all potential for abuse and dependence and other aspects of the May 14, 2015, comments received. If you want to are controlled to protect the public notice of proposed rulemaking submit personal identifying information health and safety. published at 80 FR 27611. Electronic (such as your name, address, etc.) as Under the CSA, each controlled comments must be submitted, and part of your comment, but do not want substance is classified into one of five written comments must be postmarked, it to be made publicly available, you schedules based upon its potential for on or before April 21, 2016. must include the phrase ‘‘PERSONAL abuse, its currently accepted medical Commenters should be aware that the IDENTIFYING INFORMATION’’ in the use in treatment in the United States, electronic Federal Docket Management first paragraph of your comment. You and the degree of dependence the System will not accept comments after must also place all of the personal substance may cause. 21 U.S.C. 812. The 11:59 p.m. Eastern Time on the last day identifying information you do not want initial schedules of controlled of the comment period. made publicly available in the first substances established by Congress are ADDRESSES: To ensure proper handling paragraph of your comment and identify found at 21 U.S.C. 812(c) and the of comments, please reference ‘‘Docket what information you want redacted. current list of scheduled substances is No. DEA–417C’’ on all correspondence, If you want to submit confidential published at 21 CFR part 1308. 21 including any attachments. The Drug business information as part of your U.S.C. 812(a). Enforcement Administration encourages comment, but do not want it to be made Pursuant to 21 U.S.C. 811(a)(1), the that all comments be submitted publicly available, you must include the Attorney General may, by rule, ‘‘add to electronically through the Federal phrase ‘‘CONFIDENTIAL BUSINESS such a schedule or transfer between eRulemaking Portal, which provides the INFORMATION’’ in the first paragraph such schedules any drug or other ability to type short comments directly of your comment. You must also substance if he * * * finds that such into the comment field on the Web page prominently identify confidential drug or other substance has a potential or to attach a file for lengthier business information to be redacted for abuse, and * * * makes with respect comments. Please go to http:// within the comment. to such drug or other substance the www.regulations.gov and follow the Comments containing personal findings prescribed by subsection (b) of online instructions at that site for identifying information and confidential section 812 of this title for the schedule submitting comments. Upon completion business information identified as in which such drug is to be placed of your submission you will receive a directed above will generally be made * * *.’’ The Attorney General has Comment Tracking Number for your publicly available in redacted form. If a delegated scheduling authority under 21 comment. Please be aware that comment has so much confidential U.S.C. 811 to the Administrator of the submitted comments are not business information or personal DEA. 28 CFR 0.100. instantaneously available for public identifying information that it cannot be The CSA provides that proceedings view on Regulations.gov. If you have effectively redacted, all or part of that for the issuance, amendment, or repeal received a Comment Tracking Number, comment may not be made publicly of the scheduling of any drug or other your comment has been successfully available. Comments posted to http:// substance may be initiated by the submitted and there is no need to www.regulations.gov may include any Attorney General (1) on her own resubmit the same comment. Paper personal identifying information (such motion; (2) at the request of the comments that duplicate the electronic as name, address, and phone number) Secretary of the Department of Health

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and Human Services (HHS),1 or (3) on adamantyl)-1-pentyl-1H-indazole-3- NPRM. The DEA previously had the petition of any interested party. 21 carboxamide (APINACA, AKB48) into provided an opportunity for comments U.S.C. 811(a). This proposed action (80 schedule I pursuant to the CSA. 80 FR on other aspects of the NPRM on May FR 27611, May 14, 2015) is supported 27611. 14, 2015, through June 15, 2015. by a recommendation from the Assistant In the NPRM, the DEA inadvertently Regulatory Analyses Secretary of the HHS and an evaluation proposed the addition of these of all other relevant data by the DEA. If substances in schedule I under 21 CFR This correction has no effect on the finalized, this action would impose the 1308.11(g), cannabimimetic agents, by regulatory analyses statements that were regulatory controls and administrative, adding paragraphs (g)(16) through (18). published with the notice of proposed civil, and criminal sanctions of schedule These substances should have been rulemaking published in the Federal I controlled substances on any person proposed to be added in schedule I Register on May 14, 2015, at 80 FR who handles, or proposes to handle, under 21 CFR 1308.11(d), 27611. UR-144, XLR11, or AKB48. hallucinogenic substances. This rulemaking therefore corrects the NPRM Correction Background by proposing the placement of these In proposed rule FR Doc. 2015–11762, UR-144, XLR11, and AKB48 are substances in 21 CFR 1308.11(d) by beginning on page 27611 in the issue of currently subject to schedule I controls adding paragraphs (d)(48) through (50). May 14, 2015, make the following on a temporary basis, pursuant to 21 Because the DEA is proposing to classify corrections. U.S.C. 811(h). 80 FR 27854, May 15, these substances as schedule I ■ 1. On page 27616 in the 3rd column, 2015. On May 14, 2015, the hallucinogenic substances, then by correct amendatory instruction 2.a. to Administrator of the DEA published a operation of 21 U.S.C. 802(14), this read as follows: ‘‘Adding paragraphs notice of proposed rulemaking (NPRM) classification will include any optical, (d)(65) through (67); and’’. to permanently schedule (1-pentyl-1H- positional, or geometric isomers. ■ 2. On page 27616 in the 3rd column, indol-3-yl)(2,2,3,3- Interested persons may file written correct § 1308.11 Schedule I regulatory tetramethylcyclopropyl)methanone (UR- comments on this change in accordance text to read as follows: 144), [1-(5-fluoro-pentyl)-1H-indol-3- with 21 CFR 1308.43(g). The DEA is yl](2,2,3,3- requesting comments on this change § 1308.11 Schedule I. tetramethylcyclopropyl)methanone (5- only and is not soliciting comments on * * * * * fluoro-UR-144, XLR11), and N-(1- other aspects of the May 14, 2015, (d) * * *

(65) (1-pentyl-1H-indol-3-yl)(2,2,3,3-tetramethylcyclopropyl)methanone (UR-144) ...... (7144) (66) [1-(5-fluoro-pentyl)-1H-indol-3-yl](2,2,3,3-tetramethylcyclopropyl) methanone (5-fluoro-UR-144, XLR11) ...... (7011) (67) N-(1-adamantyl)-1-pentyl-1H-indazole-3-carboxamide (APINACA, AKB48) ...... (7048)

* * * * * restoration, or coastal wetlands your comments and include your name Dated: March 16, 2016. restoration projects by Federal, State, or and return address. • Federal eRulemaking Portal: http:// Chuck Rosenberg, local government agencies, or use in construction projects authorized by or www.regulations.gov. Under the tab Acting Administrator. funded in whole or in part by the ‘‘More Search Options,’’ click [FR Doc. 2016–06474 Filed 3–21–16; 8:45 am] Federal Government. The proposed rule ‘‘Advanced Docket Search,’’ then select BILLING CODE 4410–09–P describes the negotiated noncompetitive ‘‘Bureau of Ocean Energy Management’’ agreement process for qualifying from the agency drop-down menu, then projects and codifies new and existing click the submit button. In the Docket ID DEPARTMENT OF THE INTERIOR procedures. column, select BOEM–2010–0041 to submit public comments and to view DATES: Submit comments by May 23, Bureau of Ocean Energy Management supporting and related materials 2016. The Bureau of Ocean Energy available for this rulemaking. Management (BOEM) may not fully 30 CFR Part 583 Information on using Regulations.gov, consider comments received after this including instructions for accessing RIN 1010–AD90 date. Submit comments to the Office of documents, submitting comments, and Management and Budget (OMB) on the [Docket ID: BOEM–2010–0041] viewing the docket after the close of the information collection (IC) burden in comment period, is available through Negotiated Noncompetitive Leasing for this proposed rule by April 21, 2016. the site’s ‘‘User Tips’’ link. BOEM will the Use of Sand, Gravel, and Shell This does not affect the deadline for the Resources on the Outer Continental post comments on www.regulations.gov. public to comment to BOEM on the • Mail or hand-carry comments to the Shelf proposed regulation. U.S. Department of the Interior; Bureau AGENCY: Bureau of Ocean Energy ADDRESSES: You may submit comments of Ocean Energy Management; Attn: Management, Interior. on the rulemaking by any of the Office of Policy, Regulation and ACTION: Proposed rule. following methods. Please use the Analysis, 45600 Woodland Road, VAM– Regulation Identifier Number (RIN) BOEM DIR, Sterling, Virginia 20166. SUMMARY: This rule proposes regulations 1010–AD90 as an identifier in your • Send comments on the IC in this to address the use of Outer Continental comment. Please reference ‘‘Outer proposed rule to: Interior Desk Officer Shelf (OCS) sand, gravel and shell Continental Shelf Marine Sand, Gravel 1010–AD90, Office of Management and resources for shore protection, beach and Shell Resources, 1010–AD90’’ in Budget; 202–395–5806 (fax); email:

1 As discussed in a memorandum of within the HHS in carrying out the Secretary’s Assistant Secretary for Health of the HHS the understanding entered into by the Food and Drug scheduling responsibilities under the CSA, with the authority to make domestic drug scheduling Administration (FDA) and the National Institute on concurrence of NIDA. 50 FR 9518, Mar. 8, 1985. recommendations. 58 FR 35460, July 1, 1993. Drug Abuse (NIDA), the FDA acts as the lead agency The Secretary of the HHS has delegated to the

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[email protected]. Please development of the resources. No fee administrative requirements that must also send a copy to BOEM, Office of shall be assessed directly or indirectly be met. Policy, Regulation and Analysis at against a Federal, State, or local B. Program History 45600 Woodland Road, Sterling, VA government agency. See 43 U.S.C. 20166. 1337(k)(2)(B). BOEM and its predecessor agencies, Public Availability of Comments: the Minerals Management Service and A. Program Description Before including your address, phone the Bureau of Ocean Energy number, email address, or other Generally, shore protection and beach Management, Regulation and personal identifying information in your and coastal wetlands restoration Enforcement, through the Marine comment, you should be aware that projects are initiated to rebuild eroding Minerals Program, have been exercising your entire comment—including your shoreline segments, such as beaches and statutory authority regarding OCS sand, personal identifying information—may dunes, barrier islands, and wetlands. In gravel and shell resources under the Act be made publicly available at any time. sensitive wetland areas, these projects pursuant to written guidelines, without While you can ask us in your comment are intended to forestall further erosion, the benefit of implementing regulations. to withhold your personal identifying restore habitat and/or to provide Nearly fifty agreements have been information from public review, we protection from hurricanes, storms, and negotiated, providing for the use of cannot guarantee that we will be able to coastal erosion. These projects are more than 100 million cubic yards of do so. typically accomplished by placing sand OCS sand, gravel and shell resources for shore protection, beach restoration, or FOR FURTHER INFORMATION CONTACT: For directly on the beach, in open water coastal wetlands restoration undertaken comments or questions, contact Loren areas that are the former location of an by a Federal, State or local government Thompson, Office of Policy, Regulation eroded beach, and/or within breaches in agency, and for Federally authorized or and Analysis, at Loren.Thompson@ the shoreline that compromise integrity funded construction projects. BOEM boem.gov, or at (202) 208–5890. To see of the beach or barrier island system to believes that the promulgation of a copy of the IC request submitted to form, and subsequently maintain, a regulations at this time is advisable in OMB, go to http://www.reginfo.gov beach. Material may also be placed order to provide additional clarity and (select Information Collection Review, updrift from the beach, allowing certainty and to help ensure continuity Currently Under Review). You may also longshore processes to redistribute the of the Marine Minerals Program. obtain a copy of the supporting sand, gravel and shell resources along statement for the new collection of the beach. II. Section by Section Analysis of the information by contacting BOEM, Office The Act authorizes BOEM to enter Proposed Rule of Policy, Regulation and Analysis at into a negotiated agreement when the Subpart A—General 45600 Woodland Rd., Sterling, VA use of OCS sand, gravel and shell 20166. resources is authorized for qualifying Section 583.100 What is BOEM’s authority for information collection (IC)? SUPPLEMENTARY INFORMATION: projects. This negotiated agreement will take the form of a lease or a This section would explain BOEM’s Table of Contents Memorandum of Agreement (MOA), authority for IC activities related to this I. Background depending on the identity of the proposed part 583. It would explain the A. Program Description applicant(s) requesting use of OCS sand, reasons the information is being B. Program History gravel and shell resources. If a non- collected and establish the OMB II. Section-by-Section Analysis of the Federal entity requests the use of OCS approval of the collection. Proposed Rule sand, gravel and shell resources, the A. Subpart A—General negotiated agreement required by the Section 583.101 What is the purpose of B. Subpart B—Reserved Act would generally take the form of a this rule and to whom does it apply? C. Subpart C—Outer Continental Shelf lease. If a Federal agency requests the This section would explain that the Sand, Gravel and Shell Resources Negotiated Agreements use of OCS sand, gravel and shell purpose of this proposed rule is to III. Legal and Regulatory Analysis resources, BOEM and the Federal refine and formally adopt procedures for A. Procedural Matters agency, as well as their Federal, State or entering into negotiated noncompetitive B. List of Subjects local government agency counterparts agreements for the use of OCS sand, on the project, would enter into a MOA. gravel and shell resources for shore I. Background For example, when a Federal agency protection, beach or wetlands Congress amended the Outer partially or wholly funds a non-Federal restoration by a Federal, State or local Continental Shelf Lands Act, 43 U.S.C. entity to conduct a project that is government agency or for construction 1331–1356 (OCSLA, or the Act), in 1994 otherwise eligible for OCS sand, gravel projects authorized or funded, in whole to authorize the Secretary of the Interior and shell resources, the negotiated or in part, by the Federal Government. to negotiate noncompetitive agreements agreement may take the form of a three- This section would explain that the rule with any person for the use of OCS party MOA. As warranted, the Federal would apply exclusively to negotiated sand, gravel and shell resources in a applicant(s) and BOEM would designate noncompetitive use of sand, gravel and program of or project for shore a lead agency and enter into a shell resources in the OCS and would protection, beach restoration, or coastal cooperating agency agreement for the not apply to competitive leasing of wetlands restoration undertaken by a environmental analysis and review. minerals, including oil, gas, sulphur, Federal, State or local government Likewise, if a non-Federal applicant is geopressured-geothermal and associated agency, or in a construction project involved, BOEM would ensure that resources, and all other minerals which either authorized or funded in whole or appropriate environmental analysis and are authorized by an Act of Congress to in part by the Federal Government. See review is completed. The negotiated be produced from ‘‘public lands’’ as 43 U.S.C. 1337(k)(2). The Secretary may agreement in each of these situations defined in section 103 of the Federal assess a fee based on an assessment of would describe the project and Land Policy and Management Act of the value of the resources and the public procedures that would be followed and 1976, as amended (FLPMA). (43 U.S.C. interest served by promoting identify environmental and 1701 et seq.)

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Section 583.102 What is BOEM’s Subpart B—Reserved the International Convention for the authority for this rule? Subpart C—Outer Continental Shelf Prevention of Pollution from Ships (MARPOL), MARPOL-Annex V Treaty. This section would explain that in Sand, Gravel and Shell Resources proposing these regulations, BOEM is Negotiated Agreements Section 583.302 What process does operating under authority granted to the Section 583.300 How do I submit a BOEM use to technically and Secretary of the Interior by the Act. request for an agreement? environmentally evaluate a qualified project? This section would explain who may Section 583.103 What definitions do I This section would explain the submit a request to BOEM to obtain an need to know? process that BOEM would follow to agreement for the use of OCS sand, evaluate a project that qualifies for the This section would define many of gravel, and shell resources. It would list use of OCS sand, gravel and shell the terms commonly used in the Marine the information the request must resources to decide whether to enter Minerals Program and now used in the include, such as a detailed description into a negotiated noncompetitive proposed regulation, including ‘‘borrow of the proposed project and how it agreement. It states that BOEM would area,’’ ‘‘placement area,’’ and ‘‘project.’’ qualifies as a project eligible under the coordinate with relevant Federal This section would also define new Act to receive OCS sand, gravel and agencies, States, and local governments, terms for purposes of this subpart, shell resources pursuant to a negotiated and potentially affected Federally including ‘‘Act,’’ ‘‘agreement,’’ noncompetitive agreement; a recognized Indian Tribes. It also ‘‘amendment,’’ ‘‘BOEM,’’ ‘‘Director,’’ description of borrow and placement describes how BOEM would evaluate ‘‘Federal agency,’’ ‘‘local government,’’ areas; certain maps and data; a the project and additional information ‘‘modification,’’ ‘‘outer continental description of the environmental provided under §§ 583.300 and 583.301 shelf,’’ ‘‘program,’’ ‘‘Regional Director,’’ evaluations that have been completed or to determine if the information is and ‘‘Secretary.’’ are being prepared that cover the sufficient to conduct necessary project, including both onshore and technical and environmental reviews to Section 583.104 Who is qualified for a offshore components; a target date or comply with the requirements of project? date range when the resources will be applicable statutes and regulations, needed; a description of the Federal, which may include, but are but not This section would explain who is State, or local agencies that are limited to, the National Environmental qualified to enter into an agreement undertaking the project and points of Policy Act (NEPA) (42 U.S.C. 4321 et with BOEM for the use of OCS sand, contact; and a statement explaining who seq.), the Endangered Species Act (ESA) gravel, and shell resources, and would authorized the project and how the (16 U.S.C. 1531 et seq.), the MMPA (16 explain the requirements to comply project will be funded. U.S.C. 1361 et seq.), the Magnuson- with the relevant debarment regulations. Section 583.301 How will BOEM Stevens Fishery Conservation and Section 583.105 How do I appeal an determine if a project qualifies? Management Act (MSFCMA) (16 U.S.C. unfavorable decision by BOEM? 1801 et seq.), the National Historic This section would lay out the factors Preservation Act (NHPA) (16 U.S.C. 470 This section would set out the kinds that BOEM would use to determine et seq.), and the Coastal Zone of decisions that would be subject to whether a project qualifies for use of Management Act (CZMA) (16 U.S.C. sand, gravel and shell resources under reconsideration or appeal, and the 1451 et seq.). Finally, this section would a negotiated noncompetitive agreement. process that would be utilized by an provide that BOEM would not enter into The section would enumerate the unsuccessful applicant or adversely a negotiated noncompetitive agreement evaluation criteria, including: The until the information requested for the affected party for resolution of such project purpose; other uses of OCS sand, reconsideration or appeal. evaluation has been provided and gravel and shell resources authorized BOEM has evaluated it. Section 583.106 What are the from the same borrow area; the project Section 583.303 What is the process minimum contents of an agreement to funding source(s) and amounts; the proposed design and feasibility of the for negotiating and executing an use OCS sand, gravel and shell agreement? resources? project; any potential environmental and safety risks associated with the This section would describe the steps This section would explain who project; other Federal interests located BOEM would take once it has would be allowed to use OCS sand, near or within the specified borrow completed its technical, environmental gravel and shell resources, and would area; comments received from and other evaluations. This section explain that use authorizations would potentially affected governments; the would provide further that, once BOEM be in the form of agreements that are applicant’s background and experience has completed its review of an negotiated on a case-by-case basis. It working on similar projects or activities; application, BOEM would decide would also explain that the agreements and whether the project is consistent whether to enter into an agreement. This would identify the location, type and with applicable statutes and their section would provide further that volume of OCS sand, gravel and shell implementing regulations, which may BOEM would negotiate the terms of the resources allowed to be used under the include, but are not limited to, the agreement and prepare a draft agreement. In addition, it would explain Marine Mammal Protection Act agreement for the applicant’s review (MMPA) (16 U.S.C. 1361 et seq.), the and comment. The section would also that any authorizations to use sand, Marine Debris Research, Prevention, provide that, after BOEM considers the gravel and shell resources would not be and Reduction Act (MDRPRA) (33 applicant’s comments and suggestions, exclusive. U.S.C. 1951 et seq.), the Marine Plastic it would finalize the agreement for Pollution Research and Control Act signature. This section would provide (MPPRCA) (33 U.S.C. 1901 et seq.), the that, once the applicant signs the Federal Water Pollution Control Act agreement, BOEM would execute the (FWPCA) (33 U.S.C. 1381 et seq.), and agreement and distribute it to the parties

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to the agreement. Finally, this section It would be within BOEM’s sole determined that this rule is not would describe the process BOEM discretion to determine when significant. would use when an application is not extraordinary circumstances warrant an (1) This proposed rule contains approved. initial term longer than five years. The virtually the same reporting and parties would have the option to request recordkeeping requirements as those in Section 583.304 What kinds of an extension, modification or change to the current uncodified guidelines and information must be included in an the terms of the agreement, as set forth procedures. A regulatory impact agreement? in § 583.309. analysis is not required. This proposed This section would describe the rule formalizes existing policies and minimum information that an Section 583. 308 What debarment or procedures that govern the use of OCS agreement would be required to include, suspension obligations apply to sand, gravel and shell resources. The such as an agreement number assigned transactions and contracts related to a existing policies, procedures, by BOEM; the purpose of, and project? consultations and monitoring authorities for, the agreement; This section would explain that the requirements for the noncompetitive use designated and delineated borrow applicant has the obligation to ensure of OCS sand, gravel and shell resources area(s); the project description, that all contracts and transactions are longstanding and have remained including the timeframe within which related to an agreement issued under relatively consistent for two decades. the project is to be started and this part comply with the suspension This proposed rule does not materially completed; the terms and conditions of and debarment regulations at 2 CFR part change the existing requirements for the the agreement, including any reporting 180 and 2 CFR part 1400. use of OCS sand, gravel and shell requirements; all obligations of the resources through leases or MOAs for parties; and the signatures of Section 583.309 What is the process shore protection, beach or wetlands appropriate individuals authorized to for modifying the agreement? restoration by a Federal, State or local bind the applicant and BOEM. This section would explain how an government agency, or for construction applicant may seek to extend, modify or projects authorized or funded, in whole Section 583.305 What is the effective or in part, by the Federal Government. date of an agreement? change an agreement and would spell out the time frames when this might be The regulatory baseline is essentially This section would describe what accomplished. It would provide that the same as the proposed rule. BOEM determines the effective date of the believes that any changes between the BOEM is under no obligation to extend, agreement. current BOEM process and this modify or change an agreement and proposed rule are immaterial and would Section 583.306 How will BOEM cannot be held liable for the not impose additional compliance enforce the agreement? consequences of the expiration of an obligations or costs upon the regulated agreement. If BOEM approves a This section would describe how entities. BOEM would enforce the terms of an modification, BOEM would prepare an Formalizing the existing conveyance agreement and the consequences, amendment to the agreement and process will provide certainty to the including termination, for failure to provide it for review by the parties to public entities requesting comply with any applicable law or with the agreement prior to execution of the noncompetitive leases or MOAs for OCS the agreement terms. This section would amendment. Should BOEM deny the sand, gravel and shell resources. BOEM also provide that the failure to comply request, BOEM would notify the parties believes there is a benefit to the in a timely and satisfactory manner with to the agreement and reconsideration regulated entities in the form of any provision, term or condition of the could be requested of the Director. regulatory certainty when Federal, State agreement may delay or prevent Section 583.310 When can the and local government agencies desire to BOEM’s approval of future requests for agreement be terminated? use OCS sand, gravel and shell use of OCS sand, gravel and shell resources for qualifying projects. resources on the part of the parties to This section would explain under Entities affected by this rulemaking the agreement. what circumstances the Director could have the opportunity to comment terminate an agreement. The through the rulemaking process on the Section 583.307 What is the term of termination factors include fraud; proposed provisions, which are the agreement? noncompliance with the agreement; consistent with current practices for the This section would explain when an national security or defense reasons; conveyance of sand, gravel and shell agreement would terminate, either by a situations in which continuing with the resources. specified date, when parties to the agreement would cause serious harm or (2) This proposed rule does not create agreement notify BOEM that sufficient damage to natural resources, property, a serious inconsistency or otherwise resources have been removed to the environment or historical structures; interfere with an action taken or complete the project, or for other and other reasons described in this planned by another agency. It reflects reasons specified in this section. This section. This section would also explain the existing process developed over the section would also explain that, absent the process for terminations and life of the program in cooperation with extraordinary circumstances, no suspensions. other Federal agencies, including the agreement would have an initial term III. Legal and Regulatory Analysis U.S. Fish and Wildlife Service (FWS), that is longer than five years from its National Marine Fisheries Service effective date. Examples of Procedural Matters (NMFS) and U.S. Army Corps of extraordinary circumstances where an Regulatory Planning and Review Engineers, and State and local initial term longer than five years may (Executive Order (E.O.) 12866) governments. be appropriate would include a program (3) This proposed rule does not have of multiple individual projects to be E.O. 12866 provides that the Office of an annual effect on the economy of $100 carried out over multiple seasons or Information and Regulatory Affairs million or more. It will not adversely where the Congressional authorization (OIRA), a part of the OMB, will review affect in a material way the economy, for a project called for multiple phases. all significant rules. OIRA has productivity, competition, jobs, the

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environment, public health or safety, or The Small Business and Agriculture have a role in OCS activities, this State, local or tribal governments or Regulatory Enforcement Ombudsman proposed rule would not affect that role. communities. and 10 Regional Fairness Boards were A Federalism Assessment is not (4) This rule does not alter the established to receive comments from required. budgetary effects of existing small businesses about Federal agency Civil Justice Reform (E.O. 12988) entitlements, grants, user fees, or loan enforcement actions. The Ombudsman programs or the rights or obligations of will annually evaluate the enforcement This rule would comply with the their recipients. activities and rate each agency’s requirements of E.O. 12988. (5) This rule does not raise novel legal responsiveness to small business. If you Specifically, this rule would: or policy issues arising out of legal wish to comment on the actions of (a) Meet the criteria of section 3(a) mandates, the President’s priorities, or BOEM enforcement activities, you may requiring that all regulations be the principles set forth in E.O. 12866. call 1–888–734–3247. You may reviewed to eliminate errors and ambiguity and be written to minimize Improving Regulation and Regulatory comment to the Small Business litigation; and, Review (E.O. 13563) Administration without fear of retaliation. Allegations of (b) Meet the criteria of section 3(b)(2) Executive Order 13563 reaffirms the discrimination/retaliation filed with the requiring that all regulations be written principles of E.O. 12866 while calling Small Business Administration will be in clear language and contain clear legal for improvements in the nation’s investigated for appropriate action. standards. regulatory system to promote predictability, reduce uncertainty, and Small Business Regulatory Enforcement Consultation With Indian Tribes (E.O. use the best, most innovative, and least Fairness Act (SBREFA) 13175) burdensome tools for achieving This proposed rule is not a major rule The U.S. Department of the Interior regulatory ends. The executive order under the SBREFA (5 U.S.C. 804(2)). (DOI) strives to strengthen its directs agencies to consider regulatory This proposed rule: government-to-government relationship approaches that reduce burdens and (a) Would not have an annual effect with Indian tribes through a maintain flexibility and freedom of on the economy of $100 million or commitment to consultation with Indian choice for the public where these more; tribes and recognition of their right to approaches are relevant, feasible, and (b) Would not cause a major increase self governance and tribal sovereignty. consistent with regulatory objectives. in costs or prices for consumers, BOEM’s Tribal Liaison Officer has E.O. 13563 emphasizes further that individual industries, Federal, State, or certified that this regulation does not regulations must be based on the best local government agencies, or have tribal implications as defined in available science and that the geographic regions; and, section 1(a) of E.O. 13175 and has rulemaking process must allow for (c) Would not have significant adverse determined that the regulation does not public participation and an open effects on competition, employment, have substantial and direct effects on exchange of ideas. BOEM has developed investment, productivity, innovation, or Federally recognized tribes or any this rule in a manner consistent with the ability of U.S.-based enterprises to Alaska Native Corporation established these requirements. compete with foreign-based enterprises. pursuant to the Alaska Native Claims Regulatory Flexibility Act (RFA) Settlement Act (ANCSA), 43 U.S.C. Unfunded Mandates Reform Act 1601 et seq. BOEM certifies this proposed rule This proposed rule would not impose As it relates to any Federally would not have a significant economic an unfunded mandate on State, local, or recognized Indian tribe, this proposed effect on a substantial number of small tribal governments or the private sector rule merely formalizes existing policies entities under the RFA (5 U.S.C. 601 et of more than $100 million per year. A and procedures that govern the use of seq.). A Regulatory Flexibility Analysis statement containing the information OCS sand, gravel and shell resources. is not required. Small public entities required by Unfunded Mandates Reform The existing policies, procedures, affected by this rulemaking may be Act (2 U.S.C. 1501 et seq.) is not consultations and monitoring cities, counties, towns, townships, required. requirements for the noncompetitive use villages or special districts, with a of sand, gravel and shell resources are population of less than 50,000. Small Takings Implication Assessment (E.O. longstanding and have remained entities are occasionally parties to an 12630) relatively consistent for two decades. If agreement for the use of OCS sand, Under the criteria in E.O. 12630, this BOEM determines an individual project gravel and shell resources. Over the last proposed rule would not have authorized under this part may have two decades, BOEM has issued nearly significant takings implications. The effects on Federally recognized tribes or 50 leases or MOAs with 22 parties, of proposed rule is not a governmental any Alaska Native Corporation, BOEM which 5 were small public entities. Four action capable of interference with will initiate consultation as soon as out of the 5 small public entities constitutionally protected property possible consistent with E.O. 13175 and received significant Federal cost-shares rights. A Takings Implication DOI tribal consultation policies. A tribe to conduct beach nourishment projects. Assessment is not required. may also request BOEM initiate The proposed application and consultation pursuant to E.O. 13175. monitoring requirements are necessary Federalism (E.O. 13132) to comply with Federal law and provide Under the criteria in E.O. 13132, this Paperwork Reduction Act (PRA) of 1995 BOEM and the public the best proposed rule would not have sufficient This proposed rule contains a new information on the changes in the sand federalism implications to warrant the collection of information request that is borrow areas. Since BOEM is not preparation of a Federalism Assessment. being submitted to OMB for review and proposing any material changes to the This proposed rule would not approval under 44 U.S.C. 3501 et seq. longstanding requirements for substantially and directly affect the The rule proposes to add a new part 583 borrowing OCS sand, gravel and shell relationship between the Federal and to address the use of OCS sand, gravel resources, this rulemaking will not have State and local governments. To the and shell resources for shore protection a substantial effect on small entities. extent that State and local governments or replenishment, wetland restoration,

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or qualified construction projects. This government agencies; corporations; and to evaluate applications for leases/ part describes the negotiated individual entities. Responses would agreements to access sand, gravel or noncompetitive agreement process for primarily be required in order to obtain shell resources on the OCS; to balance qualifying projects and would codify or retain a benefit. The frequency of multiple uses of the OCS; and to procedures. The title of the IC request is response would vary depending on the monitor activities for environmental 30 CFR 583, Negotiated Noncompetitive requirement. BOEM would protect protection and safety. Leasing for the Use of Sand, Gravel and proprietary information according to the The following table provides a Shell Resources on the OCS. Freedom of Information Act (5 U.S.C. Respondents that would be required 552) and its implementing regulations breakdown of the IC requirements and to submit information under this part (43 CFR part 2). BOEM proposes to burdens in this proposed part. are other Federal, State, and local collect the information under this part

BURDEN TABLE

Average Citation 30 Hour number of Annual CFR 583 Reporting and recordkeeping requirement burden annual burden hours responses

Subpart A—General—Federal, State, & local governments

105 ...... Apply for reconsideration/appeal to the BOEM Director/IBLA within 15 days 2 1 2 of notification; include statement of reasons; 1 copy to program office.

Subpart A—General—Corporations

105 ...... Apply for reconsideration/appeal to the BOEM Director/IBLA within 15 days 2 1 2 of notification; include statement of reasons; 1 copy to program office.

Subpart A—General—Individuals

105 ...... Apply for reconsideration/appeal to the BOEM Director/IBLA within 15 days 2 1 2 of notification; include statement of reasons; 1 copy to program office.

Total Subpart A ...... 3 6

Subpart C—OCS Sand, Gravel, & Shell Resources Negotiated Agreements—State & local governments

300 ...... Submit to BOEM a written request to obtain agreement; including, but not 10 4 40 limited to: Detailed description of project; maps (geographic coordinates); G&G data; description/documentation of environmental evaluations; tar- get dates; description of parties involved; required permits (status of/po- tential conflicts); points of contact info. for all parties involved; statement of funding. 301; 302(d) ..... Submit additional information as requested by BOEM ...... 5 1 5

303(b) ...... Request that the BOEM Director reconsider a disapproved agreement ...... Burden covered under 30 CFR 2 Subpart A

303(c)–(e) ...... Review and comment on draft agreement; sign and return copies for exe- 8 3 24 cution by BOEM. 307(a) ...... Submit written notification to BOEM once resources authorized are ob- 1 1 1 tained. 308 ...... Verify all applicants comply with 2 CFR 180 & 2 CFR 1400 in contract/ 2 1 2 transaction. 309 ...... Submit written request to extend, modify, or change agreement to BOEM 2 2 4 within 180 days before expiration; submit any other documentation re- quested by BOEM; sign and return amendment; request that the BOEM Director reconsider a disapproved request to extend, modify, or change. 309(b) ...... Submit written request for letter amendment ...... 1 1 1

Subpart C—OCS Sand, Gravel, & Shell Resources Negotiated Agreements—Corporations

300 ...... Submit to BOEM a written request to obtain agreement; including, but not 10 4 40 limited to: Detailed description of project; maps (geographic coordinates); G&G data; description/documentation of environmental evaluations; tar- get dates; description of parties involved; required permits (status of/po- tential conflicts); points of contact info. for all parties involved; statement of funding. 301; 302(d) ..... Submit additional information as requested by BOEM ...... 5 1 5

303(b) ...... Request that the BOEM Director reconsider a disapproved agreement ...... Burden covered under 30 CFR 2 Subpart A

303(c)–(e) ...... Review and comment on draft agreement; sign and return copies for exe- 8 3 24 cution by BOEM.

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BURDEN TABLE—Continued

Average Citation 30 Hour number of Annual CFR 583 Reporting and recordkeeping requirement burden annual burden hours responses

307(a) ...... Submit written notification to BOEM once resources authorized are ob- 1 1 1 tained. 308 ...... Verify all applicants comply with 2 CFR 180 & 2 CFR 1400 in contract/ 2 1 2 transaction. 309 ...... Submit written request to extend, modify, or change agreement to BOEM 2 2 4 within 180 days before expiration; submit any other documentation re- quested by BOEM; sign and return amendment; request that the BOEM Director reconsider a disapproved request to extend, modify, or change. 309(b) ...... Submit written request for letter amendment ...... 1 1 1

Subpart C—OCS Sand, Gravel, & Shell Resources Negotiated Agreements—Individuals

300 ...... Submit to BOEM a written request to obtain agreement; including, but not 10 4 40 limited to: Detailed description of project; maps (geographic coordinates); G&G data; description/documentation of environmental evaluations; tar- get dates; description of parties involved; required permits (status of/po- tential conflicts); points of contact info. for all parties involved; statement of funding. 301; 302(d) ..... Submit additional information as requested by BOEM ...... 5 1 5

303(b) ...... Request that the BOEM Director reconsider a disapproved agreement ...... Burden covered under 30 CFR 2 Subpart A

303(c)–(e) ...... Review and comment on draft agreement; sign and return copies for exe- 8 3 24 cution by BOEM. 307(a) ...... Submit written notification to BOEM once resources authorized are ob- 1 1 1 tained. 308 ...... Verify all applicants comply with 2 CFR 180 & 2 CFR 1400 in contract/ 2 1 2 transaction. 309 ...... Submit written request to extend, modify, or change agreement to BOEM 2 2 4 within 180 days before expiration; submit any other documentation re- quested by BOEM; sign and return amendment; request that the BOEM Director reconsider a disapproved request to extend, modify, or change. 309(b) ...... Submit written request for letter amendment ...... 1 1 1

Total Subpart C ...... 39 237

Grand Total ...... 42 243

As part of our continuing effort to and recordkeeping non-hour cost Government; or (4) as part of customary reduce paperwork and response burden resulting from the collection of and usual business or private practices. burdens, we invite the public and other information, and we solicit your OMB is required to make a decision Federal agencies to comment on any comments on this item. For reporting concerning the collection of information aspect of the reporting and and recordkeeping only, your response contained in these proposed regulations recordkeeping burden. We specifically should split the cost estimate into two between 30 to 60 days after publication solicit comments on the following components: (1) Total capital and of this document in the Federal questions: startup cost component; and (2) annual Register. Therefore, a comment to OMB (1) Is the proposed collection of operation, maintenance, and purchase is best assured of having its full effect information necessary for BOEM to of services component. Your estimates if OMB receives the comment by April properly perform its functions, and will should consider the costs to generate, 21, 2016. This does not affect the it be useful? deadline for the public to comment to maintain, and disclose or provide the (2) Are the estimates of the burden BOEM on the proposed regulations. information. You should describe the hours of the proposed collection National Environmental Policy Act reasonable? methods you use to estimate major cost (3) Do you have any suggestions that factors, including system and This rule does not constitute a major would enhance the quality, clarity, or technology acquisition, expected useful Federal action significantly affecting the usefulness of the information to be life of capital equipment, discount quality of the human environment. collected? rate(s), and the period over which you BOEM has analyzed this rule under the (4) Is there a way to minimize the IC expect to incur costs. Generally, your criteria of the NEPA and DOI’s NEPA burden on those who must respond, estimates should not include equipment implementing regulations at 43 CFR 46. including the use of appropriate or services purchased (1) before October This rule meets the criteria set forth in automated electronic, mechanical, or 1, 1995; (2) to comply with 43 CFR 46.210(i) for a Departmental other forms of information technology? requirements not associated with the IC; ‘‘categorical exclusion’’ in that this rule In addition, the PRA requires agencies (3) for reasons other than to provide is ‘‘ . . . of an administrative, financial, to estimate the total annual reporting information or keep records for the legal, technical, or procedural nature.

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. . .’’ We have also determined that the Dated: March 10, 2016. and shell resources on the Outer rule does not involve any of the Amanda C. Leiter, Continental Shelf (OCS) is qualified to extraordinary circumstances listed in 43 Acting Assistant Secretary—Land and enter into such an agreement and to CFR 46.215. Minerals Management. determine if the requested action is warranted. Applicants and parties to the Information Quality Act (IQA) For the reasons stated in the preamble, BOEM proposes to amend 30 agreement are required to respond to In accordance with the IQA, DOI has CFR to add part 583 to read as follows: requests related to information issued guidance regarding the quality of collection activities. information that it relies upon for PART 583—NEGOTIATED NONCOMPETITIVE AGREEMENTS § 583.101 What is the purpose of this part regulatory decisions. This guidance is and to whom does it apply? FOR USE OF OUTER CONTINENTAL available at DOI’s Web site at http:// The regulations in this part provide www.doi.gov. SHELF SAND, GRAVEL AND SHELL RESOURCES procedures for a negotiated Send your comments to the U.S. noncompetitive program for utilization Department of the Interior, Bureau of Subpart A—General of OCS sand, gravel and shell resources. Ocean Energy Management, Office of Sec. The rules of this part apply exclusively Policy, Regulation and Analysis, Attn: 583.100 What is BOEM’s authority for to negotiated noncompetitive use of IQA Comments, 45600 Woodland Road, information collection (IC)? OCS sand, gravel and shell resources VAM-BOEM DIR, Sterling, Virginia 583.101 What is the purpose of this part and do not apply to competitive leasing 20166. and to whom does it apply? of minerals, including oil, gas, sulphur, 583.102 What is BOEM’s authority for this geopressured-geothermal and associated Effects on the Energy Supply (E.O. part? resources, and all other minerals which 13211) 583.103 What definitions do I need to know? are authorized by an Act of Congress to This rule is not a significant energy 583.104 Who is qualified for a project? be produced from ‘‘public lands’’ as action under the definition in E.O. 583.105 How do I appeal an unfavorable defined in section 103 of the Federal 13211. A Statement of Energy Effects is decision by BOEM? Land Policy and Management Act of not required. 583.106 What are the minimum contents of 1976, as amended (43 U.S.C. 1701 et an agreement to use OCS sand, gravel, seq.). Clarity of This Regulation and shell resources? § 583.102 What is BOEM’s authority for Subpart B—[Reserved] We are required by E.O. 12866, E.O. this part? 12988, and by the Presidential Subpart C—Outer Continental Shelf Sand, (a) Pursuant to authority granted by Memorandum of June 1, 1998, to write Gravel, and Shell Resource Negotiated the Outer Continental Shelf Lands Act all rules in plain language. This means Agreements (OSCLA, or the Act), as amended (43 that each rule we publish must: 583.300 How do I submit a request for an U.S.C. 1331 et seq.), the Secretary has agreement? (a) Be logically organized; authority to negotiate an agreement for 583.301 How will BOEM determine if a the use of OCS sand, gravel and shell (b) Use the active voice to address project qualifies? resources: readers directly; 583.302 What process does BOEM use to (1) For use in a program of, or project technically and environmentally (c) Use clear language rather than evaluate a qualified project? for, shore protection, beach restoration, jargon; 583.303 What is the process for negotiating or coastal wetlands restoration (d) Be divided into short sections and and executing an agreement? undertaken by a Federal, State, or local sentences; and 583.304 What kinds of information must be government agency; or included in an agreement? (2) For use in a construction project, (e) Use lists and tables wherever 583.305 What is the effective date of an other than a project described in helpful. agreement? paragraph (1), that is funded in whole If you feel that we have not met these 583.306 How will BOEM enforce the or in part by or authorized by the agreement? Federal Government. requirements, send us comments by one 583.307 What is the term of the agreement? of the methods listed in the ADDRESSES 583.308 What debarment or suspension (b) The Secretary has authorized section. To better help BOEM revise the obligations apply to transactions and BOEM to administer the negotiated rule, your comments should be as contracts related to a project? noncompetitive agreement provisions of specific as possible. For example, you 583.309 What is the process for modifying the Act and prescribe the rules and should tell us the numbers of the the agreement? regulations necessary to carry out those sections or paragraphs that you find 583.310 When can the agreement be provisions. terminated? unclear, which sections or sentences are § 583.103 What definitions do I need to Authority: 43 U.S.C. 1334. too long, the sections where you feel know? lists or tables would be useful, etc. Subpart A—General When used in this part, the following List of Subjects 30 CFR 583 terms will have the meaning given § 583.100 What is BOEM’s authority for below: Administrative practice and information collection (IC)? Act means the OCSLA, as amended procedure, Beach restoration, Coastal The information collection (43 U.S.C. 1331 et seq.). wetlands restoration, Gravel, requirements contained in the new part Agreement means a negotiated Government contracts, 583 have been approved by the OMB noncompetitive agreement that Intergovernmental relations, Marine under 44 U.S.C. 3501 and assigned authorizes a person to use OCS sand, minerals, Marine minerals program, clearance number 1010–XXXX. The gravel and shell resources in a program Noncompetitive agreements, Negotiated information is being collected to of or project for shore protection, beach agreements, Outer Continental Shelf, determine if the applicant for a restoration or coastal wetlands Sand, Shell resources and Shore negotiated noncompetitive agreement restoration undertaken by one or more protection. (agreement) for the use of sand, gravel Federal, State or local government

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agencies, or in a construction project, Regional Director means the BOEM negotiated on a case-by-case basis. The authorized by, or funded in whole or in officer with responsibility and authority agreement will specify, at a minimum, part by the Federal government. The for a Region of the United States. who may use the OCS sand, gravel and form of the agreement will be a Secretary refers to the Secretary of the shell resources; the nature of the rights Memorandum of Agreement (if one or Interior. granted; and the location, type, and more of the parties to the agreement, volume of OCS sand, gravel and shell § 583.104 Who is qualified for a project? other than BOEM, is a Federal resources. Any authorization to use OCS government agency) or a lease (if all of (a) BOEM may enter into an sand, gravel and shell resources the parties to the agreement other than agreement with any person proposing to identified in an agreement is not BOEM are non-Federal agencies or use OCS sand, gravel and shell exclusive; BOEM may allow other persons). resources for a program of or project for entities to use OCS sand, gravel and Amendment means a modification to shore protection, beach restoration, or shell resource from the same borrow the agreement between BOEM and the coastal wetlands restoration undertaken area. parties to the agreement that extends, by a Federal, State, or local government modifies or changes the terms of the agency or in a construction project that Subpart B—[Reserved] agreement. is funded in whole or in part by or Applicant means any person authorized by the Federal government. Subpart C—Outer Continental Shelf proposing to use OCS sand, gravel and (b) To qualify for an agreement under Sand, Gravel, and Shell Resources shell resources for a shore protection, this part, the applicant must be: Negotiated Agreements beach restoration or coastal wetlands (1) A Federal, State, or local government agency; § 583.300 How do I submit a request for an restoration project undertaken by a agreement? Federal, State, or local government (2) A citizen or national of the United agency, or construction project, States; Any person may submit a written (3) An alien lawfully admitted for authorized by, or funded in whole or in request to BOEM to obtain an agreement permanent residence in the United part by the Federal government. If for the use of OCS sand, gravel and shell States, as defined in the Immigration multiple persons or Federal, State, or resources for use in a program of or and Nationality Act, as amended (8 local governments, other than BOEM, project for shore protection, beach U.S.C. 1101 (a)(20)); partner on a project they will be restoration, or coastal wetlands (4) A private or public corporation considered joint applicants. restoration undertaken by a Federal, organized under the laws of the United BOEM means the Bureau of Ocean State, or local government agency, or in States or of any State or territory thereof; Energy Management of the U.S. a construction project that is funded in or Department of the Interior (DOI). whole or in part by or authorized by the (5) An association of such citizens, Borrow area means the offshore Federal Government. The written nationals, resident aliens or private or geographic area(s) or region(s) where request must include: public corporations. OCS sand, gravel and shell resources (a) A detailed description of the (c) When entering into an agreement have been identified for potential use in proposed project for which the OCS under this part, all applicants are a specific project. sand, gravel and shell resources will be subject to the requirements of 2 CFR Director means the Director of BOEM used and how it qualifies as a program part 180 and 2 CFR part 1400. of the DOI, or an official authorized to or project eligible under the Act to use act on the Director’s behalf. § 583.105 How do I appeal an unfavorable OCS sand, gravel or shell resources; Federal agency means any decision by BOEM? (b) A description of the proposed borrow area(s) and placement area(s), department, agency, or instrumentality (a) After being notified of along with maps with geographic of the United States. disqualification, or disapproval of an coordinates depicting the location of the Local government means the agreement or modification, an desired borrow area(s), the OCS block governing authority at the county or city unsuccessful applicant, or adversely number(s), OCS Planning Area(s), OCS level with jurisdiction to administer a affected party to an agreement, may Protraction Diagram Designation(s), and particular project(s). apply for reconsideration by the the placement area(s). These should Modification means the process Director. whereby parties to an agreement and (1) All applications for include: (1) A detailed set of hardcopy maps BOEM mutually agree to change, alter or reconsideration by the Director must be with coordinates and navigation amend the existing agreement. submitted within 15 days of being features of the desired OCS project area Outer continental shelf (OCS) is notified of disqualification, or (including borrow area and other project defined in the same way it is defined in disapproval of an agreement or features); and Section 2(a) (43 U.S.C. 1331(a)) of the modification, accompanied by a (2) Digital geo-referenced spatial and OCSLA, as amended (43 U.S.C. 1331 et statement of reasons for the requested tabular data depicting the borrow area seq.). reconsideration, with one copy to the Placement area means the geographic with features, such as geological program office whose decision is the area in which OCS sand, gravel and sampling locations and any hard or live- subject of the reconsideration. shell resources, used by agreement, will (2) The Director will respond in bottom benthic habitat present; (c) Any available geological and be placed pursuant to that agreement. writing within 30 days. Program means a group of related (b) No additional appeal rights are geophysical data used to select, design, projects that may be the subject of a available under 30 CFR part 590 and 43 and delineate the borrow area(s) and negotiated noncompetitive agreement CFR part 4, subpart E. potential borrow areas considered but for the use of OCS sand, gravel and shell not selected for final design in digital resources. § 583.106 What are the minimum contents format, geo-referenced where relevant. Project means an undertaking that of an agreement to use OCS sand, gravel, These may include: may be the subject of a negotiated and shell resources? (1) Sediment sampling (sediment noncompetitive agreement for the use of Any use of OCS sand, gravel and shell cores and grab samples) data such as OCS sand, gravel and shell resources. resources in an agreement will be physical description sheets,

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photographs, core locations, and grain determining whether a project qualifies pursuant to sections 30 CFR 583.300 size analysis; and for an agreement, BOEM will consider, and 583.301, to determine if the (2) Geophysical data such as among other criteria, the following: information is sufficient to conduct subbottom profiler, marine (a) The project purpose; necessary technical and environmental magnetometer, and side-scan sonar data, (b) Other uses of OCS sand, gravel and reviews to comply with the and bathymetry including geo- shell resources from the same borrow requirements of applicable statutes and referenced navigation survey tracklines, area that are currently or were regulations, which may include, but are shotpoints, and/or timestamps; previously authorized by BOEM for not limited to: OCSLA (43 U.S.C. 1331 (d) Any other uses of the OCS in the other projects or programs, including et seq.), the National Environmental borrow area that are known to the the location, type and volume of such Policy Act (NEPA) (42 U.S.C. 4321 et applicant at the time of application resources; seq.), the ESA (16 U.S.C. 1531 et seq.), submittal; (c) The project funding source(s) and the MMPA (16 U.S.C. 1361 et seq.), the (e) A description of the environmental amounts; Magnuson-Stevens Fishery evaluations and corresponding (d) The proposed design and Conservation and Management Act documents that have been completed or feasibility of the project; (MSFCMA) (16 U.S.C. 1801 et seq.), the are being prepared, that cover all (e) Any potential environmental and National Historic Preservation Act offshore and onshore components of the safety risks; (NHPA) (54 U.S.C. 300101 et seq.), and project, as applicable; (f) Other Federal interests located near the Coastal Zone Management Act (f) A target date or date range when or within the specified borrow area; (CZMA) (16 U.S.C. 1451 et seq.). (g) Comments received from the OCS sand, gravel and shell resources (d) BOEM will not enter into a potentially affected State or local will be needed; negotiated noncompetitive agreement governments, if any; (g) A description of the person or with the applicant until information (h) The applicant’s background and government entities undertaking the requested for the evaluation has been experience working on similar projects provided and evaluated. project; or activities; (h) A list of any permits, licenses or (i) Whether the project operations can authorizations required for the project § 583.303 What is the process for be conducted in a manner that protects negotiating and executing an agreement? and their current status; the environment and promotes orderly (a) Upon completion of the technical, (i) A description of any potential development of OCS mineral resources; inconsistencies with state coastal zone environmental and other evaluations (j) Whether activities can be established in 30 CFR 583.301 and 30 management plans and/or any other conducted in a manner that does not applicable state and local statutes, CFR 583.302, BOEM will decide pose a threat of serious harm or damage whether to enter into a negotiated regulations or ordinances; to, or waste of, any natural resource, any (j) The name, title, telephone number, noncompetitive agreement with the life (including fish and other aquatic applicant for use of OCS sand, gravel or mailing address and email address of life), property, or the marine, coastal, or any points of contact for any Federal shell resources for its proposed project. human environment; and (b) If BOEM decides not to enter into agencies, State or local governments, (k) Whether the project is consistent such an agreement, BOEM will inform and contractor(s) with whom the with the requirements of applicable the applicant of its reasons for not doing applicant has contracted or intends to statutes and their implementing so. An applicant may ask the BOEM contract; regulations, which may include, but are Director for reconsideration in (k) A statement explaining who not limited to, the Endangered Species accordance with 30 CFR 583.105(a). authorized the project and how the Act (ESA) (16 U.S.C. 1531 et seq.), the (c) If BOEM has decided to enter into project is to be funded, indicating Marine Mammal Protection Act a negotiated noncompetitive agreement whether the project is Federally funded, (MMPA) (16 U.S.C. 1361 et seq.), the with the applicant, BOEM will negotiate in whole or in part, and whether the Marine Debris Research, Prevention, the terms and conditions of the project is authorized by the Federal and Reduction Act (MDRPRA) (33 agreement with the applicant and government; and U.S.C. 1951 et seq.), the Marine Plastic prepare a draft agreement for the (l) For any other Federal, State or Pollution Research and Control Act applicant’s review. local government agency identified in (MPPRCA) (33 U.S.C. 1901 et seq.), the (d) After considering comments and the application, the name, title, mailing Federal Water Pollution Control Act suggestions from the applicant, BOEM, address, telephone number, and email (FWPCA) (33 U.S.C. 1381 et seq.), and at its discretion, may finalize the address of both a primary and a the International Convention for the agreement and distribute it to the secondary point of contact for the Prevention of Pollution from Ships applicant for signature. agency. (MARPOL), MARPOL-Annex V Treaty. (e) Upon receipt of the agreement § 583.301 How will BOEM determine if a with the applicant’s signature, BOEM § 583.302 What process does BOEM use to will execute the agreement. A copy of project qualifies? technically and environmentally evaluate a BOEM will make a determination as qualified project? the executed agreement will be mailed to the parties. to whether the project, as described in (a) Once BOEM has determined a section 583.300, qualifies for use of OCS project qualifies for an agreement, § 583.304 What kinds of information must sand, gravel and shell resources under BOEM will begin the project evaluation be included in an agreement? the Act. Within 15 business days of process to decide whether to enter into Every agreement is negotiated on a receipt of the application, BOEM will a negotiated noncompetitive agreement. case-by-case basis, but at a minimum, determine if the application is complete (b) BOEM will coordinate with must include: or will request additional information. relevant Federal agencies, State, and (a) An agreement number, as assigned After it has determined the application local governments and any potentially by BOEM; is complete, BOEM will begin the affected federally recognized Indian (b) The purpose of and authorities for application review process and notify Tribes in the project evaluation. the agreement; the applicant in writing whether the (c) BOEM will evaluate the project (c) Designated and delineated borrow project qualifies for an agreement. In and additional information provided area(s);

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(d) A project description, including agreement may submit to BOEM a (2) It is necessary for reasons of the timeframe within which the project written request to extend, modify, or national security or defense; or is to be started and completed; change an agreement. BOEM is under no (3) The Director determines that: (e) The terms and conditions of the obligation to extend an agreement and (i) Continued activity under the agreement, including any reporting cannot be held liable for the agreement would cause serious harm or requirements; consequences of the expiration of an damage to natural resources; life (f) All obligations of the parties; and agreement. With the exception of (including human and wildlife); (g) The signatures of appropriate paragraph (b) of this section, any such property; the marine, coastal, or human individuals authorized to bind the requests must be made at least 180 days environment; or sites, structures, or applicant and BOEM. before the term of the agreement objects of historical or archaeological expires. BOEM will respond to the significance; § 583.305 What is the effective date of an (ii) The threat of harm or damage will agreement? request for modification within 30 days of receipt and request any necessary not disappear or decrease to an The agreement will become effective information and evaluations to comply acceptable extent within a reasonable on the date when all parties to the with 30 CFR 583.301. BOEM may period of time; and agreement have signed it. approve the request, disapprove it, or (iii) The advantages of termination outweigh the advantages of continuing § 583.306 How will BOEM enforce the approve it with modifications subject to agreement? the requirements of 30 CFR 583.301. the agreement. (1) If BOEM approves a request to (c) The Director will immediately (a) Failure to comply with any notify the parties to the agreement of the applicable law or any provision, term, extend, modify or change an agreement, BOEM will draft an agreement suspension or termination. The Director or condition of the agreement may result will also mail a letter to the parties to in the termination of the agreement and/ modification for review by the parties to the agreement in the form of an the agreement at their record post office or a referral to an appropriate Federal address with notice of any suspension and/or State agency/agencies for amendment to the original agreement. The amendment will include: or termination and the cause for such enforcement. Termination of the action. agreement for noncompliance will be in (i) The agreement number, as assigned (d) In the event that BOEM terminates the sole discretion of the Director. by BOEM; an agreement under this section, none of (b) The failure to comply in a timely (ii) The modification(s) agreed to; the parties to the agreement will be and satisfactory manner with any (iii) Any additional mitigation entitled to compensation as a result of provision, term or condition of the required; and expenses or lost revenues that may agreement may delay or prevent (iv) The signatures of the parties to result from the termination. BOEM’s approval of future requests for the agreement and BOEM. [FR Doc. 2016–06163 Filed 3–21–16; 8:45 am] use of OCS sand, gravel and shell (2) If BOEM disapproves a request to resources on the part of the parties to extend, modify, or change an agreement, BILLING CODE 4310–MR–P the agreement. BOEM will inform the parties to the agreement of the reasons in writing. § 583.307 What is the term of the Parties to the agreement may ask the ENVIRONMENTAL PROTECTION agreement? BOEM Director for reconsideration in AGENCY (a) An agreement will terminate upon accordance with 30 CFR 583.105. 40 CFR Part 52 the following, whichever occurs first: (b) By written request, for strictly (1) The agreement expires by its own minor modifications that do not change [EPA–R09–OAR–2015–0793; FRL–9944–08– terms, unless the term is extended prior the substance of the project or the Region 9] to expiration under § 583.309; analyzed environmental effects of the Partial Approval and Partial (2) The project is terminated, as set project, including but not limited to, the Disapproval of Air Quality State forth in § 583.310; or change of a business address, the Implementation Plans; Arizona; (3) A party to the agreement notifies substitution of a different Federal, State Infrastructure Requirements To BOEM, in writing, that sufficient OCS or local government agency contact, or Address Interstate Transport for the sand, gravel and shell resources, up to an extension of less than 30 days, 2008 Ozone NAAQS the amount authorized in the agreement, parties to the agreement may have been obtained to complete the memorialize the minor modification in AGENCY: Environmental Protection project. a letter from BOEM to the parties Agency (EPA). (b) Absent extraordinary indicating the request has been granted. circumstances, no agreement will be for ACTION: Proposed rule. a term longer than 5 years from its § 583.310 When can the agreement be SUMMARY: The Environmental Protection effective date. terminated? Agency (EPA) is proposing to partially § 583.308 What debarment or suspension (a) The Director will terminate any approve and partially disapprove a State obligations apply to transactions and agreement issued under this part upon Implementation Plan (SIP) revision contracts related to a project? proof that it was obtained by fraud or submitted by the Arizona Department of The parties to an agreement must misrepresentation, after notice and an Environmental Quality on December 27, ensure that all contracts and opportunity to be heard has been 2012, and supplemented on December transactions related to an agreement afforded to the parties of the agreement. 3, 2015, to address the interstate issued under this part comply with 2 (b) The Director may immediately transport requirements of Clean Air Act CFR part 180 and 2 CFR part 1400. suspend and subsequently terminate (CAA or Act) section 110(a)(2)(D) with any agreement issued under this part respect to the 2008 ozone (O3) national § 583.309 What is the process for when: ambient air quality standard (NAAQS). modifying the agreement? (1) There is noncompliance with the We are proposing to approve the portion (a) Unless otherwise provided for in agreement, pursuant to 30 CFR of the Arizona SIP pertaining to the agreement, the parties to the 583.306(a); or significant contribution to

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nonattainment or interference with I. Background memo).3 While this memo did not maintenance in another state and CAA sections 110(a)(1) and (2) require provide specific guidance to western proposing to disapprove the portion of states to address basic SIP requirements states on interstate transport, it did Arizona’s SIP pertaining to interstate to implement, maintain and enforce the contain preliminary modeling transport visibility requirements. EPA’s NAAQS no later than three years after information for western states. This rationale for proposing to partially the promulgation of a new or revised 2015 transport memo, following the approve and partially disapprove standard. Section 110(a)(2) outlines the approach used in EPA’s prior Cross- 4 Arizona’s December 27, 2012 SIP specific requirements that each state is State Air Pollution Rule (CSAPR), revision and December 3, 2015 required to address in this SIP provided data identifying ozone supplement is described in this notice. submission that collectively constitute monitoring sites that were projected to EPA previously took two separate the ‘‘infrastructure’’ of a state’s air be in nonattainment or have actions on Arizona’s December 27, 2012 quality management program. SIP maintenance problems for the 2008 submittal, on July 14, 2015 and August submittals that address these ozone NAAQS in 2018. Also, EPA 10, 2015. We are taking comments on requirements are referred to as provided the projected contribution this proposal and plan to follow with a ‘‘infrastructure SIPs’’ (I–SIP). In estimates from 2018 anthropogenic oxides of nitrogen (NO ) and volatile final action no later than June 7, 2016. particular, CAA section 110(a)(2)(D)(i)(I) X organic compound (VOC) emissions in requires that each SIP for a new or DATES: Written comments must be each state to ozone concentrations at revised NAAQS contain adequate received on or before April 21, 2016. each of the projected sites. provisions to prohibit any source or ADDRESSES: On August 4, 2015, EPA published a Submit your comments, other type of emissions activity within identified by Docket ID No. EPA–R09– Federal Register Notice entitled, the state from emitting air pollutants ‘‘Notice of Availability of the OAR–2015–0793 at http:// that will ‘‘contribute significantly to www.regulations.gov, or via email to Environmental Protection Agency’s nonattainment’’ (prong 1) or ‘‘interfere Updated Ozone Transport Modeling [email protected]. For comments with maintenance’’ (prong 2) of the submitted at Regulations.gov, follow the Data for the 2008 Ozone NAAQS.’’ 5 applicable air quality standard in any This Notice of Data Availability (NODA) online instructions for submitting other state. CAA section comments. Once submitted, comments is an update of the preliminary air 110(a)(2)(D)(i)(II) requires SIP quality modeling data that was released cannot be edited or removed from provisions that prevent interference Regulations.gov. For either manner of January 22, 2015. This NODA provided with measures required to be included data identifying ozone monitoring sites submission, the EPA may publish any in the applicable implementation plan comment received to its public docket. that are projected to be nonattainment for any other State under part C to or have maintenance problems Do not submit electronically any prevent significant deterioration of air information you consider to be (following the CSAPR approach) for the quality (prong 3) or to protect visibility 6 Confidential Business Information (CBI) 2008 ozone NAAQS in 2017. Also, EPA (prong 4). This action addresses the provided the projected ozone or other information whose disclosure is section 110(a)(2)(D)(i) requirements of restricted by statute. Multimedia contribution estimates from 2017 prongs 1, 2 and 4 with respect to anthropogenic NOX and VOC emissions submissions (audio, video, etc.) must be Arizona’s I–SIP submissions. accompanied by a written comment. in each state to ozone concentrations at On March 27, 2008, EPA issued a each of the projected monitoring sites. The written comment is considered the 1 revised NAAQS for ozone. This action The 2017 modeling released in the official comment and should include triggered a requirement for states to discussion of all points you wish to NODA was used to support EPA’s submit an I–SIP to address the proposed update to CSAPR to address make. The EPA will generally not applicable requirements of section consider comments or comment CAA section 110(a)(2)(D)(i)(I) 110(a)(2) within three years of issuance requirements with respect to the 2008 contents located outside of the primary of the revised NAAQS. submission (i.e. on the web, cloud, or ozone NAAQS in the eastern U.S. On September 13, 2013, EPA issued (‘‘CSAPR Update Rule’’).7 CSAPR and other file sharing system). For ‘‘Guidance on Infrastructure State its predecessor transport rules, the NOX additional submission methods, please Implementation Plan (SIP) Elements contact the person identified in the FOR SIP Call and CAIR, were designed to under Clean Air Act Sections 110(a)(1) address the collective contributions FURTHER INFORMATION CONTACT section. and 110(a)(2),’’ which provides ‘‘advice from the 37 states in the eastern U.S. For the full EPA public comment policy, on the development of infrastructure information about CBI or multimedia and ozone contribution information was SIPs for the 2008 ozone NAAQS . . . as not calculated to or from the 11 states submissions, and general guidance on well as infrastructure SIPs for new or making effective comments, please visit in the western U.S. The proposed revised NAAQS promulgated in the CSAPR Update Rule and the supportive http://www2.epa.gov/dockets/ future.’’ 2 EPA followed that guidance commenting-epa-dockets. with an additional memo specific to 3 Memorandum from Stephen D. Page, Director, FOR FURTHER INFORMATION CONTACT: 110(a)(2)(D)(i)(I) (prongs 1 and 2) Office of Air Quality Planning and Standards, to Regional Air Division Directors, Regions 1–10 requirements for the 2008 O3 standard Maeve Clancy, EPA Region IX, (415) (January 22, 2015). 947–4105, [email protected]. on January 22, 2015 entitled, 4 Cross-State Air Pollution Rule, 76 FR 48208 ‘‘Information on the Interstate Transport SUPPLEMENTARY INFORMATION: (Aug. 8, 2011). ‘‘Good Neighbor’’ Provision for the 2008 5 Notice of Availability of the Environmental Throughout this document, the terms Ozone NAAQS Under CAA Section Protection Agency’s Updated Ozone Transport ‘‘we,’’ ‘‘us,’’ and ‘‘our’’ refer to EPA. Modeling Data for the 2008 Ozone National 110(a)(2)(D)(i)(I)’’ (2015 transport Ambient Air Quality Standard (NAAQS), 80 FR Table of Contents 46271 (August 4, 2015). 1 National Ambient Air Quality Standards for 6 The EPA adopted 2017 as the analytic year for I. Background Ozone; Final Rule, 73 FR 16436 (March 27, 2008). the updated ozone modeling information. See 80 FR II. State Submittals 2 Memorandum from Stephen D. Page, Director, 46273. III. EPA’s Assessment Office of Air Quality Planning and Standards, to 7 Cross-State Air Pollution Rule Update for the IV. Proposed Action Regional Air Division Directors, Regions 1–10 2008 Ozone NAAQS, 80 FR 75706 (December 3, V. Statutory and Executive Order Reviews (September 13, 2013). 2015).

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modeling released in the NODA include the purposes of this action, we will refer will contribute significantly to data relevant to the West but did not to the supplemental submittal as the nonattainment or interfere with evaluate potential interstate transport ‘‘2015 submittal.’’ The 2015 submittal maintenance of a NAAQS in other impacts in 11 western states, including represents ADEQ’s comprehensive states. If a state is determined not to Arizona. In this action, we are utilizing analysis of ozone transport from make such contribution or interfere with these data to evaluate the state’s Arizona to surrounding states and maintenance of the NAAQS, then EPA submittals and any interstate transport addresses potential interstate transport can conclude that the state’s SIP obligations under section linkages between Arizona and the El complies with the requirements of 110(a)(2)(D)(i)(I). Centro, CA and Los Angeles, CA section 110(a)(2)(D)(i)(I). In several prior EPA is obligated, pursuant to a nonattainment receptors that were federal rulemakings interpreting section judgement issued by the Northern identified in the 2015 ozone transport 110(a)(2)(D)(i)(I), EPA has evaluated District of California in Sierra Club vs. memo and the 2015 NODA. The 2015 whether a state will significantly McCarthy, to take final action on submittal also addresses the contribute to nonattainment or interfere 110(a)(2)(D) prongs 1, 2, and 4 of requirements of prong 4 (interstate with maintenance of a NAAQS by first Arizona’s December 2012 SIP revision transport visibility requirements). identifying downwind receptors that are by June 7, 2016.8 In our July 2015 partial In the 2015 submittal, ADEQ expected to have problems attaining or 12 approval and partial disapproval of summarizes the state’s impact on maintaining the NAAQS. EPA has Arizona’s I–SIP submittals for the 2008 downwind states. While Arizona’s then determined which upwind states Pb and 2008 ozone NAAQS, for the I– impact on the El Centro and Los contribute to these identified air quality SIP elements C, D, J, and K, EPA Angeles monitors is in each case above problems in amounts sufficient to partially approved and partially 1%, Arizona impacts only one of the warrant further evaluation to determine disapproved the submittals for purposes seven projected nonattainment or if the state can make emission of 110(a)(2)(D)(i)(II) prong 3 and maintenance receptors in the Los reductions to reduce its contribution. partially approved and partially Angeles area, and contributes less than CSAPR and the proposed CSAPR 1% to all other maintenance and disapproved the submittals for purposes Update used a screening threshold (1% nonattainment receptors. ADEQ further of 110(a)(2)(D)(ii) (relating to CAA of the NAAQS) to identify such states that, ‘‘In eastern states, the EPA sections 115 and 126). We also stated contributing upwind states warranting has chosen a 1% of the standard our intention to propose action on the further review and analysis. EPA’s threshold as a significant contribution. I–SIP for the 2008 ozone NAAQS NODA used air quality modeling to However, Arizona considers the 110(a)(2)(D)(i) prongs 1, 2, and 4 in a evaluate contributions from upwind southwest to be different.’’ The state states to downward receptors. Applying separate action.9 We subsequently took goes on to say that, ‘‘It is unclear at this the methodology used in CSAPR, the action on I–SIP elements A, B, E–H, L, point what threshold is significant for NODA modeling information indicates and M for the 2008 Pb and 2008 ozone southwestern states.’’ EPA’s assessment that emissions from Arizona contribute NAAQS in August 2015.10 of these statements is described in the amounts exceeding the CSAPR 1% II. State Submittals next section. The submittal also threshold at two projected downwind summarizes sources of VOCs and NOX nonattainment sites in El Centro, On December 27, 2012, the Arizona statewide, outlining the controls on California, and Los Angeles, Department of Environmental Quality anthropogenic emission sources with a California.13 (ADEQ) submitted its 2008 ozone focus on efforts to reduce NOX through EPA notes that it disagrees with NAAQS I–SIP (2012 submittal). This controls implemented via Arizona’s ADEQ’s contention that it is unclear submittal briefly summarized the CAA Regional Haze SIP and EPA’s Regional what screening threshold is significant requirements of sections 110(a)(2)(D)(i), Haze Federal Implementation Plan (FIP) for southwestern states when addressing 110(a)(2)(D)(ii), and EPA’s I–SIP action and current and future Maricopa County interstate transport contributions. EPA for the previous 1997 ozone NAAQS, stationary source controls in the believes contribution from an individual but as to prongs 1, 2, and 4 did not Arizona SIP. For more information on state equal to or above 1% of the identify or address any potential Arizona’s source categories and NAAQS could be considered significant interstate transport impacts between emissions controls, please see the where the collective contribution of Arizona and other states or interstate technical support document (TSD) emissions from one or more upwind transport visibility requirements for the associated with today’s proposed states is responsible for a considerable 2008 ozone NAAQS. On December 3, rulemaking. portion of the downwind air quality 2015, ADEQ submitted a supplement to problem regardless of where the III. EPA’s Assessment the 2012 submittal addressing receptor is geographically located.14 110(a)(2)(D)(i) prongs 1, 2, and 4.11 For 110(a)(2)(D)(i)(I) Prong 1 and Prong 2 Accordingly, although EPA’s modeling indicates that emissions from 8 See Judgment, Sierra Club v. McCarthy, Case EPA proposes to approve Arizona’s SIP submissions pertaining to CAA 4:14–cv–05091–YGR (N.D. Cal. May 15, 2015). 12 NOX SIP Call, Final Rule, 63 FR 57371 (October 9 Partial Approval and Partial Disapproval of Air section 110(a)(2)(D)(i)(I), prongs 1 and 2, 27, 1998); Clean Air Interstate Rule (CAIR), Final Quality State Implementation Plans; Arizona; with respect to the 2008 ozone NAAQS. Rule, 70 FR 25172 (May 12, 2005); Cross-State Air Infrastructure Requirements for Lead and Ozone. 80 As explained below, EPA’s proposal is Pollution Rule (CSAPR), Final Rule, 76 FR 48208 FR 40905 (July 14, 2015). based on the state’s submission and (August 8, 2011); CSAPR Update Rule, Proposed 10 Approval and Promulgation of State Rule, 80 FR 75706 (Dec. 3, 2015). Implementation Plans; Arizona; Infrastructure EPA’s analysis of several factors and 13 Data file with 2017 Ozone Contributions. Requirements for the 2008 Lead (Pb) and the 2008 available data. Included in docket for: Notice of Availability of the 8-Hour Ozone National Ambient Air Quality To determine whether the CAA Environmental Protection Agency’s Updated Ozone Standards (NAAQS). 80 FR 47859 (August 10, section 110(a)(2)(D)(i)(I), prongs 1 and 2 Transport Modeling Data for the 2008 Ozone 2015). requirement is satisfied, EPA first must National Ambient Air Quality Standard (NAAQS), 11 ‘‘Arizona State Implementation Plan Revisions 80 FR 46271 (August 4, 2015). for 2008 Ozone and 2010 Nitrogen Dioxide Under determine whether a state’s emissions 14 EPA has previously noted there may be Clean Air Act Section 110(a)(2)(D) . . .’’ Signed additional criteria to evaluate regarding collective December 3, 2015. And see email from Heidi SIP Submittal Clarification.’’ Sent December 9, contribution of transported air pollution at certain Haggerty of ADEQ. ‘‘AZ 2015 Ozone Transport I– 2015. locations in the West. See footnotes 4 and 7.

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Arizona contribute above the 1% problems in the East, with between 4 other Federal, State, and local rules,17 threshold to two projected downwind and 12 states each contributing above EPA believes that the Arizona SIP air quality problems, EPA examined 1% to the downwind air quality contains adequate provisions to ensure several factors to determine whether problem.15 16 Thus, irrespective of the that air emissions in Arizona do not Arizona should be considered to 1% air quality threshold in the East, significantly contribute to significantly contribute to EPA has found that the collective nonattainment or interfere with nonattainment or interfere with contributions from upwind states maintenance of the 2008 ozone NAAQS maintenance of the NAAQS at those represent a large portion of the ozone in California or any other state in the sites, including the air quality and concentrations at projected air quality future. contribution modeling, receptor data, problems. Further, in the East, EPA and the statewide measures reducing found that the 1% threshold is The modeling data show that Arizona contributes either less than 1% of the emissions of VOCs and NOX. EPA notes appropriate to capture a high percentage that no single piece of information is by of the total pollution transport affecting NAAQS to projected air quality itself dispositive of the issue for downwind receptors. By comparison, problems in other states, or where it purposes of this analysis. Instead, EPA according to EPA’s modeling, the total contributes above 1% of the NAAQS to has considered the total weight of all the upwind (linked or unlinked) states’ a projected downwind air quality evidence taken together to evaluate contribution to ozone concentration at problem in California, EPA proposes to whether Arizona significantly the projected nonattainment sites in El find, based on the overall weight of contributes to nonattainment or Centro, California and Los Angeles, evidence, that these particular receptors interferes with maintenance of the 2008 California, is comparatively small, with are not significantly impacted by ozone NAAQS in those areas. only one state contributing above 1% to transported ozone from upwind states. One such factor that EPA considers the downwind air quality problem. Emissions reductions from Arizona are relevant to determining the nature of a Arizona is the only state that not necessary to address interstate projected receptor’s interstate transport contributes greater than the 1% transport because the total collective problem is the magnitude of ozone threshold to the projected 2017 levels of upwind state ozone contribution to attributable to transport from all upwind the 2008 ozone NAAQS at the El Centro these receptors is relatively low states collectively contributing to the air receptor. The total contribution from all compared to the air quality problems quality problem. In CSAPR and the states to the El Centro receptor is 4.4% typically addressed by the good CSAPR Update Rule, EPA used the 1% neighbor provision. Additionally, air quality threshold to identify linkages of the total ozone concentration at this Arizona has demonstrated that both between upwind states and downwind receptor. Arizona is also the only state VOC and NO emissions are going maintenance receptors. States whose that contributes greater than 1% to the X contributions to a specific receptor meet projected 2017 levels of the 2008 ozone down and will continue to go down. or exceed the threshold were considered NAAQS at the Los Angeles receptor, EPA therefore believes that Arizona’s to be linked to that receptor. The linked and the total contribution from all states contributions to downwind receptors in states’ emissions (and available is 2.5% of the ozone concentration at California are considered insignificant. emission reductions) were then this receptor. EPA believes that a 4.4% EPA proposes to find that Arizona does analyzed further as a second step to and 2.5% cumulative ozone not significantly contribute to EPA’s contribution analysis. States contribution from all upwind states is nonattainment or interfere with whose contributions to all receptors negligible, particularly when compared maintenance of the 2008 ozone NAAQS were below the 1% threshold did not to the relatively large contributions from in other states. require further evaluation to address upwind states in the East or in certain 110(a)(2)(D)(i)(II) Prong 4 interstate transport and we therefore other areas of the West. For these reasons, EPA believes the emissions that found those states were determined to EPA believes that ozone precursor result in transported ozone from make insignificant contributions to emissions of NOX may contribute to downwind air quality. Therefore, the upwind states have limited impacts on the projected air quality problems in El visibility impairment in Class I areas. states below the threshold do not EPA’s 2013 I–SIP guidance clarifies that significantly contribute to Centro, California and Los Angeles, California, and therefore should not be a state can rely upon a fully EPA- nonattainment or interfere with approved Regional Haze SIP to satisfy maintenance of the NAAQS in other treated as receptors for purposes of the requirements of this sub-element. states. EPA used the 1% threshold in determining the interstate transport Arizona’s Regional Haze SIP shows that the East because prior analysis showed obligations of upwind states under that, in general, nonattainment section 110(a)(2)(D)(i)(I). sources in Arizona impact visibility in problems result from a combined impact Additionally, EPA has evaluated the Colorado (Great Sand Dunes National Monument, Mesa Verde National Park, of relatively small individual Arizona VOC and NOX emissions contributions from upwind states, along inventory and emissions projections and Black Canyon of the Gunnison National with contributions from in-state sources. agrees that emissions will be decreasing Park, La Garita Wilderness, and EPA has observed that a relatively large over time. Given that emissions within Weminuche Wilderness), New Mexico portion of the air quality problem at the state are expected to decrease over (Bandelier National Monument, San most ozone nonattainment and time due to regional haze measures, Pedro Parks Wilderness, Pecos maintenance receptors in the East is the Federal engine and fuel standards, and Wilderness, Bosque del Apache result of the collective contribution from National Wildlife Reserve, and Gila a number of upwind states. 15 The stated range is based on the highest Wilderness), and Utah (Zion National Specifically, EPA found the total nonattainment or maintenance receptor in each Park, Bryce Canyon National Park, upwind states’ contribution to ozone area. All nonattainment and maintenance receptors Capitol Reef National Park, concentration (from linked and had upwind contributions of well over 17%, except for some receptors in Dallas and Houston. Canyonlands National Park, and Arches unlinked states) based on modeling for 16 Memo to Docket from EPA, Air Quality Policy 2017 ranges from 17% to 67% to Division. ‘‘Contribution Analysis of Receptors in 17 See TSD for details on other emissions control identified downwind air quality the Updated CSAPR Proposal.’’ March 10, 2016. measures.

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National Park).18 Arizona’s Regional maintenance of the 2008 ozone NAAQS E. Executive Order 13132: Federalism Haze SIP is not fully approved by EPA. in California or any other state. Instead, Arizona’s 2012 and 2015 EPA is proposing to disapprove This action does not have federalism submittals rely, in part, on regulations Arizona’s SIP with respect to the implications. It will not have substantial imposed by FIPs to address visibility interstate transport requirements of direct effects on the states, on the impairment in Class 1 Areas caused by CAA section 110(a)(2)(D)(i)(II) prong 4 relationship between the national NOX, SO2, and PM. These regulations for the 2008 ozone NAAQS. Because government and the states, or on the include emission limits on the following Arizona’s 2012 and 2015 submittals distribution of power and facilities: Arizona Public Service Cholla rely, in part, on FIPs to address responsibilities among the various Power Plant,19 Salt River Project interstate transport visibility levels of government. Coronado Generating Station,20 Freeport requirements, they do not meet the McMoran Miami Smelter,21 ASARCO requirements of this portion of CAA F. Executive Order 13175: Coordination Hayden Smelter,22 Sundt Generating § 110(a)(2)(D) for the 2008 ozone With Indian Tribal Governments 23 NAAQS. However, because FIPs are Station Unit 4, and Nelson Lime Plant This action does not have tribal Kilns 1 and 2.24 Emissions limits have already in place, no additional FIP implications, as specified in Executive been incorporated into the state SIP, obligation would be triggered by a final Order 13175, because the SIP is not replacing a previous FIP, at AEPCO disapproval of this portion of Arizona’s approved to apply on any Indian Apache Station Units 1, 2, and 3.25 infrastructure SIP. EPA will continue to Because Arizona’s 2012 and 2015 work with Arizona to incorporate reservation land or in any other area submittals rely in part on FIPs to emission limits to address the where the EPA or an Indian tribe has address interstate transport visibility requirements of the Regional Haze Rule demonstrated that a tribe has requirements, they do not meet the into the Arizona SIP. jurisdiction, and will not impose substantial direct costs on tribal requirements of prong 4 for the 2008 V. Statutory and Executive Order governments or preempt tribal law. ozone NAAQS. However, because FIPs Reviews are already in place, no additional FIP Thus, Executive Order 13175 does not obligation would be triggered by a final Additional information about these apply to this action. statutes and Executive Orders can be disapproval of this portion of Arizona’s G. Executive Order 13045: Protection of infrastructure SIP. EPA will continue to found at http://www2.epa.gov/laws- Children From Environmental Health work with Arizona to incorporate regulations/laws-and-executive-orders. Risks and Safety Risks emission limits to address the A. Executive Order 12866: Regulatory requirements of the Regional Haze Rule Planning and Review and Executive The EPA interprets Executive Order into the Arizona SIP. For further Order 13563: Improving Regulation and 13045 as applying only to those discussion of our analysis of prong 4, Regulatory Review regulatory actions that concern please see the TSD associated with this This action is not a significant environmental health or safety risks that proposal and in the docket for today’s regulatory action and was therefore not the EPA has reason to believe may rulemaking. submitted to the Office of Management disproportionately affect children, per IV. Proposed Action and Budget (OMB) for review. the definition of ‘‘covered regulatory EPA is proposing to approve B. Paperwork Reduction Act (PRA) action’’ in section 2–202 of the Executive Order. This action is not Arizona’s SIP as meeting the interstate This action does not impose an transport requirements of CAA section subject to Executive Order 13045 information collection burden under the because it does not impose additional 110(a)(2)(D)(i)(I) prongs 1 and 2 for the PRA because this action does not requirements beyond those imposed by 2008 ozone NAAQS. EPA is proposing impose additional requirements beyond state law. this approval based on the overall those imposed by state law. weight of evidence from information H. Executive Order 13211: Actions That and analysis provided by Arizona, as C. Regulatory Flexibility Act (RFA) Significantly Affect Energy Supply, well as the recent air quality modeling I certify that this action will not have Distribution, or Use released in EPA’s August 4, 2015 a significant economic impact on a NODA, and other data analysis that substantial number of small entities This action is not subject to Executive confirms that emissions from Arizona under the RFA. This action will not Order 13211, because it is not a will not contribute significantly to impose any requirements on small significant regulatory action under nonattainment or interfere with entities beyond those imposed by state Executive Order 12866. law. 18 Arizona State Implementation Plan, Regional I. National Technology Transfer and Haze Under Section 308 of the Federal Regional D. Unfunded Mandates Reform Act Advancement Act (NTTAA) Haze Rule (January 2011), section 12.4.1. (UMRA) 19 FIP promulgated at 77 FR 72514 (December 5, Section 12(d) of the NTTAA directs 2012). This action does not contain any the EPA to use voluntary consensus 20 Id. unfunded mandate as described in 21 FIP promulgated at 79 FR 5240 (September 3, UMRA, 2 U.S.C. 1531–1538, and does standards in its regulatory activities 2014). not significantly or uniquely affect small unless to do so would be inconsistent 22 Id. governments. This action does not with applicable law or otherwise 23 Id. impose additional requirements beyond impractical. The EPA believes that this 24 Id. those imposed by state law. action is not subject to the requirements 25 SIP approval promulgated for Unit 1 and FIP Accordingly, no additional costs to of section 12(d) of the NTTAA because promulgated for Units 2 and 3 at 77 FR 72511 (December 5, 2012). SIP revision for emissions State, local, or tribal governments, or to application of those requirements would limits for Unit 1 and SIP approval for Units 2 and the private sector, will result from this be inconsistent with the CAA. 3 promulgated at 80 FR 19220 (April 10, 2015). action.

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J. Executive Order 12898: Federal infrastructure requirements for these SIP revised NAAQS. More specifically, Actions To Address Environmental submissions have been or will be section 110(a)(1) provides the Justice in Minority Populations and addressed in separate rulemakings. procedural and timing requirements for Low-Income Population DATES: Comments must be received on infrastructure SIPs. Section 110(a)(2) The EPA lacks the discretionary or before April 21, 2016. lists specific elements that states must authority to address environmental ADDRESSES: Submit your comments, meet for the infrastructure SIP justice in this rulemaking. identified by Docket ID No. EPA–R04– requirements related to a newly OAR–2015–0798 at http:// established or revised NAAQS. The List of Subjects in 40 CFR Part 52 www.regulations.gov. Follow the online contents of an infrastructure SIP Air pollution control, Approval and instructions for submitting comments. submission may vary depending upon promulgation of implementation plans, Once submitted, comments cannot be the data and analytical tools available to Environmental protection, Incorporation edited or removed from Regulations.gov. the state, as well as the provisions by reference, Oxides of nitrogen, Ozone, EPA may publish any comment received already contained in the state’s and Volatile organic compounds. to its public docket. Do not submit implementation plan at the time in which the state develops and submits Dated: March 15, 2016. electronically any information you consider to be Confidential Business the submission for a new or revised Jared Blumenfeld, Information (CBI) or other information NAAQS. Regional Administrator, Region IX. whose disclosure is restricted by statute. Section 110(a)(2)(D) has two [FR Doc. 2016–06438 Filed 3–21–16; 8:45 am] Multimedia submissions (audio, video, components: 110(a)(2)(D)(i) and BILLING CODE 6560–50–P etc.) must be accompanied by a written 110(a)(2)(D)(ii). Section 110(a)(2)(D)(i) comment. The written comment is includes four distinct components, considered the official comment and commonly referred to as ‘‘prongs,’’ that must be addressed in infrastructure SIP ENVIRONMENTAL PROTECTION should include discussion of all points submissions. The first two prongs, AGENCY you wish to make. EPA will generally which are codified in section not consider comments or comment 40 CFR Parts 52 110(a)(2)(D)(i)(I), are provisions that contents located outside of the primary prohibit any source or other type of [EPA–R04–OAR–2015–0798; FRL–9943–88– submission (i.e., on the web, cloud, or emissions activity in one state from Region 4] other file sharing system). For contributing significantly to additional submission methods, the full Air Plan Disapprovals; MS; Prong 4– nonattainment of the NAAQS in another EPA public comment policy, 2008 Ozone, 2010 NO SO , and 2012 state (prong 1) and from interfering with 2, 2 information about CBI or multimedia PM2.5 maintenance of the NAAQS in another submissions, and general guidance on state (prong 2). The third and fourth AGENCY: Environmental Protection making effective comments, please visit prongs, which are codified in section Agency (EPA). http://www2.epa.gov/dockets/ 110(a)(2)(D)(i)(II), are provisions that ACTION: Proposed rule. commenting-epa-dockets. prohibit emissions activity in one state FOR FURTHER INFORMATION CONTACT: from interfering with measures required SUMMARY: The Environmental Protection Sean Lakeman of the Air Regulatory to prevent significant deterioration of air Agency (EPA) is proposing to Management Section, Air Planning and quality in another state (prong 3) or disapprove the visibility transport Implementation Branch, Air, Pesticides from interfering with measures to (prong 4) portions of revisions to the and Toxics Management Division, U.S. protect visibility in another state (prong Mississippi State Implementation Plan Environmental Protection Agency, 4). Section 110(a)(2)(D)(ii) requires SIPs (SIP), submitted by the Mississippi Region 4, 61 Forsyth Street SW., to include provisions insuring Department of Environmental Quality Atlanta, Georgia 30303–8960. Mr. compliance with sections 115 and 126 (MDEQ), addressing the Clean Air Act Lakeman can be reached by telephone at of the Act, relating to interstate and (CAA or Act) infrastructure SIP (404) 562–9043 or via electronic mail at international pollution abatement. requirements for the 2008 8-hour Ozone, [email protected]. Through this action, EPA is proposing 2010 1-hour Nitrogen Dioxide (NO2), SUPPLEMENTARY INFORMATION: to disapprove the prong 4 portions of 2010 1-hour Sulfur Dioxide (SO2), and Mississippi’s infrastructure SIP I. Background 2012 annual Fine Particulate Matter submissions for the 2008 8-hour Ozone, (PM2.5) National Ambient Air Quality By statute, SIPs meeting the 2010 1-hour NO2, 2010 1-hour SO2, and Standards (NAAQS). The CAA requires requirements of sections 110(a)(1) and 2012 annual PM2.5 NAAQS. All other that each state adopt and submit a SIP (2) of the CAA are to be submitted by applicable infrastructure SIP for the implementation, maintenance, states within three years after requirements for these SIP submissions and enforcement of each NAAQS promulgation of a new or revised have been or will be addressed in promulgated by EPA, commonly NAAQS to provide for the separate rulemakings. A brief referred to as an ‘‘infrastructure SIP.’’ implementation, maintenance, and background regarding the NAAQS Specifically, EPA is proposing to enforcement of the new or revised relevant to today’s proposal is provided disapprove the prong 4 portions of NAAQS. EPA has historically referred to below. For comprehensive information Mississippi’s May 29, 2012, 2008 8-hour these SIP submissions made for the on these NAAQS, please refer to the Ozone infrastructure SIP submission; purpose of satisfying the requirements Federal Register notices cited in the July 26, 2012, 2008 8-hour Ozone of sections 110(a)(1) and 110(a)(2) as following subsections. infrastructure SIP resubmission; ‘‘infrastructure SIP’’ submissions. a. 2008 8-Hour Ozone NAAQS February 28, 2013, 2010 1-hour NO2 Sections 110(a)(1) and (2) require states infrastructure SIP submission; June 20, to address basic SIP elements such as On March 12, 2008, EPA revised the 2013, 2010 1-hour SO2 infrastructure for monitoring, basic program 8-hour Ozone NAAQS to 0.075 parts per SIP submission; and December 8, 2015, requirements, and legal authority that million. See 73 FR 16436 (March 27, 2012 annual PM2.5 infrastructure SIP are designed to assure attainment and 2008). States were required to submit submission. All other applicable maintenance of the newly established or infrastructure SIP submissions for the

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2008 8-hour Ozone NAAQS to EPA no addresses the prong 4 element of substantive program provisions.1 EPA later than March 12, 2011. For the 2008 Mississippi’s infrastructure SIP therefore believes that while the timing 8-hour Ozone NAAQS, today’s proposed submission received on December 8, requirement in section 110(a)(1) is action only addresses the prong 4 2015. EPA will take action on the unambiguous, some of the other element of Mississippi’s infrastructure remainder of Mississippi’s December 8, statutory provisions are ambiguous. In SIP submissions received on May 29, 2015 SIP submission through a separate particular, EPA believes that the list of 2012, and July 26, 2012. EPA took rulemaking. required elements for infrastructure SIP action on the remainder of Mississippi’s submissions provided in section May 29, 2012, SIP submission, and July II. What is EPA’s approach to the 110(a)(2) contains ambiguities 26, 2012, SIP resubmission in separate review of infrastructure SIP concerning what is required for rulemakings. See 80 FR 11131 (March 2, submissions? inclusion in an infrastructure SIP 2015); 80 FR 14019 (March 18, 2015); 80 submission. The requirement for states to make a FR 48355 (August 12, 2015). The following examples of SIP submission of this type arises out of ambiguities illustrate the need for EPA b. 2010 1-Hour NO2 NAAQS section 110(a)(1). Pursuant to section to interpret some section 110(a)(1) and On January 22, 2010, EPA established 110(a)(1), states must make SIP section 110(a)(2) requirements with submissions ‘‘within 3 years (or such a new 1-hour primary NAAQS for NO2 respect to infrastructure SIP at a level of 100 parts per billion, based shorter period as the Administrator may submissions for a given new or revised on a 3-year average of the 98th prescribe) after the promulgation of a NAAQS. One example of ambiguity is percentile of the yearly distribution of 1- national primary ambient air quality that section 110(a)(2) requires that hour daily maximum concentrations. standard (or any revision thereof),’’ and ‘‘each’’ SIP submission must meet the See 75 FR 6474 (February 9, 2010). these SIP submissions are to provide for list of requirements therein, while EPA States were required to submit the ‘‘implementation, maintenance, and has long noted that this literal reading infrastructure SIP submissions for the enforcement’’ of such NAAQS. The of the statute is internally inconsistent 2010 1-hour NO2 NAAQS to EPA no statute directly imposes on states the and would create a conflict with the later than January 22, 2013. For the 2010 duty to make these SIP submissions, nonattainment provisions in part D of 1-hour NO2 NAAQS, today’s proposed and the requirement to make the Title I of the CAA, which specifically action only addresses the prong 4 submissions is not conditioned upon address nonattainment SIP element of Mississippi’s infrastructure EPA’s taking any action other than requirements.2 Section 110(a)(2)(I) SIP submission received on February promulgating a new or revised NAAQS. pertains to nonattainment SIP 28, 2013. EPA will take action on the Section 110(a)(2) includes a list of requirements and part D addresses remainder of Mississippi’s February 28, specific elements that ‘‘each such plan’’ when attainment plan SIP submissions 2013, SIP submission through a separate submission must address. to address nonattainment area rulemaking. EPA has historically referred to these requirements are due. For example, section 172(b) requires EPA to establish c. 2010 1-Hour SO NAAQS SIP submissions made for the purpose 2 of satisfying the requirements of section a schedule for submission of such plans On June 2, 2010, EPA revised the 110(a)(1) and (2) as ‘‘infrastructure SIP’’ for certain pollutants when the primary SO2 NAAQS to an hourly submissions. Although the term Administrator promulgates the standard of 75 parts per billion based on ‘‘infrastructure SIP’’ does not appear in designation of an area as nonattainment, a 3-year average of the annual 99th the CAA, EPA uses the term to and section 107(d)(1)(B) allows up to percentile of 1-hour daily maximum distinguish this particular type of SIP two years or in some cases three years, concentrations. See 75 FR 35520 (June submission from submissions that are for such designations to be 22, 2010). States were required to intended to satisfy other SIP promulgated.3 This ambiguity illustrates submit infrastructure SIP submissions requirements under the CAA, such as that rather than apply all the stated for the 2010 1-hour SO2 NAAQS to EPA ‘‘nonattainment SIP’’ or ‘‘attainment requirements of section 110(a)(2) in a no later than June 2, 2013. For the 2010 plan SIP’’ submissions to address the strict literal sense, EPA must determine 1-hour SO2 NAAQS, today’s proposed nonattainment planning requirements of action only addresses the prong 4 part D of Title I of the CAA, ‘‘regional 1 For example: Section 110(a)(2)(E)(i) provides element of Mississippi’s infrastructure that states must provide assurances that they have haze SIP’’ submissions required by EPA adequate legal authority under state and local law SIP submission received on June 20, rule to address the visibility protection to carry out the SIP; Section 110(a)(2)(C) provides 2013. EPA will take action on the requirements of section 169A of the that states must have a SIP-approved program to remainder of Mississippi’s June 20, CAA, and nonattainment new source address certain sources as required by part C of 2013, SIP submission through a separate Title I of the CAA; and section 110(a)(2)(G) provides review permit program submissions to that states must have legal authority to address rulemaking. address the permit requirements of emergencies as well as contingency plans that are triggered in the event of such emergencies. d. 2012 Annual PM2.5 NAAQS CAA, Title I, part D. 2 See, e.g., ‘‘Rule To Reduce Interstate Transport On December 14, 2012, EPA revised Section 110(a)(1) addresses the timing of Fine Particulate Matter and Ozone (Clean Air the primary annual PM2.5 NAAQS to 12 and general requirements for Interstate Rule); Revisions to Acid Rain Program; m 3 infrastructure SIP submissions and Revisions to the NOX SIP Call; Final Rule,’’ 70 FR micrograms per cubic meter ( g/m ). 25162, at 25163–65 (May 12, 2005) (explaining See 78 FR 3086 (January 15, 2013). An section 110(a)(2) provides more details relationship between timing requirement of section area will meet the standard if the three- concerning the required contents of 110(a)(2)(D) versus section 110(a)(2)(I)). 3 year average of its annual average PM2.5 these submissions. The list of required EPA notes that this ambiguity within section concentration (at each monitoring site in elements provided in section 110(a)(2) 110(a)(2) is heightened by the fact that various contains a wide variety of disparate subparts of part D set specific dates for submission the area) is less than or equal to 12.0 mg/ of certain types of SIP submissions in designated m3. States were required to submit provisions, some of which pertain to nonattainment areas for various pollutants. Note, infrastructure SIP submissions for the required legal authority, some of which e.g., that section 182(a)(1) provides specific dates pertain to required substantive program for submission of emissions inventories for the 2012 PM2.5 NAAQS to EPA no later than ozone NAAQS. Some of these specific dates are December 14, 2015. For the 2012 PM2.5 provisions, and some of which pertain necessarily later than three years after promulgation NAAQS, today’s proposed action only to requirements for both authority and of the new or revised NAAQS.

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which provisions of section 110(a)(2) might need to meet in its infrastructure Historically, EPA has elected to use are applicable for a particular SIP submission for purposes of section guidance documents to make infrastructure SIP submission. 110(a)(2)(B) could be very different for recommendations to states for Another example of ambiguity within different pollutants, because the content infrastructure SIPs, in some cases section 110(a)(1) and (2) with respect to and scope of a state’s infrastructure SIP conveying needed interpretations on infrastructure SIPs pertains to whether submission to meet this element might newly arising issues and in some cases states must meet all of the infrastructure be very different for an entirely new conveying interpretations that have SIP requirements in a single SIP NAAQS than for a minor revision to an already been developed and applied to submission, and whether EPA must act existing NAAQS.6 individual SIP submissions for upon such SIP submission in a single particular elements.7 EPA most recently EPA notes that interpretation of action. Although section 110(a)(1) issued guidance for infrastructure SIPs section 110(a)(2) is also necessary when directs states to submit ‘‘a plan’’ to meet on September 13, 2013 (2013 EPA reviews other types of SIP these requirements, EPA interprets the Guidance).8 EPA developed this submissions required under the CAA. CAA to allow states to make multiple document to provide states with up-to- Therefore, as with infrastructure SIP SIP submissions separately addressing date guidance for infrastructure SIPs for submissions, EPA also has to identify infrastructure SIP elements for the same any new or revised NAAQS. Within this and interpret the relevant elements of NAAQS. If states elect to make such guidance, EPA describes the duty of section 110(a)(2) that logically apply to multiple SIP submissions to meet the states to make infrastructure SIP infrastructure SIP requirements, EPA these other types of SIP submissions. submissions to meet basic structural SIP can elect to act on such submissions For example, section 172(c)(7) requires requirements within three years of either individually or in a larger attainment plan SIP submissions promulgation of a new or revised required by part D to meet the combined action.4 Similarly, EPA NAAQS. EPA also made ‘‘applicable requirements’’ of section interprets the CAA to allow it to take recommendations about many specific 110(a)(2); thus, attainment plan SIP action on the individual parts of one subsections of section 110(a)(2) that are submissions must meet the larger, comprehensive infrastructure SIP relevant in the context of infrastructure requirements of section 110(a)(2)(A) submission for a given NAAQS without SIP submissions.9 The guidance also regarding enforceable emission limits concurrent action on the entire discusses the substantively important and control measures and section submission. For example, EPA has issues that are germane to certain 110(a)(2)(E)(i) regarding air agency sometimes elected to act at different subsections of section 110(a)(2). EPA resources and authority. By contrast, it times on various elements and sub- interprets section 110(a)(1) and (2) such is clear that attainment plan SIP elements of the same infrastructure SIP that infrastructure SIP submissions need submissions required by part D would submission.5 to address certain issues and need not Ambiguities within section 110(a)(1) not need to meet the portion of section address others. Accordingly, EPA and (2) may also arise with respect to 110(a)(2)(C) that pertains to the PSD reviews each infrastructure SIP infrastructure SIP submission program required in part C of Title I of submission for compliance with the requirements for different NAAQS. the CAA, because PSD does not apply applicable statutory provisions of Thus, EPA notes that not every element to a pollutant for which an area is section 110(a)(2), as appropriate. of section 110(a)(2) would be relevant, designated nonattainment and thus As an example, section 110(a)(2)(E)(ii) or as relevant, or relevant in the same subject to part D planning requirements. is a required element of section way, for each new or revised NAAQS. As this example illustrates, each type of 110(a)(2) for infrastructure SIP The states’ attendant infrastructure SIP SIP submission may implicate some submissions. Under this element, a state submissions for each NAAQS therefore elements of section 110(a)(2) but not must meet the substantive requirements could be different. For example, the others. of section 128, which pertain to state monitoring requirements that a state Given the potential for ambiguity in boards that approve permits or some of the statutory language of section 4 See, e.g., ‘‘Approval and Promulgation of 110(a)(1) and section 110(a)(2), EPA 7 EPA notes, however, that nothing in the CAA Implementation Plans; New Mexico; Revisions to believes that it is appropriate to requires EPA to provide guidance or to promulgate the New Source Review (NSR) State regulations for infrastructure SIP submissions. The Implementation Plan (SIP); Prevention of interpret the ambiguous portions of CAA directly applies to states and requires the Significant Deterioration (PSD) and Nonattainment section 110(a)(1) and section 110(a)(2) submission of infrastructure SIP submissions, New Source Review (NNSR) Permitting,’’ 78 FR in the context of acting on a particular regardless of whether or not EPA provides guidance 4339 (January 22, 2013) (EPA’s final action SIP submission. In other words, EPA or regulations pertaining to such submissions. EPA approving the structural PSD elements of the New elects to issue such guidance in order to assist Mexico SIP submitted by the State separately to assumes that Congress could not have states, as appropriate. 8 meet the requirements of EPA’s 2008 PM2.5 NSR intended that each and every SIP ‘‘Guidance on Infrastructure State rule), and ‘‘Approval and Promulgation of Air submission, regardless of the NAAQS in Implementation Plan (SIP) Elements under Clean Quality Implementation Plans; New Mexico; question or the history of SIP Air Act Sections 110(a)(1) and 110(a)(2),’’ Infrastructure and Interstate Transport development for the relevant pollutant, Memorandum from Stephen D. Page, September 13, Requirements for the 2006 PM2.5 NAAQS,’’ 78 FR 2013. 4337 (January 22, 2013) (EPA’s final action on the would meet each of the requirements, or 9 EPA’s September 13, 2013, guidance did not infrastructure SIP for the 2006 PM2.5 NAAQS). meet each of them in the same way. make recommendations with respect to 5 On December 14, 2007, the State of Tennessee, Therefore, EPA has adopted an infrastructure SIP submissions to address Section through the Tennessee Department of Environment approach under which it reviews 110(a)(2)(D)(i)(I). EPA issued the guidance shortly and Conservation, made a SIP revision to EPA after the U.S. Supreme Court agreed to review the demonstrating that the State meets the requirements infrastructure SIP submissions against DC Circuit decision in EME Homer City, 696 F.3d of sections 110(a)(1) and (2). EPA proposed action the list of elements in section 110(a)(2), 7 (D.C. Cir. 2012) which had interpreted the for infrastructure SIP elements (C) and (J) on but only to the extent each element requirements of section 110(a)(2)(D)(i)(I). In light of January 23, 2012 (77 FR 3213) and took final action applies for that particular NAAQS. the uncertainty created by ongoing litigation, EPA on March 14, 2012 (77 FR 14976). On April 16, elected not to provide additional guidance on the 2012 (77 FR 22533) and July 23, 2012 (77 FR requirements of section 110(a)(2)(D)(i)(I) at that 6 42997), EPA took separate proposed and final For example, implementation of the 1997 PM2.5 time. As the guidance is neither binding nor actions on all other section 110(a)(2) infrastructure NAAQS required the deployment of a system of required by statute, whether EPA elects to provide SIP elements of Tennessee’s December 14, 2007 new monitors to measure ambient levels of that new guidance on a particular section has no impact on submission. indicator species for the new NAAQS. a state’s CAA obligations.

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enforcement orders and heads of existing SIP) for compliance with the review of a particular infrastructure SIP executive agencies with similar powers. requirements of the CAA and EPA’s submission is appropriate, because it Thus, EPA reviews infrastructure SIP regulations that pertain to such would not be reasonable to read the submissions to ensure that the state’s programs. general requirements of section SIP appropriately addresses the With respect to certain other issues, 110(a)(1) and the list of elements in requirements of section 110(a)(2)(E)(ii) EPA does not believe that an action on section 110(a)(2) as requiring review of and section 128. The 2013 Guidance a state’s infrastructure SIP submission is each and every provision of a state’s explains EPA’s interpretation that there necessarily the appropriate type of existing SIP against all requirements in may be a variety of ways by which states action in which to address possible the CAA and EPA regulations merely for can appropriately address these deficiencies in a state’s existing SIP. purposes of assuring that the state in substantive statutory requirements, These issues include: (i) Existing question has the basic structural depending on the structure of an provisions related to excess emissions elements for a functioning SIP for a new individual state’s permitting or from sources during periods of startup, or revised NAAQS. Because SIPs have enforcement program (e.g., whether shutdown, or malfunction (SSM) that grown by accretion over the decades as permits and enforcement orders are may be contrary to the CAA and EPA’s statutory and regulatory requirements approved by a multi-member board or policies addressing such excess under the CAA have evolved, they may by a head of an executive agency). emissions; 10 (ii) existing provisions include some outmoded provisions and However they are addressed by the related to ‘‘director’s variance’’ or historical artifacts. These provisions, state, the substantive requirements of ‘‘director’s discretion’’ that may be while not fully up to date, nevertheless Section 128 are necessarily included in contrary to the CAA because they may not pose a significant problem for EPA’s evaluation of infrastructure SIP purport to allow revisions to SIP- the purposes of ‘‘implementation, submissions because section approved emissions limits while maintenance, and enforcement’’ of a 110(a)(2)(E)(ii) explicitly requires that limiting public process or not requiring new or revised NAAQS when EPA the state satisfy the provisions of section further approval by EPA; and (iii) evaluates adequacy of the infrastructure 128. existing provisions for PSD programs SIP submission. EPA believes that a As another example, EPA’s review of that may be inconsistent with current better approach is for states and EPA to infrastructure SIP submissions with requirements of EPA’s ‘‘Final NSR focus attention on those elements of respect to the PSD program Improvement Rule,’’ 67 FR 80186 section 110(a)(2) of the CAA most likely requirements in section 110(a)(2)(C), (December 31, 2002), as amended by 72 to warrant a specific SIP revision due to (D)(i)(II), and (J) focuses upon the FR 32526 (June 13, 2007) (NSR Reform). the promulgation of a new or revised structural PSD program requirements Thus, EPA believes that it may approve NAAQS or other factors. contained in part C and EPA’s PSD an infrastructure SIP submission For example, EPA’s 2013 Guidance regulations. Structural PSD program without scrutinizing the totality of the gives simpler recommendations with requirements include provisions existing SIP for such potentially respect to carbon monoxide than other necessary for the PSD program to deficient provisions and may approve NAAQS pollutants to meet the visibility address all regulated sources and NSR the submission even if it is aware of requirements of section pollutants, including Greenhouse Gases such existing provisions.11 It is 110(a)(2)(D)(i)(II), because carbon (GHGs). By contrast, structural PSD important to note that EPA’s approval of monoxide does not affect visibility. As program requirements do not include a state’s infrastructure SIP submission a result, an infrastructure SIP provisions that are not required under should not be construed as explicit or submission for any future new or EPA’s regulations at 40 CFR 51.166 but implicit re-approval of any existing revised NAAQS for carbon monoxide are merely available as an option for the potentially deficient provisions that need only state this fact in order to state, such as the option to provide relate to the three specific issues just address the visibility prong of section grandfathering of complete permit described. 110(a)(2)(D)(i)(II). applications with respect to the PM2.5 EPA’s approach to review of Finally, EPA believes that its NAAQS. Accordingly, the latter infrastructure SIP submissions is to approach with respect to infrastructure optional provisions are types of identify the CAA requirements that are SIP requirements is based on a provisions EPA considers irrelevant in logically applicable to that submission. reasonable reading of section 110(a)(1) the context of an infrastructure SIP EPA believes that this approach to the and (2) because the CAA provides other action. avenues and mechanisms to address For other section 110(a)(2) elements, 10 Subsequent to issuing the 2013 Guidance, specific substantive deficiencies in however, EPA’s review of a state’s EPA’s interpretation of the CAA with respect to the existing SIPs. These other statutory tools infrastructure SIP submission focuses approvability of affirmative defense provisions in allow EPA to take appropriately tailored SIPs has changed. See ‘‘State Implementation Plans: on assuring that the state’s SIP meets Response to Petition for Rulemaking; Restatement action, depending upon the nature and basic structural requirements. For and Update of EPA’s SSM Policy Applicable to severity of the alleged SIP deficiency. example, section 110(a)(2)(C) includes, SIPs; Findings of Substantial Inadequacy; and SIP Section 110(k)(5) authorizes EPA to inter alia, the requirement that states Calls To Amend Provisions Applying to Excess issue a ‘‘SIP call’’ whenever the Agency have a program to regulate minor new Emissions During Periods of Startup, Shutdown and Malfunction,’’ 80 FR 33839 (June 12, 2015). As a determines that a state’s SIP is sources. Thus, EPA evaluates whether result, EPA’s 2013 Guidance (p. 21 & n.30) no substantially inadequate to attain or the state has an EPA-approved minor longer represents the EPA’s view concerning the maintain the NAAQS, to mitigate new source review program and validity of affirmative defense provisions, in light interstate transport, or to otherwise of the requirements of section 113 and section 304. whether the program addresses the 12 11 By contrast, EPA notes that if a state were to comply with the CAA. Section pollutants relevant to that NAAQS. In include a new provision in an infrastructure SIP the context of acting on an submission that contained a legal deficiency, such 12 For example, EPA issued a SIP call to Utah to infrastructure SIP submission, however, as a new exemption or affirmative defense for address specific existing SIP deficiencies related to EPA does not think it is necessary to excess emissions during SSM events, then EPA the treatment of excess emissions during SSM would need to evaluate that provision for events. See ‘‘Finding of Substantial Inadequacy of conduct a review of each and every compliance against the rubric of applicable CAA Implementation Plan; Call for Utah State provision of a state’s existing minor requirements in the context of the action on the Implementation Plan Revisions,’’ 74 FR 21639 source program (i.e., already in the infrastructure SIP. (April 18, 2011).

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110(k)(6) authorizes EPA to correct satisfy prong 4. The first way is through Although this reliance on CAIR was errors in past actions, such as past an air agency’s confirmation in its consistent with the CAA at the time that approvals of SIP submissions.13 infrastructure SIP submission that it has the State submitted its regional haze Significantly, EPA’s determination that an EPA-approved regional haze SIP that SIP, CAIR has since been replaced by an action on a state’s infrastructure SIP fully meets the requirements of 40 CFR the Cross-State Air Pollution Rule submission is not the appropriate time 51.308 or 51.309. 40 CFR 51.308 and (CSAPR) and can no longer be relied and place to address all potential 51.309 specifically require that a state upon as a substitute for BART or as part existing SIP deficiencies does not participating in a regional planning of a long-term control strategy (LTS) for preclude EPA’s subsequent reliance on process include all measures needed to regional haze. Therefore, EPA finalized provisions in section 110(a)(2) as part of achieve its apportionment of emission a limited disapproval of the Mississippi the basis for action to correct those reduction obligations agreed upon regional haze SIP to the extent that it deficiencies at a later time. For example, through that process. A fully approved relies on CAIR to satisfy BART and LTS although it may not be appropriate to regional haze SIP will ensure that requirements.16 See 77 FR 33642 (June 7, require a state to eliminate all existing emissions from sources under an air 2012). Because Mississippi’s regional inappropriate director’s discretion agency’s jurisdiction are not interfering haze SIP is not fully approved, the State provisions in the course of acting on an with measures required to be included cannot rely on this plan alone to meet infrastructure SIP submission, EPA in other air agencies’ plans to protect the prong 4 requirements for the 2008 believes that section 110(a)(2)(A) may be visibility. Ozone, 2010 1-hour NO2, 2010 1-hour among the statutory bases that EPA Alternatively, in the absence of a fully SO2, and 2012 PM2.5 NAAQS. relies upon in the course of addressing approved regional haze SIP, a state may Furthermore, unlike CAIR, CSAPR does such deficiency in a subsequent meet the requirements of prong 4 not cover SO2 emissions from EGUs in action.14 through a demonstration in its Mississippi and therefore cannot be infrastructure SIP submission that relied upon to fully satisfy outstanding III. What are the prong 4 requirements? emissions within its jurisdiction do not regional haze requirements for EGUs in Section 110(a)(2)(D)(i)(II) requires a interfere with other air agencies’ plans the State. state’s SIP to contain provisions to protect visibility. Such an Mississippi’s reference to EPA’s prohibiting sources in that state from infrastructure SIP submission would February 20, 2013, NPRM to approve emitting pollutants in amounts that need to include measures to limit the prong 4 element of the State’s interfere with any other state’s efforts to visibility-impairing pollutants and infrastructure SIP submissions for the protect visibility under part C of the ensure that the reductions conform with 1997 and 2006 PM2.5 NAAQS is not CAA (which includes sections 169A and any mutually agreed regional haze relevant because the legal status of CAIR 169B). The 2013 Guidance states that reasonable progress goals for mandatory and CSAPR has changed since these prong 4 requirements can be Class I areas in other states. publication of that notice. In June 2012, satisfied by approved SIP provisions EPA finalized the limited disapproval of that EPA has found to adequately IV. What is EPA’s analysis of how the State’s regional haze SIP, which address any contribution of that state’s Mississippi addressed prong 4? relied on CAIR to satisfy affected EGUs’ sources to impacts on visibility program Mississippi’s May 29, 2012, 2008 8- BART requirements. At that time, requirements in other states. The 2013 hour Ozone submission; July 26, 2012, questions regarding the legality of Guidance also states that EPA interprets 2008 8-hour Ozone resubmission; CSAPR were pending before the United this prong to be pollutant-specific, such February 28, 2013, 2010, NO2 States Court of Appeals for the District that the infrastructure SIP submission submission; and December 8, 2015, of Columbia Circuit (D.C. Circuit). The need only address the potential for 2012 PM2.5 submission each cite to the D.C. Circuit subsequently vacated and interference with protection of visibility State’s regional haze SIP as satisfying remanded CSAPR in August 2012, caused by the pollutant (including prong 4 requirements. The June 20, leaving CAIR in place temporarily.17 As precursors) to which the new or revised 2013, 2010 SO2 submission cites to the of February 20, 2013, when EPA NAAQS applies. State’s regional haze SIP and to EPA’s proposed approving the prong 4 element The 2013 Guidance lays out two ways February 20, 2013 (78 FR 11805) notice of the State’s 1997 and 2006 PM2.5 in which a state’s infrastructure SIP may of proposed rulemaking (NPRM) on the infrastructure SIP submissions, EPA had prong 4 element of the State’s not yet asked the United States Supreme 13 EPA has used this authority to correct errors in infrastructure SIP submissions for the Court to review the D.C. Circuit’s past actions on SIP submissions related to PSD decision on CSAPR. Based upon the programs. See ‘‘Limitation of Approval of 1997 and 2006 PM2.5 NAAQS. In that Prevention of Significant Deterioration Provisions notice, EPA proposed to approve the Concerning Greenhouse Gas Emitting-Sources in prong 4 element on the basis that visibility conditions in Class I areas. State Implementation Plans; Final Rule,’’ 75 FR Mississippi’s regional haze SIP, in Implementation plans must also give specific 82536 (December 30, 2010). EPA has previously attention to certain stationary sources. Specifically, used its authority under section 110(k)(6) of the combination with its SIP provisions to section 169A(b)(2)(A) of the CAA requires states to CAA to remove numerous other SIP provisions that implement the Clean Air Interstate Rule revise their SIPs to contain such measures as may the Agency determined it had approved in error. (CAIR), prevented sources from be necessary to make reasonable progress towards See, e.g., 61 FR 38664 (July 25, 1996) and 62 FR interfering with measures adopted by the natural visibility goal, including a requirement 34641 (June 27, 1997) (corrections to American that certain categories of existing major stationary Samoa, Arizona, California, Hawaii, and Nevada other states to protect visibility. sources 8 built between 1962 and 1977 procure, SIPs); 69 FR 67062, November 16, 2004 (corrections In its regional haze SIP, Mississippi install, and operate BART as determined by the to California SIP); and 74 FR 57051 (November 3, relied on CAIR to satisfy the best state. Under the RHR, states are directed to conduct 2009) (corrections to Arizona and Nevada SIPs). available retrofit technology (BART) BART determinations for such ‘‘BART-eligible’’ 14 See, e.g., EPA’s disapproval of a SIP submission sources that may be anticipated to cause or requirements for its CAIR-subject contribute to any visibility impairment in a Class from Colorado on the grounds that it would have 15 included a director’s discretion provision electricity generating units (EGUs). I area. inconsistent with CAA requirements, including 16 EPA finalized a limited approval of section 110(a)(2)(A). See, e.g., 75 FR 42342 at 42344 15 Section 169A of the CAA and EPA’s Mississippi’s regional haze SIP on June 27, 2012. (July 21, 2010) (proposed disapproval of director’s implementing regulations require states to establish See 77 FR 38191. discretion provisions); 76 FR 4540 (January 26, long-term strategies for making reasonable progress 17 EME Homer City Generation, L.P. v. EPA, 696 2011) (final disapproval of such provisions). towards the national goal of achieving natural F.3d 7 (D.C. Cir. 2012).

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D.C. Circuit’s direction to EPA to submissions, no sanctions will be Order 13132 (64 FR 43255, August 10, continue administering CAIR, the triggered. However, if EPA finalizes this 1999); Agency believed that it was appropriate proposed disapproval action, that final • is not an economically significant for states to rely on CAIR emission action will trigger the requirement regulatory action based on health or reductions for prong 4 purposes. EPA under section 110(c) that EPA safety risks subject to Executive Order intended to allow this practice until a promulgate a FIP no later than two years 13045 (62 FR 19885, April 23, 1997); valid replacement for CAIR was from the date of the disapproval unless • is not a significant regulatory action developed and EPA acted on SIPs the State corrects the deficiency through subject to Executive Order 13211 (66 FR submitted in compliance with any new a SIP revision and EPA approves the SIP 28355, May 22, 2001); rule, or until the CSAPR litigation was revision before EPA promulgates such a • is not subject to requirements of resolved in a way that provided FIP. Section 12(d) of the National different direction regarding CAIR and Technology Transfer and Advancement CSAPR. After publication of the V. Proposed Action Act of 1995 (15 U.S.C. 272 note) because February 20, 2013, prong 4 proposal, As described above, EPA is proposing application of those requirements would EPA asked the Supreme Court to review to disapprove the prong 4 portions of be inconsistent with the CAA; and the DC Circuit’s decision and the Mississippi’s May 29, 2012, 2008 Ozone • does not provide EPA with the Supreme Court reversed that ruling and infrastructure SIP submission; July 26, discretionary authority to address, as upheld CSAPR.18 EPA began 2012, 2008 Ozone infrastructure SIP appropriate, disproportionate human implementation of CSAPR, which resubmission; February 28, 2013, 2010 health or environmental effects, using replaced CAIR, on January 1, 2015. NO2 infrastructure SIP submission; June practicable and legally permissible Therefore, because of this intervening 20, 2013, 2010 SO2 infrastructure SIP methods, under Executive Order 12898 change in the law, EPA cannot finalize submission; and December 8, 2015, (59 FR 7629, February 16, 1994). its February 20, 2013, proposal to 2012 PM2.5 infrastructure SIP The SIP is not approved to apply on approve the prong 4 element that relies submission. All other outstanding any Indian reservation land or in any on CAIR, and Mississippi cannot rely on applicable infrastructure requirements other area where EPA or an Indian tribe the outdated rationale contained in the for these SIP submissions will be has demonstrated that a tribe has NPRM regarding CAIR to satisfy prong addressed in separate rulemakings. jurisdiction. In those areas of Indian 4. country, the rule does not have tribal As mentioned above, a state may meet VI. Statutory and Executive Order implications as specified by Executive the requirements of prong 4 without a Reviews Order 13175 (65 FR 67249, November 9, fully approved regional haze SIP by Under the CAA, the Administrator is 2000), nor will it impose substantial showing that its SIP contains adequate required to approve a SIP submission direct costs on tribal governments or provisions to prevent emissions from that complies with the provisions of the preempt tribal law. within the state from interfering with Act and applicable federal regulations. List of Subjects in 40 CFR Part 52 other states’ measures to protect See 42 U.S.C. 7410(k); 40 CFR 52.02(a). visibility. Mississippi did not, however, Thus, in reviewing SIP submissions, Environmental protection, Air provide a demonstration in any of the EPA’s role is to approve state choices, pollution control, Incorporation by infrastructure SIP submissions subject provided that they meet the criteria of reference, Intergovernmental relations, to today’s proposed action that the CAA. EPA is proposing to determine Nitrogen dioxide, Ozone, Particulate emissions within its jurisdiction do not that the prong 4 portions of the matter, Reporting and recordkeeping interfere with other states’ plans to aforementioned SIP submissions do not requirements, Volatile organic protect visibility. meet Federal requirements. Therefore, compounds. As discussed above, Mississippi does this proposed action does not impose Authority: 42 U.S.C. 7401 et seq. not have a fully approved regional haze additional requirements on the state SIP that meets the requirements of 40 Dated: March 8, 2016. beyond those imposed by state law. For CFR 51.308 and has not otherwise Heather McTeer Toney, that reason, this proposed action: shown that its SIP contains adequate Regional Administrator, Region 4. • Is not a ‘‘significant regulatory provisions to prevent emissions from action’’ subject to review by the Office [FR Doc. 2016–06062 Filed 3–21–16; 8:45 am] within the state from interfering with of Management and Budget under BILLING CODE 6560–50–P other states’ measures to protect Executive Orders 12866 (58 FR 51735, visibility. Therefore, EPA is proposing October 4, 1993) and 13563 (76 FR 3821, to disapprove the prong 4 portions of January 21, 2011); FEDERAL COMMUNICATIONS Mississippi’s May 29, 2012, 2008 8-hour • COMMISSION Ozone infrastructure SIP submission; does not impose an information collection burden under the provisions July 26, 2012, 2008 8-hour Ozone 47 CFR Part 15 infrastructure SIP resubmission; of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.); [ET Docket No. 16–56; FCC 16–23] February 28, 2013, 2010 1-hour NO2 • infrastructure SIP submission; June 20, is certified as not having a significant economic impact on a Unlicensed White Space Devices 2013, 2010 1-hour SO2 infrastructure SIP submission; and December 8, 2015, substantial number of small entities AGENCY: Federal Communications under the Regulatory Flexibility Act (5 2012 annual PM2.5 infrastructure SIP Commission. submission. Mississippi did not submit U.S.C. 601 et seq.); ACTION: • Proposed rule. these infrastructure SIPs to meet does not contain any unfunded requirements for Part D or a SIP call; mandate or significantly or uniquely SUMMARY: In this document, the Federal therefore, if EPA takes final action to affect small governments, as described Communications Commission disapprove the prong 4 portions of these in the Unfunded Mandates Reform Act (Commission) proposes to amend its of 1995 (Pub. L. 104–4); rules to improve the quality of the • 18 EPA v. EME Homer City Generation, L.P., 134 does not have Federalism geographic location and other data S. Ct. 1584 (2014). implications as specified in Executive submitted for fixed white space devices

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operating on unused frequencies in the many of the recommendations outlined 4. The Commission proposes to TV Bands and, in the future, the 600 in the plan submitted by the National modify the current rule that requires a MHz Band for wireless services. The Association of Broadcasters and certain fixed white space device to contact the proposed rules would eliminate the white space device manufacturers database at least once a day to verify professional installer option for fixed (‘‘NAB and Manufacturers’ Plan’’) and that its operating channels continue to white space devices and require that believes that this approach will improve be available for its use. It proposes to each fixed white space device the integrity of the white space database require a fixed white space device to incorporate a geo-location capability to system and better ensure efficient and check its coordinates once each day, determine its location, and would beneficial use of white spaces while except when not in operation, and to provide options to accommodate fixed protecting licensees and other report its geographic location to the white space device installations in authorized users. database when its makes its daily locations where an internal geo-location 2. Location Data. The Commission request for a list of available channels. capability is not able to provide this proposes to modify section 15.711(c) to The Commission seeks comment on information. These proposals will eliminate the option for professional implementing this proposal. Should the improve the accuracy and reliability of installation of fixed white space geographic coordinates reported each the fixed white space device data devices, thereby eliminating the day be treated by the white space recorded in the white space databases possibility that manual data entry could database as a modification of the and assure that the potential to cause cause incorrect location data to be registration record? Should the interference to protected services is stored in the white space device or registration record be updated only if minimized. provided to a database. The Commission the difference in location exceeds 50 meters? What would be the impact on DATES: Comments must be filed on or proposes to instead require that fixed device manufacturers and database before May 6, 2016, and reply comments white space devices include a geo- administrators? must be filed on or before June 6, 2016. location capability that can automatically determine its geographic 5. The Commission recognizes that ADDRESSES: You may submit comments, there will be many important identified by ET Docket No. 16–56, by coordinates without manual intervention. It also proposes that the applications for fixed white space any of the following methods: devices in which the device needs to be • Federal Communications geographic coordinates shall be stored automatically in the fixed white space installed where an incorporated geo- Commission’s Web site: http:// location capability will not function device and transmitted electronically apps.fcc.gov/ecfs/. Follow the (e.g., indoors). Thus, the Commission directly from the device to the database, instructions for submitting comments. proposes to permit fixed white space • rather than entered manually in the People with Disabilities: Contact the devices to obtain their geographic database, thereby further reducing the FCC to request reasonable coordinates from an external source that possibility of introducing data errors. accommodations (accessible format is connected to the fixed white space documents, sign language interpreters, 3. The Commission proposes that device when the internal geo-location CART, etc.) by email: [email protected] when a fixed white space device is capability does not function. It also or phone: 202–418–0530 or TTY: 202– moved to another location or its proposes that, in cases where the geo- 418–0432. coordinates become altered, its location capability is provided by an For detailed instructions for geographic coordinates and antenna external source connected to the fixed submitting comments and additional height above ground must be re- white space device, the fixed device and information on the rulemaking process, established and the device re-registered external geo-location source would be see the SUPPLEMENTARY INFORMATION with a database. With regard to the required to communicate using a secure section of this document. geographic coordinates, it proposes that method that ensures that the fixed FOR FURTHER INFORMATION CONTACT: they be re-established using an device obtains information only from a Hugh L. Van Tuyl, Office of Engineering incorporated geo-location capability. source that has been approved for that and Technology, (202) 418–7506, email: The Commission seeks comment on function by the Commission’s [email protected], TTY (202) 418– these proposals and on whether a re- equipment certification program. If the 2989. registration requirement should apply to fixed white space device is unable to SUPPLEMENTARY INFORMATION: This is a any change in location or only those verify that the external source from summary of the Commission’s Notice of changes where the coordinates differ by which it is receiving geo-location data is Proposed Rulemaking and Order (NPRM more than the accuracy requirement an approved source, the fixed device and Order), ET Docket No. 16–56, FCC (±50 meters) from the last registered would not be allowed to use that 16–23, adopted February 25, 2016 and location. With respect to the antenna received data when reporting its released February 26, 2016. The full text height above ground, the Commission location to the database. The of this document is available for seeks comment on whether it should Commission seeks comment on whether inspection and copying during normal require that this height be determined each fixed white space device should be business hours in the FCC Reference automatically using the fixed device’s associated with specific external geo- Center (Room CY–A257), 445 12th incorporated geo-location capability, location sources or whether Street SW., Washington, DC 20554. The such as GPS. Because the vertical height manufacturers should have the full text may also be downloaded at: accuracy of GPS is typically less than flexibility to design fixed white space www.fcc.gov. the horizontal location accuracy, the devices to operate with a variety of geo- Commission seeks comment on whether location sources as long as such sources Synopsis of Notice of Proposed it should allow users, including are approved for use with the fixed Rulemaking professional installers and operators, to white space device. 1. In this NPRM, the Commission override an automatically determined 6. The NAB and Manufacturers’ Plan proposes and seek comment on height if it proves to be inaccurate, or makes specific suggestions for how revisions to the geo-location and whether it should simply allow users to fixed devices should rely on an external registration requirements for fixed white manually enter the antenna height geo-location source for determining the space devices. It proposes to adopt above ground in all cases. geographic coordinates of a fixed white

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space device. It suggests that the devices with an internal geo-location database, or should an associated time external geo-location source would be capability that operate indoors where stamp for the geo-location data be required to be connected at all times to their geo-location capability does not transmitted to the database which the fixed white space device, and that function. Under this provision, the rules would not permit the registration to the fixed white space device would be would allow a fixed white space device proceed if outside the 30 minute required to cease transmitting if the operating with 40 mW or less EIRP to window? Should the Commission allow connection to the external geo-location establish its location using its other methods of transferring location source is disconnected or ceased to incorporated geo-location capability at a data to fixed white space devices—for function properly. NAB and the point immediately outside the indoor or example, could an outdoor location Manufacturers suggest that the other enclosure where the device’s geo- sensor, such as a GPS receiver, write an connection between the fixed white location capability does not function, encrypted file to an SD Card or USB space device and the external geo- and then to register with its database memory stick that could then be location source could be by Ethernet, after the device is installed at its fixed plugged into a fixed white space device? USB, serial port or other connection, location using the location established How would such a connection ensure and a fixed device would be required to at the outdoor point. In such that a fixed device would be located no be located within 100 meters of the geo- applications, the device would store more than 100 meters from its geo- location source. The parties also suggest internally the coordinates of an outdoor location source? Under such a scheme, that a separate geo-location source may position as close as possible to the what methods could be used to ensure be connected to more than one fixed location where it will be installed and registration within 30 minutes of device at the same general location as also record the time that it obtained determining the fixed white space long as the white space devices it serves those coordinates. The device would device’s location? are all located no more than 100 meters then be installed at its fixed location 11. Low power fixed white space from the geo-location source. The and register with its database within 30 devices operating indoors where their Commission requests comment on these minutes using the coordinates of the incorporated geo-location capability specific suggestions. Do the methods outdoor location. If the device does not does not function would not be able to suggested by the NAB and complete its registration within the 30 re-check their coordinates daily and Manufacturers’ Plan provide sufficient minute period, it would need to start transmit them to the database when flexibility in the design of fixed devices over, re-establish its coordinates at a verifying their available channel list, without compromising our goal of location where its geo-location unless each day the device was ensuring that a device operates at the capability functions, and initiate a new uninstalled and moved to the outdoor location reported to its databases. The 30 minute time period. The Commission location to repeat the entire initial Commission seeks comment on whether seeks comment on these suggestions and location-determining procedure. The it is necessary for a fixed white space asks whether this is a workable Commission seeks comment on whether device to be connected to its external approach that would provide additional in such situations, it should allow these geo-location source by a cable, or flexibility in the methods for devices to use the coordinates whether we could permit the determining geo-location for fixed previously obtained at an outdoor connection to the geo-location source devices located indoors without position and stored in the device until via wireless. Because allowing wireless increasing the potential for inaccurate such time as the device is moved or connections may create a path for locations to be recorded in the databases disconnected from its power supply, at entering erroneous location data, and/or increase the potential for which point the device would again re- commenters are asked to address interference. establish its coordinates using its whether safeguards tailored to the 9. The Commission seeks comment on incorporated geo-location capability. If wireless environment are needed to alternative parameters and approaches. using previously obtained coordinates ensure location data is within the Is 40 mW the appropriate power level at in this manner would not serve the required accuracy guidelines, and, if so, which to define a low power fixed white public interest, does the impracticality what they should be. The Commission space device or would 100 mW be more of obtaining updated coordinates on a also seeks comment on the appropriate appropriate? Is 30 minutes sufficient daily basis warrant a rejection of this method of obtaining the antenna height time for the installer to re-locate the proposal? Are there other methods for above ground for indoor fixed devices device to a nearby operating location, updating the location information of (automatic determination or manual activate the device, register the device these devices, short of using a wired entry) that is reported to the white space with a database, and complete any other external geo-location source, which database. steps necessary for the installation? Is could be employed successfully? 7. As an alternative to using any type 30 minutes the appropriate amount of 12. Because the Commission adopted of external geo-location source, the time to balance the need for properly rules in the Part 15 White Space Report Commission seeks comment on whether completing the installation and and Order in ET Docket No. 14–165 that a fixed white space device could be registration of a device while limiting provide flexibility to manufacturers and connected by a long cable to a separate the opportunity for relocating the device operators of white space devices that antenna and continue to rely on its to a faraway place where it could cause use less accurate geo-location methods, internal geo-location capability. What interference? it tentatively concludes that it is not requirements would be necessary to 10. The Commission also seeks necessary to modify the default location ensure that the coordinates and location comment on where the responsibility accuracy requirement from ±50 meters uncertainty reported to the white space would lie in verifying that the fixed to ±100 meters as requested in the NAB database are accurate? Would the white space device registration occurs and Manufacturers Plan. Should parties suggestions in the NAB and within the allowable 30 minute time disagree, the Commission seeks Manufacturers’ plan be appropriate for period. Should the capability reside in comment on what changes we should this situation? the fixed white space device whereby make and how they should be 8. The NAB and Manufacturers’ Plan after 30 minutes the data would implemented. also suggests another approach for low automatically be erased if the device is 13. NAB and the Manufacturers power (40 mW EIRP) fixed white space not successfully registered with a request an increase in protection

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distances that is greater than their permissive change under its equipment address the costs and benefits associated requested increase in geo-location authorization rules. It seeks comment on with their suggestions. uncertainty. If the Commission were to the proposed timeframes for 20. Other Issues. The Commission specify a less accurate geo-location implementing any new requirements for does not propose to amend its rules to requirement, it seeks comment on how incorporating a geo-location capability incorporate new accountability and/or much the protection distances to TV into all fixed white space devices and enforcement measures to ensure the contours should change, and on whether they are appropriate to provide integrity of the registration information whether and by what amount distances for a smooth transition to new devices. for fixed devices as requested by NAB. from any other protected service may 16. Finally, the Commission invites The current rules already place need to be increased. It also seeks comment on the expected costs and responsibility for the accuracy of the comment on whether rule changes benefits of the proposed rule changes in data entered for fixed device would be needed to account for indoor this section and whether the benefits registrations on the party responsible for operations. How could it ensure that the will outweigh the costs. Parties who the device and hold database reported geo-location uncertainty of an make specific suggestions for administrators responsible for verifying, indoor device is accurate? For example, implementing the proposals also should correcting and removing inaccurate should a device that obtains its location address the costs and benefits associated data. These existing rules and the from a separate geo-location source with their suggestions. proposals set forth in this Notice, along automatically add a certain amount, 17. Device Identification, Contact with the ongoing oversight of such as 100 meters, to its geo-location Information and Other Data Issues. The Commission staff, are sufficient and uncertainty when providing its location current rules assign responsibility for appropriate for addressing these issues. to the database? How would such a the accuracy of the registration Procedural Matters requirement apply for a device that is information either to the party who moved outdoors to obtain its provides the information to the database 1. 21. As required by the Regulatory coordinates and then moved back to an or to the party who is responsible for the Flexibility Act of 1980, as amended indoor location? white space device. Because the rules (RFA),1 the Commission has prepared 14. The Commission proposes that are not clear as to which party is this present Initial Regulatory effective six months after the effective responsible for the white space device, Flexibility Analysis (IRFA) of the date of the new rules, new applications and thus for entering and maintaining possible significant economic impact on for certification of fixed white space the registration information, the a substantial number of small entities by devices must comply with any rules it Commission seeks comment on whether the policies and rules proposed in this adopts in this proceeding requiring the responsible party should be the Notice of Proposed Rule Making incorporated geo-location capability. owner, the contact person, or some (NPRM). Written public comments are Further, it proposes that within one year other party. requested on this IRFA. Comments must after the effective date of any new rules, be identified as responses to the IRFA manufacturers would no longer be able 18. The Commission proposes to and must be filed by the deadlines for to manufacture and import fixed white require the white space database that comments on the NPRM. The space devices that do not comply with originates a registration request for a Commission will send a copy of the the new requirements. In order to allow fixed device to confirm the email NPRM, including this IRFA, to the Chief manufacturers to deplete any inventory address and telephone number entered for the contact person. It also proposes Counsel for Advocacy of the Small of devices that do not comply with the 2 new requirements, the Commission that the database not provide service to Business Administration (SBA). In proposes to permit the marketing of the device nor share the registration addition, the NPRM and IRFA (or information with other approved white summaries thereof) will be published in these devices for up to eighteen months 3 after the effective date of the new rules, space databases until it receives a the Federal Register. confirming response from the party but seeks comment on whether it should A. Need for, and Objectives of, the responsible for the device registration. specify only certification and marketing Proposed Rules cutoff dates (e.g., six months for The Commission further proposes that certification and 12 or 18 months for the white space database confirm the 22. The NPRM proposes to amend marketing), and allow manufacturers to contact person’s information if any of Part 15 of the Commission’ rules to decide their manufacturing and the identifying information is modified. improve the quality of the geographic importation cutoff dates. The Under these proposals, a white space location and other data submitted for Commission proposes to permit users of database administrator would be fixed white space devices operating on fixed white space devices that do not allowed to implement the confirmation unused frequencies in the TV Bands comply with new rules to continue to requirement using a method of its and, in the future, the new 600 MHz operate their devices indefinitely. choosing as long as that method obtains Band for wireless services. The Because the majority of fixed white a confirming response that (1) the party proposals are designed to improve the space devices in operation today do not addressed in the message is responsible integrity of the white space database include a geo-location capability and for the operation of the subject fixed system and, as white space device would not be able to easily recheck their device, and (2) the email address and deployments grow, to increase the coordinates every day and transmit telephone number for that party are confidence of all spectrum users of them to the database, the Commission correct and appropriate to reach that these frequency bands that the white seeks comment on whether allowing party in a timely manner. space geolocation/database spectrum their continued operation would pose 19. Finally, the Commission invites any concerns about the integrity of the comment on the expected costs and 1 See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601– data in the database. benefits of the proposed rule changes in 612, has been amended by the Small Business Regulatory Enforcement Fairness Act of 1996 15. The Commission proposes to treat this section and whether the benefits (SBREFA), Public Law 104–121, Title II, 110 Stat. equipment changes that simply add an will outweigh the costs. Parties who 857 (1996). incorporated geo-location capability to make specific suggestions for 2 See 5 U.S.C. 603(a). an existing certificated device as a implementing the proposals also should 3 See 5 U.S.C. 603(a).

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management scheme fully protects cellular phones, mobile the responsible party (e.g., the licensees and other authorized users. communications equipment, and radio manufacturer or importer). The NPRM 23. The NPRM responds to a petition and television studio and broadcasting does not propose to change the submitted by the National Association equipment.’’ 8 The SBA has developed a authorization procedure for white space of Broadcasters (NAB) alleging that small business size standard for Radio devices, but it does propose to establish there are data errors in the registration and Television Broadcasting and new technical requirements or modify records for fixed devices in the white Wireless Communications Equipment existing technical requirements for space databases, and requesting that the Manufacturing, which is: All such firms white space devices. Specifically, the Commission undertake rulemaking and having 750 or fewer employees. NPRM proposes the following changes other actions to correct and avoid such According to Census Bureau data for to the fixed white space device errors. 2007, there were a total of 939 compliance requirements: establishments in this category that 29. Fixed white space device geo- B. Legal Basis operated for part or all of the entire year. location requirements. The proposed 24. The proposed action is taken Of this total, 912 had less than 500 rules would eliminate the professional pursuant to sections 1, 4(i), 7(a), 302(a), employees and 17 had more than 1000 installer option for fixed white space 303(f), and 303(r) of the employees.9 Thus, under that size devices. Instead, a fixed white space Communications Act of 1934, as standard, the majority of firms can be device would be required to include a amended, 47 U.S.C. 151, 154(i), 157(a), considered small. geo-location capability that can 302(a), 303(f), and 303(r). determine its geographic coordinates D. Description of Projected Reporting, without manual intervention. The C. Description and Estimate of the Recordkeeping, and Other Compliance proposed rules would also require that Number of Small Entities to Which the Requirements for Small Entities the geographic coordinates be stored Proposed Rules Will Apply 27. White space devices are automatically in the fixed white space 25. The RFA directs agencies to unlicensed devices that operate in the device and transmitted electronically provide a description of, and where TV bands, and in the future, the 600 directly from the device to the feasible, an estimate of the number of MHz band, at locations where databases. In addition, a fixed white small entities that may be affected by frequencies are not in use by licensed space device would be required to check the proposed rules, if adopted.4 The services. The rules provide for three its coordinates once each day using its RFA generally defines the term ‘‘small types of white space devices: Fixed, and geo-location capability and to report its entity’’ as having the same meaning as Mode I and Mode II personal/portable geographic location to the database the terms ‘‘small business,’’ ‘‘small devices. To prevent harmful daily when it makes a request for a list organization,’’ and ‘‘small governmental interference to protected services, the of available channels. jurisdiction.’’ 5 In addition, the term rules generally require that white space 30. The NPRM also proposes options ‘‘small business’’ has the same meaning devices provide their geographic to accommodate fixed white space as the term ‘‘small business concern’’ coordinates to a white space database device installations in locations where under the Small Business Act.6 A and operate only on location specific an internal geo-location capability is not ‘‘small business concern’’ is one which: channels provided by that database. The able to provide this information. It (1) Is independently owned and location for fixed white space devices proposes to permit fixed white space operated; (2) is not dominant in its field may be determined either through an devices to obtain their geographic of operation; and (3) satisfies any internal geo-location capability or by a coordinates from an external source that additional criteria established by the professional installer.10 Additionally, a is connected to the fixed white space Small Business Administration (SBA).7 fixed white space device must register device when the internal geo-location 26. Radio and Television with a database and, in addition to its capability does not function. It also Broadcasting and Wireless location, must also provide the device’s proposes that in cases where the geo- Communications Equipment identifying information (FCC location capability is provided by an Manufacturing. The Census Bureau identification number and manufacturer external source connected to the fixed defines this category as follows: ‘‘This serial number), antenna height, the white space device, the fixed device and industry comprises establishments name of its owner, and contact external geo-location source would be primarily engaged in manufacturing information for the party responsible for required to communicate using a secure radio and television broadcast and its operation. method that ensures that the fixed wireless communications equipment. 28. Most RF transmitting equipment, device obtains information only from a source that has been approved for that Examples of products made by these including white space devices, must be function by the Commission’s establishments are: Transmitting and authorized through the certification procedure. Certification is an equipment equipment certification program. receiving antennas, cable television 31. Transition requirements for fixed equipment, GPS equipment, pagers, authorization issued by the Commission or by a designated TCB based on an white space device rule changes. The NPRM proposes that, effective six 4 See 5 U.S.C. 603(b)(3). application and test data submitted by 5 See 5 U.S.C. 601(6). months after the effective date of the 6 See 5 U.S.C. 601(3) (incorporating by reference 8 The NAICS Code for this service 334220. See 13 new rules, new applications for the definition of ‘‘small-business concern’’ in the CFR 121/201. See also http://factfinder.census.gov/ certification of fixed white space Small Business Act, 15 U.S.C. 632). Pursuant to 5 servlet/IBQTable?_bm=y&-fds_name=EC0700A1&- devices must comply with any rules the _ _ _ _ U.S.C. 601(3), the statutory definition of a small geo id=&- skip=300&-ds name=EC0731SG2&- Commission adopts in this proceeding business applies ‘‘unless an agency, after lang=en. consultation with the Office of Advocacy of the 9 See http://factfinder.census.gov/servlet/ requiring incorporated geo-location Small Business Administration and after IBQTable?_bm=y&-geo_id=&-fds_ capability. The NPRM also proposes opportunity for public comment, establishes one or name=EC0700A1&-_skip=4500&-ds_ that, within one year after the effective more definitions of such term which are name=EC0731SG3&-_lang=en. date of any new rules, manufacturers appropriate to the activities of the agency and 10 Mode I and Mode II personal/portable devices publishes such definition(s) in the Federal have differing requirements which are not would no longer be able to manufacture Register.’’ described herein because the NPRM addresses only and import fixed white space devices 7 See 15 U.S.C. 632. fixed white space devices. that do not comply with the new

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requirements. In order to allow from coverage of the rule, or any part Ordering Clauses manufacturers to deplete any inventory thereof, for such small entities.’’ 11 37. Pursuant to sections 1, 4(i), 7(a), of devices that do not comply with the 34. The proposed requirement for all 302(a), 303(f), and 303(r) of the new requirements, the NPRM proposes fixed white space devices to incorporate Communications Act of 1934, as to permit the marketing of these devices a geo-location capability would require amended, 47 U.S.C. 151, 154(i), 157(a), for up to eighteen months after the changes to previously approved devices, 302a(a), 303(f), and 303(r), this Notice of effective date of the new rules. In because most approved fixed devices Proposed Rule Making is adopted. addition, the NPRM proposes to permit rely on the use of a professional installer 38. The Commission’s Consumer and fixed white space devices that do not and do not have a geo-location Governmental Affairs Bureau, Reference comply with new rules to continue to capability. As discussed above, the Information Center, shall send a copy of operate indefinitely. Further, it proposes this Notice of Proposed Rule Making, that the Commission would treat NPRM proposes transition and grandfathering provisions to minimize including the Initial Regulatory equipment changes that simply add an Flexibility Analysis to the Chief Counsel incorporated geo-location capability to the impact on fixed white space device manufacturers and users. It proposes for Advocacy of the Small Business an existing certificated device as a Administration. permissive change. that manufacturers could continue to 32. Fixed white space device apply for certification of devices under List of Subjects in 47 CFR Part 15 registration requirements. The NPRM the current rules for up to six months Communications equipment, Radio, proposes to require the white space after the effective date of any new rules, Reporting and recordkeeping database that receives the initial and that changes that simply add an requirements. incorporated geo-location capability to registration request for a fixed device to Federal Communications Commission. confirm the email address and an existing certificated device would be Marlene H. Dortch, telephone number entered for the processed under the streamlined contact person. It also proposes that the ‘‘permissive change’’ rules.12 The NPRM Secretary. database not provide service to the also proposes that parties could Proposed Rules continue to manufacture and import device nor share the registration For the reasons discussed in the devices that comply with the current information with other approved white preamble, the Federal Communications rules for up to one year after the space databases until it receives a Commission proposes to amend 47 CFR effective date of any new rules. In order confirming response from the party part 15 as follows: responsible for the device registration. to allow manufacturers to deplete any The NPRM further, proposes that the inventory of devices that do not comply PART 15—RADIO FREQUENCY white space database confirm the with new requirements, the NPRM DEVICES contact person’s information if any of proposes to permit the marketing of the identifying information is modified these devices for up to eighteen months ■ 1. The authority citation of part 15 (e.g., updating the email address or after the effective date of any new rules. continues to read as follows: phone number). A white space database Additionally, the NPRM proposes to Authority: 47 U.S.C. 154, 302a, 303, 304, administrator would be allowed to permit fixed white space devices that do 307, 336, 544a, and 549. implement the confirmation not comply with any new rules adopted ■ 2. Section 15.711 is amended by requirement using a method of its in this proceeding to continue to operate revising paragraphs (b)(1) and (c)(1), choosing as long as that method obtains indefinitely. redesignating paragraph (c)(2) as (c)(5), a confirming response that (1) the party F. Federal Rules That May Duplicate, adding new paragraphs (c)(2) through addressed in the message is responsible (4), and revising newly redesignated for the operation of the subject fixed Overlap, or Conflict With the Proposed Rules paragraphs (c)(5)(ii) and (iv) to read as device, and (2) the email address and follows: telephone number for that party are 35. None. correct and appropriate to reach that § 15.711 Interference avoidance methods. party in a timely manner. 36. Paperwork Reduction Act * * * * * Analysis. This document contains (b) * * * E. Steps Taken To Minimize the proposed new information collection Significant Economic Impact on Small (1) Accuracy. Fixed and Mode II requirements. The Commission, as part white space devices shall determine Entities, and Significant Alternatives of its continuing effort to reduce Considered their location and their geo-location paperwork burdens, invites the general uncertainty (in meters), with a 33. The RFA requires an agency to public and the Office of Management confidence level of 95%. describe any significant, specifically and Budget (OMB) to comment on the * * * * * small business, alternatives that it has information collection requirements (c) * * * considered in reaching its proposed contained in this document, as required (1) The geographic coordinates of a approach, which may include the by the Paperwork Reduction Act of fixed white space device shall be following four alternatives (among 1995, Public Law 104–13. In addition, determined automatically by an others): ‘‘(1) the establishment of pursuant to the Small Business incorporated geo-location capability differing compliance or reporting Paperwork Relief Act of 2002, Public prior to its initial service transmission at requirements or timetables that take into Law 107–198, see 44 U.S.C. 3506(c)(4), a given location and each time the account the resources available to small we seek specific comment on how we device is activated from a power-off entities; (2) the clarification, might further reduce the information condition to determine the available consolidation, or simplification of collection burden for small business channels and the corresponding compliance and reporting requirements concerns with fewer than 25 employees. maximum permitted power for each under the rule for such small entities; available channel at its geographic (3) the use of performance rather than 11 5 U.S.C. 603(c)(1)–(c)(4). coordinates, taking into consideration design standards; and (4) an exemption 12 47 CFR 2.1043. the device’s geo-location uncertainty.

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The fixed white space device shall fixed white space device must only use DATES: Comments must be filed on or check its location once each day, except the channels that the database indicates before May 2, 2016, and reply comments when not in operation, and store this are available for it to use. on or before May 17, 2016. information automatically in the device. * * * * * ADDRESSES: Federal Communications (2) If the fixed white space device is ■ 3. Section 15.713 is amended by located where the incorporated geo- Commission, 445 12th Street SW., revising paragraph (g)(3)(iii) and adding Washington, DC 20554. In addition to location capability does not function, paragraph (g)(4) to read as follows: the fixed device may obtain its filing comments with the FCC, geographic coordinates from an external § 15.713 White Space Database. interested parties should serve the rule geo-location source that is connected to * * * * * making petitioner and the counter the fixed device using a secure method (g) * * * proponent as follows: Michael Myers, that ensures that the external geo- (3) * * * 111 SW. Cross Creek Dr., Grain Valley, location source has been approved for (iii) Device’s geographic coordinates Missouri 64029. that function by the Commission’s (latitude and longitude (NAD 83)) FOR FURTHER INFORMATION CONTACT: equipment certification program. including the location uncertainty, in Rolanda F. Smith, Media Bureau, (202) (3) The fixed white space device shall meters; 418–2700. transmit electronically its geographic * * * * * coordinates and antenna height above (4) The white space database that SUPPLEMENTARY INFORMATION: This is a ground to the white space database from receives a fixed white space device synopsis of the Commission’s Notice of which it obtains its list of available registration shall confirm the email Proposed Rule Making, MB Docket No. channels for operation at the time it address and telephone number of the 16–68, adopted March 10, 2016, and registers. The fixed white space device contact person responsible for the released March 11, 2016. The full text shall electronically transmit this operation of the fixed device. The of this Commission decision is available information to the white space database database shall not provide service to the for inspection and copying during on a daily basis when the device fixed device nor share the registration normal business hours in the FCC’s requests a list of the available channels information with other approved white Reference Information Center at Portals for operation. space databases until it receives a II, CY–A257, 445 12th Street SW., (4) If a fixed white space device is confirming response from the contact Washington, DC 20554. This document moved to another location or its stored person verifying their information. If the does not contain proposed information geographic coordinates become altered, registration record is modified to collection requirements subject to the the device shall re-establish its: identify a new contact person or to Paperwork Reduction Act of 1995, (i) Geographic coordinates; and provide a new email address or Public Law 104–13. In addition, (ii) Registration with the white space telephone number, the white space therefore, it does not contain any database based on the device’s new database shall verify the new proposed information collection burden coordinates and antenna height above information before continuing to ‘‘for small business concerns with fewer ground level. provide service to the fixed white space than 25 employees,’’ pursuant to the (5)(i) * * * device. Small Business Paperwork Relief Act of (ii) Operation is permitted only on * * * * * 2002, Public Law 107–198, see 44 U.S.C. channels and at power levels that are [FR Doc. 2016–05764 Filed 3–21–16; 8:45 am] 3506(c)(4). indicated in the white space database as BILLING CODE 6712–01–P Provisions of the Regulatory being available for each white space device. Operation on a channel must Flexibility Act of l980 do not apply to this proceeding. cease immediately or power must be FEDERAL COMMUNICATIONS reduced to a permissible level if the COMMISSION Members of the public should note database indicates that the channel is no that from the time a Notice of Proposed longer available at the current operating 47 CFR Part 73 Rule Making is issued until the matter level. is no longer subject to Commission * * * * * [DA 16–268; MB Docket No. 16–68; RM– consideration or court review, all ex (iv) Fixed white space devices 11762] parte contacts are prohibited in without a direct connection to the Commission proceedings, such as this Radio Broadcasting Services; one, which involve channel allotments. Internet: A fixed white space device Maryville, Missouri may not operate on channels provided See 47 CFR 1.1204(b) for rules by a white space database for another AGENCY: Federal Communications governing permissible ex parte contacts. fixed device. A fixed white space device Commission. For information regarding proper that has not yet been initialized and ACTION: Proposed rule. filing procedures for comments, see 47 registered with a white space database CFR 1.415 and 1.420. consistent with § 15.713 of this part, but SUMMARY: This document proposes to can receive the transmissions of another amend the FM Table of Allotments by List of Subjects in 47 CFR Part 73 fixed white space device, may transmit allotting Channel 285C3 at Maryville, Radio, Radio broadcasting. to that other fixed white space device on Missouri, as the community’s fourth either a channel that the other white local service. A staff engineering Federal Communications Commission. space device has transmitted on or on a analysis indicates that Channel 285C3 James D. Bradshaw, channel which the other white space can be allotted to Maryville consistent Deputy Chief, Audio Division, Media Bureau. device indicates is available for use to with the minimum distance separation access the database to register its requirements of the Commission’s rules For the reasons discussed in the location and receive a list of channels without a site restriction. The reference preamble, the Federal Communications that are available for it to use. coordinates are 40–22–33 NL and 94– Commission proposes to amend 47 CFR Subsequently, the newly registered 51–25 WL. part 73 as follows:

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PART 73—RADIO BROADCAST New Jersey Avenue SE., West Building, Submitting Comments SERVICES Ground Floor, Room W12–140, If you submit a comment, please Washington, DC 20590–0001. include the docket number for this ■ 1. The authority citation for part 73 • Hand Delivery or Courier: West notice (FMCSA–2016–0050), indicate continues to read as follows: Building, Ground Floor, Room W12– the specific section of this document to Authority: 47 U.S.C. 154, 303, 334, 336 and 140, 1200 New Jersey Avenue SE., which the comment applies, and 339. between 9 a.m. and 5 p.m., Monday provide a reason for suggestions or through Friday, except Federal holidays. § 73.202 [Amended] recommendations. You may submit • Fax: 1–202–493–2251. your comments and material online or ■ 2. Section 73.202(b), the Table of FM by fax, mail, or hand delivery, but Allotments under Missouri, is amended Instructions: All submissions must please use only one of these means. by adding Maryville, Channel 285C3. include the Agency name and docket number. For detailed instructions on FMCSA recommends that you include [FR Doc. 2016–06420 Filed 3–21–16; 8:45 am] submitting comments and additional your name and a mailing address, an BILLING CODE 6712–01–P information on the exemption process, email address, or a phone number in the see the Public Participation heading body of your document so the Agency below. Note that all comments received can contact you if it has questions DEPARTMENT OF TRANSPORTATION will be posted without change to regarding your submission. www.regulations.gov, including any To submit your comment online, go to Federal Motor Carrier Safety personal information provided. Please www.regulations.gov and put the docket Administration see the Privacy Act heading below. number, ‘‘FMCSA–2016–0050’’ in the [Docket No. FMCSA–2016–0050] Docket: For access to the docket to ‘‘Keyword’’ box, and click ‘‘Search.’’ read background documents or When the new screen appears, click on 49 CFR Parts 393 and 395 comments received, go to ‘‘Comment Now!’’ button and type your comment into the text box in the Hours of Service of Drivers; Parts and www.regulations.gov, and follow the online instructions for accessing the following screen. Choose whether you Accessories: ArcelorMittal Indiana are submitting your comment as an Harbor, LLC, Application for dockets, or go to the street address listed above. individual or on behalf of a third party Exemptions and then submit. If you submit your Privacy Act: In accordance with 5 comments by mail or hand delivery, AGENCY: Federal Motor Carrier Safety U.S.C. 553(c), DOT solicits comments submit them in an unbound format, no Administration (FMCSA), DOT. from the public to better inform its larger than 81⁄2 by 11 inches, suitable for ACTION: Notice of application for rulemaking process. DOT posts these copying and electronic filing. If you exemptions; request for comments. comments, without edit, including any submit comments by mail and would personal information the commenter SUMMARY: FMCSA announces that it has like to know that they reached the provides, to www.regulations.gov, as facility, please enclose a stamped, self- received an application from described in the system of records ArcelorMittal Indiana Harbor, LLC addressed postcard or envelope. FMCSA notice (DOT/ALL–14 FDMS), which can will consider all comments and material (ArcelorMittal) requesting exemptions be reviewed at www.dot.gov/privacy. for our regulations. The first exemption received during the comment period Public participation: The Federal request is for ArcelorMittal’s employee- and may grant or not grant this eRulemaking Portal is available 24 drivers with commercial driver’s application based on your comments. hours each day, 365 days each year. You licenses (CDLs) who transport steel coils can obtain electronic submission and Viewing Comments and Documents between their production and shipping retrieval help and guidelines under the To view comments, as well as locations on public roads. ArcelorMittal ‘‘help’’ section of the Federal documents mentioned in this preamble requests this exemption to allow its eRulemaking Portal Web site. If you as being available in the docket, go to employee-drivers to work up to 16 want us to notify you that we received www.regulations.gov and insert the hours per day and be allowed to return your comments, please include a self- docket number, ‘‘FMCSA–2016–0050’’ to work with less than the mandatory 10 addressed, stamped envelope or in the ‘‘Keyword’’ box and click consecutive hours off duty. postcard, or print the acknowledgement ‘‘Search.’’ Next, click ‘‘Open Docket ArcelorMittal also requests exemptions page that appears after submitting Folder’’ button and choose the in parts of our regulations for its coil comments online. document listed to review. If you do not carriers that do not meet all of the have access to the Internet, you may vehicle requirements in sections of our FOR FURTHER INFORMATION CONTACT: Ms. view the docket online by visiting the regulations. FMCSA requests public Pearlie Robinson, FMCSA Driver and Docket Management Facility in Room comment on ArcelorMittal’s application Carrier Operations Division; Office of W12–140 on the ground floor of the for exemptions. Carrier, Driver and Vehicle Safety Standards; Telephone: 202–366–4325. DOT West Building, 1200 New Jersey DATES: Comments must be received on Avenue SE., Washington, DC 20590, or before April 21, 2016. Email: [email protected]. If you have questions on viewing or submitting between 9 a.m. and 5 p.m., e.t., Monday ADDRESSES: You may submit comments material to the docket, contact Docket through Friday, except Federal holidays. identified by Federal Docket Services, telephone (202) 366–9826. Management System Number FMCSA– II. Legal Basis 2016–0050 by any of the following SUPPLEMENTARY INFORMATION: FMCSA has authority under 49 U.S.C. methods: 31136(e) and 31315 to grant exemptions • I. Public Participation and Request for Federal eRulemaking Portal: Comments from certain parts of the Federal Motor www.regulations.gov. Follow the online Carrier Safety Regulations. FMCSA must instructions for submitting comments. FMCSA encourages you to participate publish a notice of each exemption • Mail: Docket Management Facility, by submitting comments and related request in the Federal Register (49 CFR U.S. Department of Transportation, 1200 materials. 381.315(a)). The Agency must provide

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the public an opportunity to inspect the equipment and trailers are used to move would not work more than 16 hours per information relevant to the application, steel coils due to the size of the coils. shift, would receive 8 hours off duty including any safety analyses that have The tractors maximum speed is 30–35 between shifts, and would not be been conducted. The Agency must also miles per hour, but when moving a fully allowed to drive more than 10 percent provide an opportunity for public loaded trailer the maximum speed is 15 of their total work day. comment on the request. miles per hour. The Agency reviews safety analyses Trailer beds are configured in such a ArcelorMittal also requests and public comments submitted, and way as create a cradle to hold the steel exemptions for its coil carriers from determines whether granting the coils in place on the bed of the trailer. certain sections in 49 CFR part 393 as exemption would likely achieve a level The trailers have a bed height of 68 follows: The heavy hauler trailer of safety equivalent to, or greater than, inches, and bed width of 114 inches. definition in § 393.5; the height of rear the level that would be achieved by the The trailers maximum height is 14 feet. side marker lights in § 393.11 Table 1— current regulation (49 CFR 381.305). The tractors and trailer in Footnote 4; the tire loading restrictions The decision of the Agency must be combination unloaded have a gross in § 393.75(f); and the coil securement published in the Federal Register (49 combination weight of 77,000 pounds. requirements in § 393.120. As CFR 381.315(b)) with the reasons for When fully loaded the gross previously noted, the vehicles used to denying or granting the application and, combination vehicle weight is 263,171 transport steel coils have many of the if granted, the name of the person or pounds. Additionally, the trailers have same features of a typical tractor and class of persons receiving the off-road tires. These types of tires are trailer, but do not meet all of the parts exemption, and the regulatory provision necessary to operate both inside and and accessories requirements in 49 CFR from which the exemption is granted. outside the plant safely, given the type part 393. of roadway surface inside the plant area The notice must also specify the According to ArcelorMittal, its effective period and explain the terms and the weight of the loads. These equipment was designed for in-facility and conditions of the exemption. The vehicles have many of the same features use and very limited road use. Public exemption may be renewed (49 CFR of a typical tractor and trailer, but do 381.300(b)). not meet all of the parts and accessories roadways are crossed due to operational requirements in 49 CFR part 393. necessity. ArcelorMittal advises that III. Request for Exemption When employee-drivers move these they have never had an issue at the Under 49 CFR 395.3(a)(2), a property- vehicles, they are fully marked as an crossings mentioned with their carrying commercial motor vehicle ‘‘oversize load’’ and have flags on the equipment or drivers. The coils are (CMV) driver is prohibited from front of the tractor. The driving of these well-secured in the vehicles with the operating a CMV after having been on vehicles amounts to 10 percent of the cradle design of their trailers. The time duty for 14 consecutive hours following employee-drivers total work day. it would take to secure the coils per the 10 or more consecutive hours off duty. ArcelorMittal contends that none of regulations would be longer than the Once an individual has reached the end these employee-drivers work more than transit time it takes to move the coils of this 14 consecutive-hour period, he or 16 hours per day and advises that a 16- from part of the plant to another. she cannot drive a CMV again without hour work day is the exception, not the ArcelorMittal asserts that it has taken taking a minimum of 10 consecutive rule. additional precautions to make sure the hours off duty. According to ArcelorMittal, the ArcelorMittal (USDOT 1098829) current hours-of-service (HOS) public roadway crossings are at the operates a steel plant that is located in regulations create problems for shortest points and only at controlled East Chicago, Indiana, its principal employee-drivers as these employees intersections. ArcelorMittal ensures all place of business. The plant currently typically work an 8-hour shift plus lights are properly working on both the encompasses an area which has several overtime while employees in the tractor and trailer. They also flag and public roadways that run through its production and shipping areas work 12- mark the vehicles as ‘‘oversize’’ loads. present location. Steel coils produced in hour shifts. Employee-drivers must go Trailers have conspicuity tape down the one portion of the plant require driver- home under the current arrangement entire side to make them more visible to employees to travel on public roadways leaving a 4-hour gap between other traffic. ArcelorMittal believes that at two points to move the coils to production and the driver’s schedule, the additional precautions ensure a another portion of the plant for further creating a possible shortage of coils for level of safety that is equivalent to or processing or for shipment to customers. shipping or processing. ArcelorMittal exceeds the level of safety achieved by Both points are controlled intersections, asserts that the limited amount of following the regulations. having either traffic lights or a employees used to drive the CMVs make ArcelorMittal acknowledges in its combination of traffic lights and signs in it difficult to schedule when the application that these drivers would the area, where the vehicles cross. The vehicles move. ArcelorMittal anticipates still be subject to all of the other first public road the CMVs cross is Riley only 3 of the 24 crossings at each noted applicable Federal regulations. This Road. The crossing is controlled by a intersection would occur after the 14th includes qualification of drivers, traffic signal in both directions. The hour on-duty. controlled substance and alcohol testing ArcelorMittal requests an exemption distance traveled at this crossing is 80 and inspection, and maintenance and from 49 CFR part 395 for its employee- feet in length. The average number of repair of vehicles. crossings at this intersection is 24 per drivers. Under a waiver of the HOS day. The second crossing is at Dickey regulations, employee-drivers would be Included in ArcelorMittal’s Road and 129th Street. The distance able to follow the same schedule as the application are illustrations of the traveled at this crossing is .2 miles. The employees in the production and plant’s location, public roads crossed, trucks cross 129th Street 24 times per shipping areas. ArcelorMittal could then and pictures of the tractors and trailers day. minimize the chances of possible used to transport the steel coils. A copy All employee-drivers are required to shortages of coils for shipping or of ArcelorMittal’s application for the hold CDLs and adhere to the regulations processing. ArcelorMittal advises that it exemptions is available for review in the that apply to CMV drivers. Specialized would ensure all employee-drivers docket for this notice.

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Issued on: March 16, 2016. Larry W. Minor, Associate Administrator for Policy. [FR Doc. 2016–06391 Filed 3–21–16; 8:45 am] BILLING CODE 4910–EX–P

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Notices Federal Register Vol. 81, No. 55

Tuesday, March 22, 2016

This section of the FEDERAL REGISTER between 8 a.m. and 8 p.m., Eastern composition and structure of the contains documents other than rules or Time, Monday through Friday. vegetation in the project area. proposed rules that are applicable to the SUPPLEMENTARY INFORMATION: public. Notices of hearings and investigations, Current conditions include high fire committee meetings, agency decisions and Purpose and Need for Action hazard and risk. The absence of wildfire rulings, delegations of authority, filing of has resulted in uncharacteristically petitions and applications and agency The Lower McCloud Fuels dense vegetation and high fuel loading, statements of organization and functions are Management Project is located within a decline in wildlife forage and habitat examples of documents appearing in this the McCloud River basin, an area that is diversity, and an elevated risk of high- section. considered to contain outstandingly severity, stand-replacing fires within the remarkable fisheries, geology, scenery, LSR. These conditions have created a wildlife, and cultural and historic concern over potential fire behavior on DEPARTMENT OF AGRICULTURE values. All lands within the project area public and private lands, threats to are National Forest System Lands Forest Service forest resources, and potential impacts managed by the U.S. Forest Service, to air quality. however, there are private properties Shasta-Trinity National Forest; located within the Lower McCloud Without the influence of fire under California; Lower McCloud Fuels watershed. Private ownership activities well-defined conditions to restore and Management Project and designations include a nature maintain vegetation diversity, many stands are likely to continue to AGENCY: Forest Service, USDA. preserve, a fishing club, a utility company, timber companies, and a accumulate abundant fuels and ACTION: Notice of intent to prepare an vegetation, and are subsequently more environmental impact statement. ranching operation. The project area is located partly within the West Girard likely to succumb to stand replacing fire that will reduce or eliminate late- SUMMARY: With the Lower McCloud inventoried roadless area (IRA), and successional conditions. Other stands Fuels Management Project (project), the almost completely within the Iron are likely to continue to lose their Shasta-Trinity National Forest (Forest) Canyon Late-Successional Reserve structural and compositional diversity, is proposing to create fuel management (LSR). important attributes of late-successional zones (FMZs), burn using prescribed The Iron Canyon LSR, is centrally stands. As fire hazard and fire behavior fire, and remove designated hazard located within the network of LSRs in potential increase, periods of poor air trees. The project area covers 12,071 the Shasta-McCloud subprovince, and quality during wildfires are more likely acres on National Forest System lands. contains some of the largest blocks of to occur, soil erosion processes may A combination of treatments would be contiguous habitat in the network. This accelerate, soil productivity may used across the project area, resulting in places a high level of importance on the decrease, water quality may be some acres being treated with multiple protection and enhancement of the degraded, habitat for terrestrial and prescriptions to achieve stated current and future habitat within the aquatic wildlife species will diminish, objectives. area. The Iron Canyon LSR was identified within a Forest-wide Late and recreation opportunities will be DATES: Comments concerning this scope Successional Reserve Assessment as an negatively impacted. of the analysis must be received by area of elevated risk to large-scale Many of these concerns have been April 21, 2016. The draft environmental disturbance due to changes in the validated by relatively recent wildfires impact statement is expected in characteristics and distribution of the (e.g. the 2012 Bagley Complex and Ward December 2016 and the final mixed-conifer forests resulting from past fire, the 2009 Tennant fire; the 2007 environmental impact statement is fire suppression. High severity, high Bolli fire; the 2005 Bagley fire; the 1999 expected in June 2017. intensity wildfire was identified as the High Complex and others) near the ADDRESSES: Send written comments to greatest threat to further loss and project area. These fires were outside of Carolyn Napper, District Ranger, Shasta- degradation of habitat for late- the historic fire return interval, had high McCloud Management Unit, 204 W. successional associated species within fuel loading, and, due to weather Alma St., Mt. Shasta, California 96067, the network of LSRs. conditions, burned under extreme fire Attn: Heather McRae. Comments may Fire is the most widespread and conditions. The uncharacteristic fuel also be sent via email to: comments- dynamic disturbance regime affecting accumulation and weather conditions pacificsw-shasta-trinity-mtshasta- the project area. The historic fire regime combined with poor access for [email protected], or via facsimile to in the Lower McCloud project area was firefighting forces, rugged terrain, and (530) 926–5120. characterized by frequent fires of low to many other factors contributed to FOR FURTHER INFORMATION CONTACT: mixed severity. However, the Lower extreme fire behavior in most of these Heather McRae, Fuels Specialist, at McCloud project area has not recent fires. During several of these (530) 964–3770 or [email protected], or experienced a large scale fire in over fires, multiple structures were lost and Andrea Shortsleeve, Interdisciplinary 100 years and has departed from air quality standards exceeded the Team Leader at (208) 373–4386 or historic fire return intervals. As a result, California Air Resource Board [email protected]. there is a significant departure in the thresholds. Additionally, areas that Individuals who use current vegetative conditions from experienced high burn severity also telecommunication devices for the deaf historic conditions in the project area. experienced soil erosion, wildlife (TDD) may call the Federal Information Past forest practices, including active habitat loss, and degraded visual Relay Service (FIRS) at 1–800–877–8339 fire suppression, have changed the quality.

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The purpose of this project is to • There is a need to enhance riparian would be reduced, increasing the reduce the risk of a stand-replacing fire habitat by reducing risk of loss from fire. potential of fire being contained at the in the LSR, improve firefighter and • There is a need to reduce stand FMZ. The density of the stand would be public safety by providing safe access in densities in the project area to improve less that the current condition, with and out of the project area, and to the resiliency of stands to a disturbance fewer trees per acre and the larger, more restore fire in its natural role in the such as a wildfire. fire-resistant trees retained in the stand. ecosystem. In order to meet the purpose • There is a need to create a Commercial products may be of this project, there is a need to reduce vegetation profile with high spatial removed from the fuelbreaks, primarily fuels, improve safety of individuals, and complexity to mimic historically to reduce residual fuels and to meet the improve forest ecosystem function and characteristic fire patterns. intent of applicable management • health within the project boundary. The There is a need for the natural role direction and desired future condition. following specific needs have been of fire to be restored to the ecosystem to The cutting, sale, or removal of timber identified by the interdisciplinary team: facilitate fire-related processes in the from the fuelbreaks may be needed to landscape. reduce the risk of uncharacteristic 1. Reduction of Fuels • There is a need to maintain the wildfire effects and to maintain the • There is a need to reduce fuel characteristics of ecosystem ecosystem’s composition and structure accumulations in the project area to composition and structure within the within the range of variability that minimize current fuel loading and IRA, by reducing the risk of would be expected to occur under lessen the threat of habitat loss from uncharacteristic wildfire effects within natural disturbance regimes of the future wildland fires. the range of variability that would be current climatic period, which is • There is a need to protect existing expected to occur under natural allowed under the 2001 Roadless Rule. late successional habitat from threats of disturbance regimes of the current Commercial products may include habitat loss that occur inside and climatic period. biomass, firewood, or timber. The outside of the LSR. Proposed Action/Preferred Alternative amount of residual fuel generated in the • There is a need to reduce the treatment of the FMZ will determine if likelihood of stand replacing The project area is approximately the removal of fuel from the site would disturbances that would result in the 12,071 acres in total, and the proposed occur. If treated areas have high levels loss of key late-successional structure or action involves a total of 13,153 acres of of activity generated, residual fuel that existing and future late-successional treatments, with areas of overlapping would render the fuelbreak ineffective, forest. treatment. There would be no the fuel would be removed from the site • There is a need for the natural role treatments occurring outside of the by whichever method is most of fire to be restored to the ecosystem at project area. The treatments would practicable. Hazard trees identified historic fire return intervals to facilitate occur over approximately 7–10 years. within the FMZs, roads, and developed fire-related processes on this landscape. The proposed action would utilize the recreation sites that pose a threat to existing road system and does not employees and the public would be 2. Improvement of Safety of Individuals propose new road construction. felled where determined necessary. • There is a need to provide areas and Approximately 1,630 acres are Hazard tree felling would follow Hazard access to areas where firefighters can proposed for treatment as fuel Tree Guidelines for Forest Service safely employ suppression tactics to management zones (FMZ). Fuel Facilities and Roads within the Pacific reduce the spread and severity of Management Zones would reduce Southwest Region. uncharacteristic wildland fire. overstory, midstory, and understory Approximately 11,523 acres are • There is a need to remove hazard fuels, including live vegetation, and are proposed for treatment with prescribed trees in FMZs, along roads, and in intended to create shaded fuel breaks fire. Low to moderate intensity developed recreation sites to reduce designed to reduce potential fire prescribed fire would be applied using safety risk to humans working in and behavior in the treated area. Fuel and underburn to consume surface and visiting the area. management zones would be ladder fuels in proposed areas. Multiple • There is a need to provide for the constructed along roads and ridge tops prescribed fire entries may be required safety of individuals along access routes in order to improve those locations’ to meet desired future conditions and and within developed recreation sites. functionality as evacuation routes and could be implemented at any time of the fuel breaks. Fuel Management Zones year within designated operating 3. Improvement of Forest Ecosystem will range from 300 feet to 600 feet wide periods. Prescribed fire lighting Function and Health depending upon treatment location, and techniques would consist of aerial • There is a need to increase habitat would be treated with a variety of ignition (i.e., plastic sphere dispenser or quality within the project area to methods, based on site specific helitorch) and hand lighting methods. provide for a range of species, including conditions. These methods would Natural and man-made features, such as rare and sensitive species and those that include thinning by hand and machine, roads and trails, would be utilized for are associated with late successional mastication by machine, machine control lines to minimize ground stages. piling, hand piling, and pile burning. disturbance where feasible. Fire lines • There is a need to maintain and After treatment, the fuel management would be constructed to mineral soil promote the connectivity of late zones (FMZs) in the project area would using a dozer and hand tools where successional habitat. reduce the current risk of large, stand- natural barriers do not exist, and trees • There is a need to promote long replacing fires and enhance the usability may be felled to facilitate holding term sustainability of late-successional of roads and ridges in the project area activities during prescribed fire habitat by mitigating undesirable fire for wildland fire management. implementation. Approximately 0.21 effects. Overstory trees would be thinned to miles of hand line and 1.9 miles of • There is a need to promote the reduce crown-to-crown overlap. The dozer line are part of the proposed development and long term average height from the ground to the action. The dozer line would be created sustainability of late successional canopy would increase. Understory by both constructing new fire line and habitat characteristics within the LSR. trees, shrubs, and heavy ground fuels scraping vegetation off of old roadbeds.

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The hand line would use pre-existing proposed action. Comments submitted and hereby adopted by this notice.2 A line that was constructed during the anonymously will be accepted and list of topics included in the Bagley fire. Target prescribed fire considered, however. Preliminary Decision Memorandum is objectives following treatment are: Dated: March 2, 2016. included as Appendix II to this notice. • Desired flame lengths in these Dave Myers, The Preliminary Decision Memorandum treatment areas vary from 0–6 feet is a public document and is on file Forest Supervisor. according to resource objectives. electronically via Enforcement and • Large diameter dead/down material [FR Doc. 2016–06388 Filed 3–21–16; 8:45 am] Compliance’s Antidumping and would be retained to historical levels— BILLING CODE 3411–15–P Countervailing Duty Centralized where appropriate—to support soil, Electronic Service System (‘‘ACCESS’’). fungal, plant, and animal functionality. ACCESS is available to registered users • Up to 70% of the fuels less than 3 DEPARTMENT OF COMMERCE at https://access.trade.gov, and to all inches in diameter would be consumed parties in the Central Records Unit, while retaining a minimum of 50% soil International Trade Administration room B8024 of the main Department of cover. Commerce building. In addition, a • Ladder fuels would be reduced in [A–588–874] complete version of the Preliminary an effort to increase canopy base height Decision Memorandum can be found at to 10 feet or greater. Certain Hot-Rolled Steel Flat Products http://enforcement.trade.gov/frn/. The • In shrub dominated areas, a mosaic from Japan: Preliminary Determination signed Preliminary Decision of age classes and diversity of species of Sales at Less Than Fair Value and Memorandum and the electronic composition would be created. Postponement of Final Determination version of the Preliminary Decision Responsible Official AGENCY: Enforcement and Compliance, Memorandum are identical in content. International Trade Administration, Forest Supervisor, Shasta-Trinity Scope of the Investigation Department of Commerce. National Forest. SUMMARY: The Department of Commerce The product covered by this Nature of Decision To Be Made (the ‘‘Department’’) preliminarily investigation is certain hot-rolled steel flat products from Japan. For a full The Forest Supervisor will decide determines that certain hot-rolled steel description of the scope of this whether to implement the proposed flat products (‘‘hot-rolled steel’’) from investigation, see the ‘‘Scope of the action/preferred alternative, take an Japan are being, or are likely to be, sold Investigation,’’ in Appendix I. alternative action that meets the in the United States at less than fair purpose and need, or take no action. value (‘‘LTFV’’), as provided in section Scope Comments 733(b) of the Tariff Act of 1930, as Preliminary Issues In accordance with the preamble to amended (‘‘the Act’’). The period of 3 Potentitial issues could be related to investigation (‘‘POI’’) is July 1, 2014, the Department’s regulations, the threatened and endangered species through June 30, 2015. The estimated Initiation Notice set aside a period of habitat, treatments within LSR and IRA, time for parties to raise issues regarding weighted-average dumping margins of 4 and the private property surrounding sales at LTFV are shown in the product coverage (i.e., ‘‘scope’’). the project area. Access to the project ‘‘Preliminary Determination’’ section of Certain interested parties commented on site and proposed treatments may be an this notice. Interested parties are invited the scope of the investigation as it issue due to the amount of private to comment on this preliminary appeared in the Initiation Notice. For a property located within and determination. summary of the product coverage surrounding the project area. Potential comments and rebuttal responses DATES: Effective Date: March 22, 2016. issues will be addressed within the submitted to the record for this project design. FOR FURTHER INFORMATION CONTACT: Jun preliminary determination, and Jack Zhao or Myrna Lobo, AD/CVD accompanying discussion and analysis Scoping Process Operations, Office VII, Enforcement and of all comments timely received, see the This notice of intent initiates the Compliance, International Trade Preliminary Scope Decision scoping process, which guides the Administration, U.S. Department of Memorandum.5 The Department is development of the environmental Commerce, 14th Street and Constitution preliminarily not modifying the scope impact statement. The scoping Avenue NW., Washington, DC 20230; information and Notice for Public telephone: (202) 482–1396 or (202) 482– 2 See Memorandum from Christian Marsh, Deputy comment will be published in the Mt. 2371, respectively. Assistant Secretary for Antidumping and Countervailing Duty Operations, to Paul Piquado, Shasta Herald and the Redding Record SUPPLEMENTARY INFORMATION: Assistant Secretary for Enforcement and Searchlight. Background Compliance, ‘‘Decision Memorandum for the It is important that reviewers provide Preliminary Determination in the Antidumping their comments at such times and in The Department published the notice Duty Investigation of Certain Hot-Rolled Steel Flat Products from Japan’’ (‘‘Preliminary Decision such manner that they are useful to the of initiation of this investigation on Memorandum’’), dated concurrently with this 1 agency’s preparation of the September 9, 2015. For a complete notice. environmental impact statement. description of the events that followed 3 See Antidumping Duties; Countervailing Duties, Therefore, comments should be the initiation of this investigation, see 62 FR 27296, 27323 (May 19, 1997). provided prior to the close of the the memorandum that is dated 4 See Initiation Notice, 80 FR at 54261. concurrently with this determination 5 See Memorandum to Christian Marsh, Deputy comment period and should clearly Assistant Secretary for Antidumping and articulate the reviewer’s concerns and Countervailing Duty Operations, ‘‘Certain Hot- contentions. 1 See Certain Hot-Rolled Steel Flat Products from Rolled Steel Flat Products from Australia, Brazil, Comments received in response to Australia, Brazil, Japan, the Republic of Korea, the Japan, the Republic of Korea, the Netherlands, the Netherlands, the Republic of Turkey, and the Republic of Turkey, and the United Kingdom: this solicitation, including names and United Kingdom: Initiation of Less-Than-Fair-Value Scope Comments Decision Memorandum for the addresses of those who comment, will Investigations, 80 FR 54261 (September 9, 2015) Preliminary Determinations,’’ dated concurrently be part of the public record for this (‘‘Initiation Notice’’). with this preliminary determination.

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language as it appeared in the Initiation a single entity for the purposes of this Weighted- Notice. preliminary determination.9 average Exporter/manufacturer dumping Postponement of Deadline for All-Others Rate margin Preliminary Determination Consistent with sections (percent) The Department published the notice 733(d)(1)(A)(ii) and 735(c)(5) of the Act, Nippon Steel & Sumitomo Metal of postponement of preliminary the Department also calculated an Corporation/Nippon Steel & determination of this investigation on estimated all-others rate. Section Sumikin Bussan Corporation11 11.29 November 25, 2015.6 Pursuant to 735(c)(5)(A) of the Act provides that the JFE Steel Corporation/JFE Shoji 12 sections 733(c)(1)(B)(i) and (ii) of the estimated all-others rate shall be an Trade Corporation ...... 6.79 Act, we postponed the preliminary amount equal to the weighted average of All Others ...... 10.24 determination by 50 days.7 As a result the estimated weighted-average of the postponement, the revised dumping margins established for Suspension of Liquidation deadline for the preliminary exporters and producers individually In accordance with section 733(d)(2) determination of this investigation was investigated, excluding any zero and de of the Act, we are directing U.S. March 8, 2016. However, as explained minimis margins, and any margins Customs and Border Protection (‘‘CBP’’) in the memorandum from the Acting determined entirely under section 776 to suspend liquidation of all entries of Assistant Secretary for Enforcement and of the Act. Where the rates for hot-rolled steel from Japan, as described Compliance, the Department has investigated companies are zero or de in the Scope of the Investigation in exercised its discretion to toll all minimis, or based entirely on facts Appendix I, entered, or withdrawn from administrative deadlines due to the otherwise available, section warehouse, for consumption on or after recent closure of the Federal 705(c)(5)(A)(ii) of the Act instructs the the date of publication of this notice in Government. All deadlines in this Department to establish an ‘‘all others’’ the Federal Register. Section 733(e)(2) investigation have been extended by rate using ‘‘any reasonable method.’’ of the Act provides that, given an four business days.8 The revised In this investigation, we calculated affirmative determination of critical deadline for the preliminary weighted-average dumping margins for circumstances, any suspension of determination of this investigation is the JFE Group and the Nippon Group, liquidation shall apply to unliquidated now March 14, 2016. that are above de minimis and which are entries of merchandise entered, or not based on total facts available. We Methodology withdrawn from warehouse, for preliminarily calculated the all-others consumption on or after the later of (a) The Department is conducting this rate using weighted-average of the the date which is 90 days before the investigation in accordance with section dumping margins calculated for the date on which the suspension of 731 of the Act. Export prices (EP) have mandatory respondents using each liquidation was first ordered, or (b) the been calculated in accordance with company’s publicly-ranged values for date on which notice of initiation of the 10 section 772(a) of the Act. Constructed the merchandise under consideration. investigation was published. Because export prices (CEP) have been Preliminary Determination we have preliminarily found that calculated in accordance with section The Department preliminarily critical circumstances exist with regard 772(b) of the Act. Normal value (NV) is determines that the following weighted- to imports produced and exported by calculated in accordance with section average dumping margins exist: the mandatory respondents the JFE 773 of the Act. For a full description of Group and the Nippon Group,13 we will the methodology underlying our 9 See ‘‘Single Entity Analysis’’ section of the instruct CBP to suspend liquidation of preliminary conclusions, see the Preliminary Decision Memorandum. all entries of hot-rolled steel flat Preliminary Decision Memorandum. 10 With two respondents, we normally calculate products from Japan, as described in the (A) a weighted-average of the dumping margins Single Entity Treatment scope of the investigation, from the calculated for the mandatory respondents; (B) a mandatory respondents that are entered, simple average of the dumping margins calculated For the reasons set forth in the for the mandatory respondents; and (C) a weighted- or withdrawn from warehouse, for Preliminary Decision Memorandum and average of the dumping margins calculated for the consumption on or after the date that is in accordance with 19 CFR 351.401(f) mandatory respondents using each company’s 90 days prior to the date on which and the Department’s practice, we are publicly-ranged values for the merchandise under suspension of liquidation is first consideration. We would compare (B) and (C) to (A) treating Nippon Steel & Sumitomo and select the rate closest to (A) as the most ordered (e.g., the date of publication of Metal Corporation and Nippon Steel & appropriate rate for all other companies. See Ball this notice). Sumikin Bussan Corporation (Nippon Bearings and Parts Thereof From France, Germany, In accordance with 19 CFR Group) as a single entity for the Italy, Japan, and the United Kingdom: Final Results 351.205(d), the Department will instruct of Antidumping Duty Administrative Reviews, Final purposes of this preliminary Results of Changed-Circumstances Review, and CBP to require a cash deposit equal to determination. Additionally, we are Revocation of an Order in Part, 75 FR 53661, 53663 the preliminary weighted-average treating JFE Steel Corporation and JFE (September 1, 2010). See Memorandum to the File, amount by which normal value exceeds Shoji Trade Corporation (JFE Group) as ‘‘Hot-Rolled Steel Flat Products from Japan: U.S. price, as indicated in the chart Calculation of the Margin for All Others Rate for the 14 Preliminary Determination,’’ dated March 14, 2016. above. These suspension of 6 See Certain Hot-Rolled Steel Flat Products from 11 In this investigation, the Department found that Australia, Brazil, Japan, the Republic of Korea, the Nippon Steel & Sumitomo Metal Corporation/ 13 See Antidumping Duty Investigations of Certain Netherlands, the Republic of Turkey, and the Nippon Steel & Sumikin Bussan Corporation are a Hot-Rolled Steel Flat Products From Australia, United Kingdom: Postponement of Preliminary single entity. See ‘‘Methodology’’ section above; see Brazil, Japan, and the Netherlands and Determinations of Antidumping Duty also the ‘‘Single Entity Analysis’’ section of the Countervailing Duty Investigation of Certain Hot- Investigations, 80 FR 73702 (November 25, 2015). Preliminary Decision Memorandum. Rolled Steel Flat Products From Brazil: Preliminary 7 Id. 12 In this investigation, the Department found that Determinations of Critical Circumstances, 80 FR 8 See Memorandum to the Record from Ron JFE Steel Corporation and JFE Shoji Trade 76444 (December 9, 2015). Lorentzen, Acting A/S for Enforcement and Corporation are a single entity. See ‘‘Single Entity 14 See Modification of Regulations Regarding the Compliance, regarding ‘‘Tolling of Administrative Treatment’’ section above; see also the ‘‘Single Practice of Accepting Bonds During the Provisional Deadlines As a Result of the Government Closure Entity Analysis’’ section of the Preliminary Measures Period in Antidumping and During Snowstorm Jonas,’’ dated January 27, 2016. Decision Memorandum. Continued

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liquidation instructions will remain in Postponement of Final Determination This determination is issued and effect until further notice. and Extension of Provisional Measures published in accordance with sections 733(f) and 777(i)(1) of the Act and 19 Section 735(a)(2) of the Act provides Disclosure CFR 351.205(c). that a final determination may be We will disclose the calculations postponed until not later than 135 days Dated: March 14, 2016. performed to interested parties in this after the date of the publication of the Paul Piquado, proceeding within five days of the date preliminary determination if, in the Assistant Secretary for Enforcement and of announcement of this preliminary event of an affirmative preliminary Compliance. determination in accordance with 19 determination, a request for such Appendix I CFR 351.224(b). postponement is made by exporters who The products covered by this investigation Verification account for a significant proportion of exports of the subject merchandise, or in are certain hot-rolled, flat-rolled steel products, with or without patterns in relief, As provided in section 782(i) of the the event of a negative preliminary and whether or not annealed, painted, Act, we intend to verify information determination, a request for such varnished, or coated with plastics or other relied upon in making our final postponement is made by Petitioners. 19 non-metallic substances. The products determination. CFR 351.210(e)(2) requires that requests covered do not include those that are clad, by respondents for postponement of a plated, or coated with metal. The products Public Comment final antidumping determination be covered include coils that have a width or accompanied by a request for extension other lateral measurement (‘‘width’’) of 12.7 Interested parties are invited to of provisional measures from a four- mm or greater, regardless of thickness, and comment on this preliminary regardless of form of coil (e.g., in month period to a period not more than determination. Case briefs or other successively superimposed layers, spirally six months in duration. written comments may be submitted to oscillating, etc.). The products covered also the Assistant Secretary for Enforcement On March 10, 2016, pursuant to 19 include products not in coils (e.g., in straight CFR 351.210(b)(2)(ii) and 19 CFR lengths) of a thickness of less than 4.75 mm and Compliance no later than seven and a width that is 12.7 mm or greater and days after the date on which the final 351.210(e)(2), the JFE Group requested that, contingent upon an affirmative that measures at least 10 times the thickness. verification report is issued in this The products described above may be proceeding, and rebuttal briefs, limited preliminary determination of sales at rectangular, square, circular, or other shape to issues raised in case briefs, may be LTFV, the Department postpone the and include products of either rectangular or submitted no later than five days after final determination and that provisional non-rectangular cross-section where such the deadline date for case briefs.15 measures be extended to a period not to cross-section is achieve subsequent to the exceed six months.17 rolling process, i.e., products which have Pursuant to 19 CFR 351.309(c)(2) and been ‘‘worked after rolling’’ (e.g., products (d)(2), parties who submit case briefs or In accordance with section 735(a)(2)(A) of the Act and 19 CFR which have been beveled or rounded at the rebuttal briefs in this proceeding are edges). For purposes of the width and encouraged to submit with each 351.210(b)(2)(ii), because (1) our thickness requirements referenced above: argument: (1) A statement of the issue; preliminary determination is (1) where the nominal and actual (2) a brief summary of the argument; affirmative; (2) the exporter accounts for measurements vary, a product is within the and (3) a table of authorities. a significant proportion of exports of the scope if application of either the nominal or subject merchandise; and (3) no actual measurement would place it within Pursuant to 19 CFR 351.310(c), compelling reasons for denial exist, we the scope based on the definitions set forth interested parties who wish to request a are postponing the final determination above unless the resulting measurement hearing must submit a written request to and extending the provisional measures makes the product covered by the existing the Assistant Secretary for Enforcement antidumping 19 or countervailing duty 20 from a four-month period to a period orders on Certain Cut-To-Length Carbon- and Compliance, U.S. Department of not greater than six months. Commerce. All documents must be filed Quality Steel Plate Products From the Accordingly, we will make our final Republic of Korea (A–580–836; C–580–837), electronically using ACCESS. An determination no later than 135 days and electronically-filed request must be after the date of publication of this (2) where the width and thickness vary for received successfully in its entirety by preliminary determination, pursuant to a specific product (e.g., the thickness of ACCESS by 5:00 p.m. Eastern Time, section 735(a)(2) of the Act.18 certain products with non-rectangular cross- within 30 days after the date of section, the width of certain products with publication of this notice.16 Requests International Trade Commission non-rectangular shape, etc.), the should contain the party’s name, (‘‘ITC’’) Notification measurement at its greatest width or address, and telephone number, the thickness applies. In accordance with section 733(f) of Steel products included in the scope of this number of participants, and a list of the the Act, we are notifying the ITC of our investigation are products in which: (1) iron issues to be discussed. If a request for affirmative preliminary determination of predominates, by weight, over each of the a hearing is made, the Department sales at LTFV. If our final determination other contained elements; (2) the carbon intends to hold the hearing at the U.S. is affirmative, the ITC will determine content is 2 percent or less, by weight; and Department of Commerce, 14th Street before the later of 120 days after the date and Constitution Avenue NW., of this preliminary determination or 45 19 Notice of Amendment of Final Determinations Washington, DC 20230, at a time and of Sales at Less Than Fair Value and Antidumping days after our final determination Duty Orders: Certain Cut-To-Length Carbon-Quality date to be determined. Parties should whether these imports are materially Steel Plate Products From France, India, Indonesia, confirm by telephone the date, time, and injuring, or threaten material injury to, Italy, Japan and the Republic of Korea, 65 FR 6585 location of the hearing two days before the U.S. industry. (February 10, 2000). the scheduled date. 20 Notice of Amended Final Determinations: Certain Cut-to-Length Carbon-Quality Steel Plate 17 See Letter to the Secretary of Commerce from From India and the Republic of Korea; and Notice Countervailing Duty Investigations, 76 FR 61042 JFE regarding, ‘‘Certain Hot-Rolled Steel Flat of Countervailing Duty Orders: Certain Cut-To- (October 3, 2011). Products from Japan: Revised Request to Postpone Length Carbon-Quality Steel Plate From France, 15 See 19 CFR 351.309. Final Determination’’ (March 10, 2016). India, Indonesia, Italy, and the Republic of Korea, 16 See 19 CFR 351.310(c). 18 See also 19 CFR 351.210(e). 65 FR 6587 (February 10, 2000).

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(3) none of the elements listed below exceeds • Ball bearing steels; 22 V. Preliminary Determination of Critical the quantity, by weight, respectively • Tool steels; 23 and Circumstances indicated: • Silico-manganese steels; 24 VI. Scope of the Investigation • 2.50 percent of manganese, or The products subject to this investigation VII. Scope Comments • 3.30 percent of silicon, or are currently classified in the Harmonized VIII. Single Entity Analysis • 1.50 percent of copper, or Tariff Schedule of the United States (HTSUS) IX. Discussion of The Methodology • 1.50 percent of aluminum, or under item numbers: 7208.10.1500, X. Facts Available and Adverse Facts • 7208.10.3000, 7208.10.6000, 7208.25.3000, 1.25 percent of chromium, or Available • 0.30 percent of cobalt, or 7208.25.6000, 7208.26.0030, 7208.26.0060, • 7208.27.0030, 7208.27.0060, 7208.36.0030, XI. Date Of Sale 0.40 percent of lead, or XII. Product Comparisons • 2.00 percent of nickel, or 7208.36.0060, 7208.37.0030, 7208.37.0060, • 7208.38.0015, 7208.38.0030, 7208.38.0090, XIII. Export Price And Constructed 0.30 percent of tungsten, or Export Price • 0.80 percent of molybdenum, or 7208.39.0015, 7208.39.0030, 7208.39.0090, • 7208.40.6030, 7208.40.6060, 7208.53.0000, XIV. Normal Value 0.10 percent of niobium, or XV. Currency Conversion • 0.30 percent of vanadium, or 7208.54.0000, 7208.90.0000, 7210.70.3000, • 0.30 percent of zirconium. 7211.14.0030, 7211.14.0090, 7211.19.1500, XVI. Conclusion 7211.19.2000, 7211.19.3000, 7211.19.4500, Unless specifically excluded, products are [FR Doc. 2016–06486 Filed 3–21–16; 8:45 am] 7211.19.6000, 7211.19.7530, 7211.19.7560, included in this scope regardless of levels of BILLING CODE 3510–DS–P 7211.19.7590, 7225.11.0000, 7225.19.0000, boron and titanium. 7225.30.3050, 7225.30.7000, 7225.40.7000, For example, specifically included in this 7225.99.0090, 7226.11.1000, 7226.11.9030, scope are vacuum degassed, fully stabilized 7226.11.9060, 7226.19.1000, 7226.19.9000, DEPARTMENT OF COMMERCE (commonly referred to as interstitial-free (IF)) 7226.91.5000, 7226.91.7000, and steels, high strength low alloy (HSLA) steels, 7226.91.8000. The products subject to the International Trade Administration the substrate for motor lamination steels, investigation may also enter under the [A–421–813] Advanced High Strength Steels (AHSS), and following HTSUS numbers: 7210.90.9000, Ultra High Strength Steels (UHSS). IF steels 7211.90.0000, 7212.40.1000, 7212.40.5000, Certain Hot-Rolled Steel Flat Products are recognized as low carbon steels with 7212.50.0000, 7214.91.0015, 7214.91.0060, micro-alloying levels of elements such as 7214.91.0090, 7214.99.0060, 7214.99.0075, From the Netherlands: Affirmative titanium and/or niobium added to stabilize 7214.99.0090, 7215.90.5000, 7226.99.0180, Preliminary Determination of Sales at carbon and nitrogen elements. HSLA steels and 7228.60.6000. Less Than Fair Value, Postponement are recognized as steels with micro-alloying The HTSUS subheadings above are of Final Determination and Extension levels of elements such as chromium, copper, provided for convenience and U.S. Customs of Provisional Measures niobium, titanium, vanadium, and purposes only. The written description of the molybdenum. The substrate for motor scope of the investigation is dispositive. AGENCY: Enforcement and Compliance, lamination steels contains micro-alloying International Trade Administration, levels of elements such as silicon and Appendix II Department of Commerce. aluminum. AHSS and UHSS are considered List of Topics Discussed in the SUMMARY: The Department of Commerce high tensile strength and high elongation Preliminary Decision Memorandum (the Department) preliminarily steels, although AHSS and UHSS are covered determines that certain hot-rolled steel I. Summary whether or not they are high tensile strength flat products (hot-rolled steel) from the or high elongation steels. II. Background Subject merchandise includes hot-rolled III. Period of Investigation Netherlands are being, or are likely to steel that has been further processed in a IV. Postponement of Final be, sold in the United States at less than third country, including but not limited to Determination and Extension Of fair value (LTFV), as provided in section pickling, oiling, levelling, annealing, Provisional Measures 733(b) of the Tariff Act of 1930, as tempering, temper rolling, skin passing, amended (the Act). The period of painting, varnishing, trimming, cutting, 22 Ball bearing steels are defined as steels which investigation (POI) is July 1, 2014, punching, and/or slitting, or any other contain, in addition to iron, each of the following through June 30, 2015. The estimated processing that would not otherwise remove elements by weight in the amount specified: (i) Not weighted-average dumping margins of the merchandise from the scope of the less than 0.95 nor more than 1.13 percent of carbon; sales are shown in the ‘‘Preliminary (ii) not less than 0.22 nor more than 0.48 percent investigation if performed in the country of Determination’’ section of this notice. manufacture of the hot-rolled steel. of manganese; (iii) none, or not more than 0.03 All products that meet the written physical percent of sulfur; (iv) none, or not more than 0.03 Interested parties are invited to percent of phosphorus; (v) not less than 0.18 nor comment on this preliminary description, and in which the chemistry more than 0.37 percent of silicon; (vi) not less than quantities do not exceed any one of the noted 1.25 nor more than 1.65 percent of chromium; (vii) determination. element levels listed above, are within the none, or not more than 0.28 percent of nickel; (viii) DATES: Effective: March 22, 2016. scope of this investigation unless specifically none, or not more than 0.38 percent of copper; and FOR FURTHER INFORMATION CONTACT: excluded. The following products are outside (ix) none, or not more than 0.09 percent of of and/or specifically excluded from the molybdenum. Dmitry Vladimirov, AD/CVD scope of this investigation: 23 Tool steels are defined as steels which contain Operations, Office I, Enforcement and • Universal mill plates (i.e., hot-rolled, the following combinations of elements in the Compliance, International Trade quantity by weight respectively indicated: (i) More Administration, U.S. Department of flat-rolled products not in coils that have than 1.2 percent carbon and more than 10.5 percent been rolled on four faces or in a closed box chromium; or (ii) not less than 0.3 percent carbon Commerce, 1401 Constitution Avenue pass, of a width exceeding 150 mm but not and 1.25 percent or more but less than 10.5 percent NW., Washington, DC 20230; telephone: exceeding 1250 mm, of a thickness not less chromium; or (iii) not less than 0.85 percent carbon (202) 482–0665. than 4.0 mm, and without patterns in relief); and 1 percent to 1.8 percent, inclusive, manganese; SUPPLEMENTARY INFORMATION: • Products that have been cold-rolled or (iv) 0.9 percent to 1.2 percent, inclusive, (cold-reduced) after hot-rolling; 21 chromium and 0.9 percent to 1.4 percent, inclusive, molybdenum; or (v) not less than 0.5 percent carbon Background and not less than 3.5 percent molybdenum; or (vi) The Department published the notice 21 For purposes of this scope exclusion, rolling not less than 0.5 percent carbon and not less than of initiation of this investigation on 5.5 percent tungsten. operations such as a skin pass, levelling, temper 1 rolling or other minor rolling operations after the 24 Silico-manganese steel is defined as steels September 9, 2015. For a complete hot-rolling process for purposes of surface finish, containing by weight: (i) Not more than 0.7 percent flatness, shape control, or gauge control do not of carbon; (ii) 0.5 percent or more but not more than 1 See Certain Hot-Rolled Steel Flat Products from constitute cold-rolling sufficient to meet this 1.9 percent of manganese, and (iii) 0.6 percent or Australia, Brazil, Japan, the Republic of Korea, the exclusion. more but not more than 2.3 percent of silicon. Continued

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description of the events that followed of the postponement, the deadline for Preliminary Determination the initiation of this investigation, see the preliminary determination of this The Department preliminarily the memorandum that is dated investigation moved to March 8, 2016. determines that the following weighted- concurrently with this determination As explained in the memorandum from average dumping margins exist: and hereby adopted by this notice.2 A the Acting Assistant Secretary for list of topics included in the Enforcement and Compliance, the Weighted- Preliminary Decision Memorandum is Department has exercised its discretion average included as Appendix II to this notice. to toll all administrative deadlines due Exporter/producer margin The Preliminary Decision Memorandum to the recent closure of the Federal (percent) is a public document and is on file Government.5 All deadlines in this electronically via Enforcement and investigation have been extended by Tata Steel IJmuiden B.V...... 5.07 All-Others ...... 5.07 Compliance’s Antidumping and four business days.6 The revised Countervailing Duty Centralized deadline for the preliminary Electronic Service System (ACCESS). determination of this investigation is Suspension of Liquidation ACCESS is available to registered users now March 14, 2016. In accordance with section 733(d)(2) at https://access.trade.gov, and to all Methodology of the Act, we will direct U.S. Customs parties in the Central Records Unit, and Border Protection (CBP) to suspend room B8024 of the main Department of The Department is conducting this liquidation of all entries of hot-rolled Commerce building. In addition, a investigation in accordance with section steel from the Netherlands as described complete version of the Preliminary 731 of the Act. Export prices have been in the ‘‘Scope of the Investigation’’ Decision Memorandum can be found at calculated in accordance with section section entered, or withdrawn from http://enforcement.trade.gov/frn/. The 772(a) of the Act. Constructed export warehouse, for consumption on or after signed Preliminary Decision prices have been calculated in the date of publication of this notice in Memorandum and the electronic accordance with section 772(b) of the the Federal Register. Act. Normal value (NV) is calculated in version of the Preliminary Decision Pursuant to section 733(d)(1)(B) of the accordance with section 773 of the Act. Memorandum are identical in content. Act and 19 CFR 351.205(d), the In addition, the Department has relied Department will instruct CBP to require Scope of the Investigation on partial adverse facts available under a cash deposit equal to the weighted- The products covered by this sections 776(a) and (b) of the Act. For average amount by which the NV investigation are hot-rolled steel from a full description of the methodology exceeds U.S. price as indicated in the the Netherlands. For a full description underlying our preliminary conclusions, of the scope of this investigation, see the see the Preliminary Decision chart above. These suspension of ‘‘Scope of the Investigation,’’ in Memorandum. liquidation instructions will remain in Appendix I. effect until further notice. All-Others Rate Disclosure Scope Comments Sections 733(d)(1)(A)(ii) and Certain interested parties commented 735(c)(5)(A) of the Act provide that in We intend to disclose the calculations on the scope of the investigation as it the preliminary determination the performed to interested parties in this appeared in the Initiation Notice. For Department shall determine an proceeding within five days of the date discussion of those comments, see the estimated all-others rate for all exporters of publication of this notice in Preliminary Decision Memorandum. and producers not individually accordance with 19 CFR 351.224(b). investigated, which shall be an amount Interested parties are invited to Postponement of Deadline for equal to the weighted average of the comment on this preliminary Preliminary Determination estimated weighted-average dumping determination. The Department published the notice margins established for exporters and Verification of postponement of preliminary producers individually investigated, determination of this investigation on excluding any zero and de minimis As provided in section 782(i) of the November 25, 2015.3 Pursuant to margins, and any margins determined Act, we intend to verify information sections 733(c)(1)(B)(i) and (ii) of the entirely under section 776 of the Act. relied upon in making our final Act, we postponed the preliminary The Department calculated a company- determination. determination by 50 days.4 As a result specific rate for Tata Steel IJmuiden B.V Public Comment that is not zero, de minimis or Netherlands, the Republic of Turkey, and the determined entirely under section 776 Case briefs or other written comments United Kingdom: Initiation of Less-Than-Fair-Value may be submitted to the Assistant Investigations, 80 FR 54261 (September 9, 2015) of the Act. Therefore, for purposes of (Initiation Notice). determining the ‘‘all-others’’ rate and Secretary for Enforcement and 2 See Memorandum from Christian Marsh, Deputy pursuant to section 735(c)(5)(A) of the Compliance no later than seven days Assistant Secretary for Antidumping and Act, we are using the weighted-average after the date on which the final Countervailing Duty Operations, to Paul Piquado, dumping margin calculated for Tata verification report is issued in this Assistant Secretary for Enforcement and Compliance, ‘‘Decision Memorandum for the Steel IJmuiden B.V as the estimated proceeding, and rebuttal briefs, limited Preliminary Determination in the Less-Than-Fair- weighted-average dumping margin to issues raised in case briefs, may be Value Investigation of Certain Hot-Rolled Steel Flat assigned to all other producers and submitted no later than five days after Products from the Netherlands’’ (Preliminary exporters of the merchandise under the deadline date for case briefs.7 Decision Memorandum), dated concurrently with this notice. consideration. Pursuant to 19 CFR 351.309(c)(2) and 3 See Certain Hot-Rolled Steel Flat Products from (d)(2), parties who submit case briefs or Australia, Brazil, Japan, the Republic of Korea, the 5 See Memorandum to the Record from Ron rebuttal briefs in this proceeding are Netherlands, the Republic of Turkey, and the Lorentzen, Acting A/S for Enforcement and encouraged to submit with each United Kingdom: Postponement of Preliminary Compliance, regarding ‘‘Tolling of Administrative argument: (1) A statement of the issue; Determinations of Antidumping Duty Deadlines As a Result of the Government Closure Investigations, 80 FR 73702 (November 25, 2015). During Snowstorm Jonas,’’ dated January 27, 2016. 4 Id. 6 Id. 7 See 19 CFR 351.309.

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(2) a brief summary of the argument; 351.210(b)(2)(ii), because (1) our been ‘‘worked after rolling’’ (e.g., products and (3) a table of authorities. preliminary determination is which have been beveled or rounded at the Pursuant to 19 CFR 351.310(c), affirmative; (2) the requesting exporters edges). For purposes of the width and interested parties who wish to request a account for a significant proportion of thickness requirements referenced above: (1) Where the nominal and actual hearing must submit a written request to 10 exports of the subject merchandise; measurements vary, a product is within the the Assistant Secretary for Enforcement and (3) no compelling reasons for denial scope if application of either the nominal or and Compliance, U.S. Department of exist, we are postponing the final actual measurement would place it within Commerce. All documents must be filed determination and extending the the scope based on the definitions set forth electronically using ACCESS. An provisional measures from a four-month above unless the resulting measurement electronically-filed request must be period to a period not greater than six makes the product covered by the existing received successfully in its entirety by months. Accordingly, we will make our antidumping 12 or countervailing duty 13 ACCESS by 5:00 p.m. Eastern Time, final determination no later than 135 orders on Certain Cut-To-Length Carbon- Quality Steel Plate Products From the within 30 days after the date of days after the date of publication of this publication of this notice.8 Requests Republic of Korea (A–580–836; C–580–837), preliminary determination, pursuant to and should contain the party’s name, section 735(a)(2) of the Act.11 (2) where the width and thickness vary for address, and telephone number, the International Trade Commission (ITC) a specific product (e.g., the thickness of number of participants, and a list of the certain products with non-rectangular cross- issues to be discussed. If a request for Notification section, the width of certain products with a hearing is made, the Department In accordance with section 733(f) of non-rectangular shape, etc.), the intends to hold the hearing at the U.S. the Act, we are notifying the ITC of our measurement at its greatest width or Department of Commerce, 1401 affirmative preliminary determination of thickness applies. Constitution Avenue NW., Washington, sales at LTFV. If our final determination Steel products included in the scope of this DC 20230, at a time and date to be is affirmative, the ITC will determine investigation are products in which: (1) Iron determined. Parties should confirm by predominates, by weight, over each of the before the later of 120 days after the date other contained elements; (2) the carbon telephone the date, time, and location of of this preliminary determination or 45 content is 2 percent or less, by weight; and the hearing two days before the days after our final determination (3) none of the elements listed below exceeds scheduled date. whether these imports are materially the quantity, by weight, respectively Postponement of Final Determination injuring, or threaten material injury to, indicated: • 2.50 percent of manganese, or and Extension of Provisional Measures the U.S. industry. This determination is issued and • 3.30 percent of silicon, or Section 735(a)(2) of the Act provides published in accordance with sections • 1.50 percent of copper, or • that a final determination may be 733(f) and 777(i)(1) of the Act and 19 1.50 percent of aluminum, or postponed until not later than 135 days • 1.25 percent of chromium, or CFR 351.205(c). • after the date of the publication of the 0.30 percent of cobalt, or Dated: March 14, 2016. • preliminary determination if, in the 0.40 percent of lead, or Paul Piquado, • 2.00 percent of nickel, or event of an affirmative preliminary • 0.30 percent of tungsten, or determination, a request for such Assistant Secretary for Enforcement and • Compliance. 0.80 percent of molybdenum, or postponement is made by exporters who • 0.10 percent of niobium, or account for a significant proportion of Appendix I • 0.30 percent of vanadium, or • 0.30 percent of zirconium. exports of the subject merchandise, or in Scope of the Investigation the event of a negative preliminary Unless specifically excluded, products are determination, a request for such The products covered by this investigation included in this scope regardless of levels of are certain hot-rolled, flat-rolled steel boron and titanium. postponement is made by the products, with or without patterns in relief, petitioners. 19 CFR 351.210(e)(2) For example, specifically included in this and whether or not annealed, painted, scope are vacuum degassed, fully stabilized requires that requests by respondents for varnished, or coated with plastics or other (commonly referred to as interstitial-free (IF)) postponement of a final antidumping non-metallic substances. The products steels, high strength low alloy (HSLA) steels, determination be accompanied by a covered do not include those that are clad, the substrate for motor lamination steels, request for extension of provisional plated, or coated with metal. The products Advanced High Strength Steels (AHSS), and measures from a four-month period to a covered include coils that have a width or Ultra High Strength Steels (UHSS). IF steels other lateral measurement (‘‘width’’) of 12.7 period not more than six months in are recognized as low carbon steels with mm or greater, regardless of thickness, and micro-alloying levels of elements such as duration. regardless of form of coil (e.g., in On February 22, 2016, pursuant to 19 titanium and/or niobium added to stabilize successively superimposed layers, spirally carbon and nitrogen elements. HSLA steels CFR 351.210(b) and (e), Tata Steel oscillating, etc.). The products covered also are recognized as steels with micro-alloying include products not in coils (e.g., in straight IJmuiden B.V. requested that, contingent levels of elements such as chromium, copper, lengths) of a thickness of less than 4.75 mm upon an affirmative preliminary niobium, titanium, vanadium, and and a width that is 12.7 mm or greater and determination of sales at LTFV, the molybdenum. The substrate for motor Department postpone the final that measures at least 10 times the thickness. The products described above may be lamination steels contains micro-alloying determination and that provisional rectangular, square, circular, or other shape measures be extended to a period not to and include products of either rectangular or 12 Notice of Amendment of Final Determinations exceed six months.9 non-rectangular cross-section where such of Sales at Less Than Fair Value and Antidumping In accordance with section cross-section is achieve subsequent to the Duty Orders: Certain Cut-To-Length Carbon-Quality Steel Plate Products From France, India, Indonesia, 735(a)(2)(A) of the Act and 19 CFR rolling process, i.e., products which have Italy, Japan and the Republic of Korea, 65 FR 6585 (February 10, 2000). 8 See 19 CFR 351.310(c). 10 See Memorandum to Christian Marsh, Deputy 13 Notice of Amended Final Determinations: 9 See Letter to the Secretary of Commerce from Assistant Secretary for Antidumping and Certain Cut-to-Length Carbon-Quality Steel Plate Tata Steel IJmuident B.V., ‘‘Antidumping Duty Countervailing Duty Operations, ‘‘Antidumping From India and the Republic of Korea; and Notice Investigation of Certain Hot-Rolled Steel Flat Duty Investigation of Certain Hot-Rolled Steel Flat of Countervailing Duty Orders: Certain Cut-To- Products from the Netherlands: Request for Products from the Netherlands: Respondent Length Carbon-Quality Steel Plate From France, Postponement of Final Determination’’ (February Selection,’’ dated September 29, 2015. India, Indonesia, Italy, and the Republic of Korea, 22, 2016). 11 See also 19 CFR 351.210(e). 65 FR 6587 (February 10, 2000).

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levels of elements such as silicon and under item numbers: 7208.10.1500, DEPARTMENT OF COMMERCE aluminum. AHSS and UHSS are considered 7208.10.3000, 7208.10.6000, 7208.25.3000, high tensile strength and high elongation 7208.25.6000, 7208.26.0030, 7208.26.0060, International Trade Administration steels, although AHSS and UHSS are covered 7208.27.0030, 7208.27.0060, 7208.36.0030, [A–580–883] whether or not they are high tensile strength 7208.36.0060, 7208.37.0030, 7208.37.0060, or high elongation steels. 7208.38.0015, 7208.38.0030, 7208.38.0090, Subject merchandise includes hot-rolled Certain Hot-Rolled Steel Flat Products steel that has been further processed in a 7208.39.0015, 7208.39.0030, 7208.39.0090, From the Republic of Korea: third country, including but not limited to 7208.40.6030, 7208.40.6060, 7208.53.0000, Affirmative Preliminary Determination pickling, oiling, levelling, annealing, 7208.54.0000, 7208.90.0000, 7210.70.3000, of Sales at Less Than Fair Value and tempering, temper rolling, skin passing, 7211.14.0030, 7211.14.0090, 7211.19.1500, Postponement of Final Determination painting, varnishing, trimming, cutting, 7211.19.2000, 7211.19.3000, 7211.19.4500, punching, and/or slitting, or any other 7211.19.6000, 7211.19.7530, 7211.19.7560, AGENCY: Enforcement and Compliance, processing that would not otherwise remove 7211.19.7590, 7225.11.0000, 7225.19.0000, International Trade Administration, the merchandise from the scope of the 7225.30.3050, 7225.30.7000, 7225.40.7000, Department of Commerce. investigation if performed in the country of 7225.99.0090, 7226.11.1000, 7226.11.9030, SUMMARY: The Department of Commerce manufacture of the hot-rolled steel. 7226.11.9060, 7226.19.1000, 7226.19.9000, All products that meet the written physical (Department) preliminarily determines description, and in which the chemistry 7226.91.5000, 7226.91.7000, and that certain hot-rolled steel flat products quantities do not exceed any one of the noted 7226.91.8000. The products subject to the (hot-rolled steel) from the Republic of element levels listed above, are within the investigation may also enter under the Korea (Korea) are being, or are likely to scope of this investigation unless specifically following HTSUS numbers: 7210.90.9000, be, sold in the United States at less than excluded. The following products are outside 7211.90.0000, 7212.40.1000, 7212.40.5000, fair value (LTFV), as provided in section of and/or specifically excluded from the 7212.50.0000, 7214.91.0015, 7214.91.0060, 733(b) of the Tariff Act of 1930, as scope of this investigation: 7214.91.0090, 7214.99.0060, 7214.99.0075, • amended (Act). The period of Universal mill plates (i.e., hot-rolled, 7214.99.0090, 7215.90.5000, 7226.99.0180, investigation (POI) is July 1, 2014, flat-rolled products not in coils that have and 7228.60.6000. been rolled on four faces or in a closed box through June 30, 2015. The estimated The HTSUS subheadings above are pass, of a width exceeding 150 mm but not weighted-average dumping margins are exceeding 1250 mm, of a thickness not less provided for convenience and U.S. Customs shown in the ‘‘Preliminary than 4.0 mm, and without patterns in relief); purposes only. The written description of the Determination’’ section of this notice. • Products that have been cold-rolled scope of the investigation is dispositive. Interested parties are invited to (cold-reduced) after hot-rolling; 14 comment on this preliminary • 15 Appendix II Ball bearing steels; determination. • 16 Tool steels; and List of Topics Discussed in the Preliminary • 17 DATES: Effective: March 22, 2016. Silico-manganese steels; Decision Memorandum: The products subject to this investigation I. Summary FOR FURTHER INFORMATION CONTACT: are currently classified in the Harmonized II. Background Javier Barrientos or Matthew Renkey, Tariff Schedule of the United States (HTSUS) III. Period of Investigation AD/CVD Operations, Office V, IV. Scope of the Investigation Enforcement and Compliance, 14 For purposes of this scope exclusion, rolling International Trade Administration, operations such as a skin pass, levelling, temper V. Scope Comments rolling or other minor rolling operations after the VI. Critical Circumstances U.S. Department of Commerce, 14th hot-rolling process for purposes of surface finish, VII. Application of Facts Available and Use Street and Constitution Avenue NW., flatness, shape control, or gauge control do not of Adverse Inferences Washington, DC 20230; telephone: (202) constitute cold-rolling sufficient to meet this 482–2243 or (202) 482–2312, exclusion. VIII. Discussion of Methodology 15 Ball bearing steels are defined as steels which Comparisons to Fair Value respectively. contain, in addition to iron, each of the following A. Determination of the Comparison SUPPLEMENTARY INFORMATION: elements by weight in the amount specified: (i) Not Method less than 0.95 nor more than 1.13 percent of carbon; B. Results of the Differential Pricing Background (ii) not less than 0.22 nor more than 0.48 percent of manganese; (iii) none, or not more than 0.03 Analysis The Department published the notice percent of sulfur; (iv) none, or not more than 0.03 IX. Date of Sale of initiation of this investigation on percent of phosphorus; (v) not less than 0.18 nor X. Product Comparisons September 9, 2015.1 For a complete more than 0.37 percent of silicon; (vi) not less than XI. Export Price and Constructed Export description of the events that followed 1.25 nor more than 1.65 percent of chromium; (vii) none, or not more than 0.28 percent of nickel; (viii) Price the initiation of this investigation, see none, or not more than 0.38 percent of copper; and XII. Normal Value the Preliminary Decision Memorandum (ix) none, or not more than 0.09 percent of A. Comparison Market Viability that is dated concurrently with this molybdenum. B. Affiliated Party Transactions and Arm’s- determination and hereby adopted by 16 Tool steels are defined as steels which contain Length Test 2 the following combinations of elements in the this notice. A list of topics included in quantity by weight respectively indicated: (i) More C. Level of Trade than 1.2 percent carbon and more than 10.5 percent D. Cost of Production Analysis 1 See Certain Cold-Rolled Steel Flat Products from chromium; or (ii) not less than 0.3 percent carbon 1. Calculation of COP Australia, Brazil, Japan, the Republic of Korea, the and 1.25 percent or more but less than 10.5 percent 2. Test of Comparison Market Sales Prices Netherlands, the Republic of Turkey, and the chromium; or (iii) not less than 0.85 percent carbon 3. Results of the COP Test United Kingdom: Initiation of Less-Than-Fair-Value and 1 percent to 1.8 percent, inclusive, manganese; Investigations, 80 FR 54261 (September 9, 2015) or (iv) 0.9 percent to 1.2 percent, inclusive, E. Calculation of NV Based on Comparison- (Initiation Notice). chromium and 0.9 percent to 1.4 percent, inclusive, Market Prices 2 See Memorandum from Christian Marsh, Deputy molybdenum; or (v) not less than 0.5 percent carbon XIII. Currency Conversion Assistant Secretary for Antidumping and and not less than 3.5 percent molybdenum; or (vi) XIV. Conclusion Countervailing Duty Operations, to Paul Piquado, not less than 0.5 percent carbon and not less than [FR Doc. 2016–06457 Filed 3–21–16; 8:45 am] Assistant Secretary for Enforcement and 5.5 percent tungsten. Compliance, ‘‘Decision Memorandum for the 17 Silico-manganese steel is defined as steels BILLING CODE 3510–DS–P Preliminary Determination in the Less-than-Fair- containing by weight: (i) Not more than 0.7 percent Value Investigation of Certain Hot-Rolled Steel Flat of carbon; (ii) 0.5 percent or more but not more than Products from the Republic of Korea’’ (Preliminary 1.9 percent of manganese, and (iii) 0.6 percent or Decision Memorandum), dated concurrently with more but not more than 2.3 percent of silicon. this notice.

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the Preliminary Decision Memorandum Department is preliminarily not Preliminary Determination is included as Appendix II to this modifying the scope language as it The Department preliminarily notice. The Preliminary Decision appeared in the Initiation Notice. determines that the following weighted- Memorandum is a public document and Methodology average dumping margins exist: is on file electronically via Enforcement and Compliance’s Antidumping and The Department is conducting this Weighted- Countervailing Duty Centralized investigation in accordance with section Exporter/producer average Electronic Service System (ACCESS). 731 of the Act. Export prices have been margin ACCESS is available to registered users calculated in accordance with section (percent) at https://access.trade.gov, and to all 772(a) of the Act. Constructed export Hyundai Steel Company ...... 3.97 parties in the Central Records Unit, prices have been calculated in POSCO ...... 7.33 Room B8024 of the main Department of accordance with section 772(b) of the All-Others ...... 5.65 Commerce building. In addition, a Act. Normal value (NV) is calculated in complete version of the Preliminary accordance with section 773 of the Act. Suspension of Liquidation Decision Memorandum can be found at For a full description of the In accordance with section 733(d)(2) http://enforcement.trade.gov/frn/. The methodology underlying our of the Act, we are directing U.S. signed Preliminary Decision preliminary conclusions, see the Customs and Border Protection (CBP) to Memorandum and the electronic Preliminary Decision Memorandum. version of the Preliminary Decision suspend liquidation of all entries of hot- Memorandum are identical in content. All-Others Rate rolled steel from Korea, as described in As explained in the memorandum Section 735(c)(5)(A) of the Act the scope of the investigation section from the Acting Assistant Secretary for provides that the estimated all-others entered, or withdrawn from warehouse, Enforcement and Compliance, the rate shall be an amount equal to the for consumption on or after the date of Department has exercised its discretion weighted average of the estimated publication of this notice in the Federal to toll all administrative deadlines due weighted-average dumping margins Register. Pursuant to section 733 (d)(1)(B) of to the recent closure of the Federal established for exporters and producers the Act and 19 CFR 351.205(d), the Government. All deadlines in this individually investigated, excluding any Department will instruct CBP to require segment of the proceeding have been zero and de minimis margins, and any a cash deposit equal to the weighted- extended by four business days. The margins determined entirely under average amount by which the NV revised deadline for the preliminary section 776 of the Act. exceeds U.S. price as indicated in the determination of this investigation is In this investigation, we calculated 3 chart above,9 adjusted where now March 14, 2016. weighted-average dumping margins for appropriate for export subsidies.10 The Hyundai Steel Company and POSCO 7 Scope of the Investigation Department has preliminarily that are above de minimis and which are The product covered by this determined in its companion not based on total facts available. investigation is hot-rolled steel from countervailing duty investigation of hot- Accordingly, for the preliminary Korea. For a full description of the rolled steel from Korea that subject determination, consistent with the Act scope of this investigation, see the merchandise exported by POSCO and and the Department’s practice, the ‘‘Scope of the Investigation,’’ in Hyundai Steel did not benefit from Department preliminarily determines Appendix I. export subsidies.11 As a result, the that the margin for the all-others rate is Department will make no adjustment to Scope Comments the simple average of the calculated the cash deposit rates. The suspension margins of the mandatory respondents.8 In accordance with the preamble to of liquidation instructions will remain the Department’s regulations,4 the in effect until further notice. Initiation Notice set aside a period of Countervailing Duty Operations, ‘‘Certain Hot- time for parties to raise issues regarding Rolled Steel Products from Australia, Brazil, Japan, Disclosure 5 the Republic of Korea, the Netherlands, the product coverage (i.e., ‘‘scope’’). Republic of Turkey, and the United Kingdom: We will disclose the calculations Certain interested parties commented on Scope Comments Decision Memorandum for the performed to interested parties in this the scope of the investigation as it Preliminary Determinations,’’ dated concurrently proceeding within five days of the date appeared in the Initiation Notice, as with this preliminary determination. of public announcement of this 7 We are collapsing the mandatory respondent well as additional language proposed by POSCO with Daewoo International Corporation. See the Department. For a summary of the the Preliminary Decision Memorandum. 9 See Modification of Regulations Regarding the product coverage comments and 8 See Memorandum to the File, ‘‘Investigation of Practice of Accepting Bonds During the Provisional rebuttal responses submitted to the Certain Hot-Rolled Steel Flat Products from the Measures Period in Antidumping and record for this preliminary Republic of Korea, All-Others Rate Calculation,’’ Countervailing Duty Investigations, 76 FR 61042 dated March 14, 2016. We note that it is the (October 3, 2011). determination, and accompanying Department’s practice to calculate (A) a weighted- 10 See section 772(c)(1)(C) of the Act. Unlike in discussion and analysis of all comments average of the dumping margins calculated for the administrative reviews, the Department calculates timely received, see the Preliminary mandatory respondents; (B) a simple average of the the adjustment for export subsidies in Scope Decision Memorandum.6 The dumping margins calculated for the mandatory investigations not in the margin calculation respondents; and (C) a weighted-average of the program, but in the cash deposit instructions issued dumping margins calculated for the mandatory to CBP. See Notice of Final Determination of Sales 3 See Memorandum to the Record from Ron respondents using each company’s publicly-ranged at Less Than Fair Value, and Negative Lorentzen, Acting Assistant Secretary for values for the merchandise under consideration. We Determination of Critical Circumstances: Certain Enforcement & Compliance, regarding ‘‘Tolling of would compare (B) and (C) to (A) and select the rate Lined Paper Products from India, 71 FR 45012 Administrative Deadlines as a Result of the closest to (A) as the most appropriate rate for all (August 8, 2006), and accompanying Issues and Government Closure During Snowstorm Jonas,’’ other companies. See Ball Bearings and Parts Decision Memorandum at Comment 1. dated January 27, 2016. Thereof From France, Germany, Italy, Japan, and 11 See Countervailing Duty Investigation of 4 See Antidumping Duties; Countervailing Duties, the United Kingdom: Final Results of Antidumping Certain Hot-Rolled Steel Flat Products From the 62 FR 27296, 27323 (May 19, 1997). Duty Administrative Reviews, Final Results of Republic of Korea: Preliminary Negative 5 See Initiation Notice, 80 FR at 54262. Changed-Circumstances Review, and Revocation of Determination and Alignment of Final 6 See Memorandum to Christian Marsh, Deputy an Order in Part, 75 FR 53661, 53663 (September Determination With Final Antidumping Duty Assistant Secretary for Antidumping and 1, 2010). Determination, 81 FR 2172 (January 15, 2016).

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preliminary determination in determination, a request for such Dated: March 14, 2016. accordance with 19 CFR 351.224(b). postponement is made by Petitioners. 19 Paul Piquado, Interested parties are invited to CFR 351.210(e)(2) requires that requests Assistant Secretary for Enforcement and comment on this preliminary by respondents for postponement of a Compliance. determination. Case briefs or other final antidumping determination be Appendix I written comments may be submitted to accompanied by a request for extension the Assistant Secretary for Enforcement of provisional measures from a four- Scope of the Investigation and Compliance no later than seven month period to a period not more than The products covered by this investigation days after the date on which the final six months in duration. are certain hot-rolled, flat-rolled steel verification report is issued in this products, with or without patterns in relief, proceeding, and rebuttal briefs, limited On March 2, 2016, and March 3, 2016, and whether or not annealed, painted, to issues raised in case briefs, may be pursuant to 19 CFR 351.210(b) and (e), varnished, or coated with plastics or other submitted no later than five days after POSCO and Hyundai Steel Company, non-metallic substances. The products covered do not include those that are clad, 12 respectively, requested that, contingent the deadline date for case briefs. plated, or coated with metal. The products Pursuant to 19 CFR 351.309(c)(2) and upon an affirmative preliminary covered include coils that have a width or (d)(2), parties who submit case briefs or determination of sales at LTFV for the other lateral measurement (‘‘width’’) of 12.7 rebuttal briefs in this proceeding are respondents, the Department postpone mm or greater, regardless of thickness, and encouraged to submit with each the final determination and that regardless of form of coil (e.g., in argument: (1) A statement of the issue; provisional measures be extended to a successively superimposed layers, spirally (2) a brief summary of the argument; period not to exceed six months.14 oscillating, etc.). The products covered also and (3) a table of authorities. include products not in coils (e.g., in straight Pursuant to 19 CFR 351.310(c), In accordance with section lengths) of a thickness of less than 4.75 mm interested parties who wish to request a 735(a)(2)(A) of the Act and 19 CFR and a width that is 12.7 mm or greater and 351.210(b)(2)(ii), because (1) our that measures at least 10 times the thickness. hearing must submit a written request to The products described above may be the Assistant Secretary for Enforcement preliminary determination is affirmative, in part; (2) the requesting rectangular, square, circular, or other shape and Compliance, U.S. Department of and include products of either rectangular or Commerce. All documents must be filed exporters account for a significant non-rectangular cross-section where such electronically using ACCESS. An proportion of exports of the subject cross-section is achieve subsequent to the electronically-filed request must be merchandise; and (3) no compelling rolling process, i.e., products which have received successfully in its entirety by reasons for denial exist, we are been ‘‘worked after rolling’’ (e.g., products ACCESS by 5:00 p.m. Eastern Time, postponing the final determination and which have been beveled or rounded at the within 30 days after the date of extending the provisional measures edges). For purposes of the width and 13 thickness requirements referenced above: publication of this notice. Requests from a four-month period to a period (1) Where the nominal and actual should contain the party’s name, not greater than six months. measurements vary, a product is within the address, and telephone number, the Accordingly, we will make our final scope if application of either the nominal or number of participants, and a list of the determination no later than 135 days actual measurement would place it within issues to be discussed. If a request for after the date of publication of this the scope based on the definitions set forth a hearing is made, the Department preliminary determination, pursuant to above unless the resulting measurement intends to hold the hearing at the U.S. section 735(a)(2) of the Act.15 makes the product covered by the existing Department of Commerce, 14th Street antidumping 16 or countervailing duty 17 and Constitution Avenue NW., International Trade Commission (ITC) orders on Certain Cut-To-Length Carbon- Notification Quality Steel Plate Products From the Washington, DC 20230, at a time and Republic of Korea (A–580–836; C–580–837), date to be determined. Parties should and confirm by telephone the date, time, and In accordance with section 733(f) of the Act, we are notifying the ITC of our (2) where the width and thickness vary for location of the hearing two days before a specific product (e.g., the thickness of the scheduled date. affirmative preliminary determination of certain products with non-rectangular cross- sales at LTFV. If our final determination section, the width of certain products with Verification is affirmative, the ITC will determine non-rectangular shape, etc.), the As provided in section 782(i) of the before the later of 120 days after the date measurement at its greatest width or Act, we intend to verify information of this preliminary determination or 45 thickness applies. relied upon in making our final days after our final determination Steel products included in the scope of this determination. investigation are products in which: (1) Iron whether these imports are materially predominates, by weight, over each of the Postponement of Final Determination injuring, or threaten material injury to, other contained elements; (2) the carbon and Extension of Provisional Measures the U.S. industry. content is 2 percent or less, by weight; and (3) none of the elements listed below exceeds Section 735(a)(2) of the Act provides This determination is issued and published in accordance with sections the quantity, by weight, respectively that a final determination may be indicated: postponed until not later than 135 days 733(f) and 777(i)(1) of the Act and 19 after the date of the publication of the CFR 351.205(c). 16 Notice of Amendment of Final Determinations preliminary determination if, in the of Sales at Less Than Fair Value and Antidumping event of an affirmative preliminary Duty Orders: Certain Cut-To-Length Carbon-Quality Steel Plate Products From France, India, Indonesia, determination, a request for such Italy, Japan and the Republic of Korea, 65 FR 6585 postponement is made by exporters who 14 See Letter to the Secretary of Commerce from (February 10, 2000). 17 account for a significant proportion of POSCO, ‘‘Request to Postpone the Final Notice of Amended Final Determinations: Certain Cut-to-Length Carbon-Quality Steel Plate exports of the subject merchandise, or in Determination’’ (March 2, 2016) and also Letter to the event of a negative preliminary From India and the Republic of Korea; and Notice the Secretary of Commerce from Hyundai Steel, of Countervailing Duty Orders: Certain Cut-To- ‘‘Request to Postpone the Final Determination’’ Length Carbon-Quality Steel Plate From France, 12 See 19 CFR 351.309. (March 3, 2016). India, Indonesia, Italy, and the Republic of Korea, 13 See 19 CFR 351.310(c). 15 See also 19 CFR 351.210(e). 65 FR 6587 (February 10, 2000).

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• 2.50 percent of manganese, or • Tool steels; 20 and A. Determination of the Comparison • 3.30 percent of silicon, or • Silico-manganese steels; 21 Method • 1.50 percent of copper, or The products subject to this investigation B. Results of the Differential Pricing • 1.50 percent of aluminum, or are currently classified in the Harmonized Analysis • 1.25 percent of chromium, or Tariff Schedule of the United States (HTSUS) X. Date of Sale • 0.30 percent of cobalt, or under item numbers: 7208.10.1500, XI. Product Comparisons • 0.40 percent of lead, or 7208.10.3000, 7208.10.6000, 7208.25.3000, XII. Export Price and Constructed Export • 2.00 percent of nickel, or 7208.25.6000, 7208.26.0030, 7208.26.0060, Price • 0.30 percent of tungsten, or 7208.27.0030, 7208.27.0060, 7208.36.0030, XIII. Normal Value • 0.80 percent of molybdenum, or 7208.36.0060, 7208.37.0030, 7208.37.0060, A. Comparison Market Viability • 0.10 percent of niobium, or 7208.38.0015, 7208.38.0030, 7208.38.0090, B. Affiliated Party Transactions and Arm’s- • 0.30 percent of vanadium, or 7208.39.0015, 7208.39.0030, 7208.39.0090, Length Test • 0.30 percent of zirconium. 7208.40.6030, 7208.40.6060, 7208.53.0000, C. Level of Trade Unless specifically excluded, products are 7208.54.0000, 7208.90.0000, 7210.70.3000, D. Cost of Production Analysis included in this scope regardless of levels of 7211.14.0030, 7211.14.0090, 7211.19.1500, 1. Calculation of COP boron and titanium. 7211.19.2000, 7211.19.3000, 7211.19.4500, 2. Test of Comparison Market Sales Prices For example, specifically included in this 7211.19.6000, 7211.19.7530, 7211.19.7560, 3. Results of the COP Test scope are vacuum degassed, fully stabilized 7211.19.7590, 7225.11.0000, 7225.19.0000, E. Calculation of NV Based on Comparison- (commonly referred to as interstitial-free (IF)) 7225.30.3050, 7225.30.7000, 7225.40.7000, Market Prices steels, high strength low alloy (HSLA) steels, 7225.99.0090, 7226.11.1000, 7226.11.9030, XIV. Currency Conversion the substrate for motor lamination steels, 7226.11.9060, 7226.19.1000, 7226.19.9000, XV. Adjustments to Cash Deposit Rates for 7226.91.5000, 7226.91.7000, and Export Subsidies in Companion Advanced High Strength Steels (AHSS), and 7226.91.8000. The products subject to the Countervailing Duty Investigation Ultra High Strength Steels (UHSS). IF steels investigation may also enter under the XVI. Conclusion are recognized as low carbon steels with following HTSUS numbers: 7210.90.9000, micro-alloying levels of elements such as [FR Doc. 2016–06488 Filed 3–21–16; 8:45 am] 7211.90.0000, 7212.40.1000, 7212.40.5000, titanium and/or niobium added to stabilize 7212.50.0000, 7214.91.0015, 7214.91.0060, BILLING CODE 3510–DS–P carbon and nitrogen elements. HSLA steels 7214.91.0090, 7214.99.0060, 7214.99.0075, are recognized as steels with micro-alloying 7214.99.0090, 7215.90.5000, 7226.99.0180, levels of elements such as chromium, copper, and 7228.60.6000. DEPARTMENT OF COMMERCE niobium, titanium, vanadium, and The HTSUS subheadings above are molybdenum. The substrate for motor provided for convenience and U.S. Customs International Trade Administration lamination steels contains micro-alloying purposes only. The written description of the [A–489–826] levels of elements such as silicon and scope of the investigation is dispositive. aluminum. AHSS and UHSS are considered high tensile strength and high elongation Appendix II Certain Hot-Rolled Steel Flat Products steels, although AHSS and UHSS are covered From the Republic of Turkey: whether or not they are high tensile strength List of Topics Discussed in the Preliminary Affirmative Preliminary Determination or high elongation steels. Decision Memorandum: of Sales at Less Than Fair Value and Subject merchandise includes hot-rolled I. Summary Postponement of Final Determination steel that has been further processed in a II. Background third country, including but not limited to III. Period of Investigation AGENCY: Enforcement and Compliance, pickling, oiling, levelling, annealing, IV. Postponement of Final Determination and International Trade Administration, tempering, temper rolling, skin passing, Extension of Provisional Measures Department of Commerce. painting, varnishing, trimming, cutting, V. Scope of the Investigation SUMMARY: The Department of Commerce punching, and/or slitting, or any other VI. Scope Comments (the Department) preliminarily VII. All-Others Rate processing that would not otherwise remove determines that certain hot-rolled steel the merchandise from the scope of the VIII. Affiliation and Collapsing investigation if performed in the country of IX. Discussion of the Methodology flat products (hot-rolled steel) from the manufacture of the hot-rolled steel. Republic of Turkey (Turkey) are being, All products that meet the written physical less than 0.95 nor more than 1.13 percent of carbon; or are likely to be, sold in the United description, and in which the chemistry (ii) not less than 0.22 nor more than 0.48 percent States at less than fair value (LTFV), as quantities do not exceed any one of the noted of manganese; (iii) none, or not more than 0.03 provided in section 733(b) of the Tariff element levels listed above, are within the percent of sulfur; (iv) none, or not more than 0.03 Act of 1930, as amended (the Act). The percent of phosphorus; (v) not less than 0.18 nor scope of this investigation unless specifically period of investigation (POI) is July 1, excluded. The following products are outside more than 0.37 percent of silicon; (vi) not less than 1.25 nor more than 1.65 percent of chromium; (vii) 2014, through June 30, 2015. The of and/or specifically excluded from the none, or not more than 0.28 percent of nickel; (viii) scope of this investigation: estimated weighted-average dumping • none, or not more than 0.38 percent of copper; and margins are shown in the ‘‘Preliminary Universal mill plates (i.e., hot-rolled, (ix) none, or not more than 0.09 percent of flat-rolled products not in coils that have molybdenum. Determination’’ section of this notice. been rolled on four faces or in a closed box 20 Tool steels are defined as steels which contain Interested parties are invited to pass, of a width exceeding 150 mm but not the following combinations of elements in the comment on this preliminary exceeding 1250 mm, of a thickness not less quantity by weight respectively indicated: (i) More determination. than 4.0 mm, and without patterns in relief); than 1.2 percent carbon and more than 10.5 percent DATES: • Products that have been cold-rolled chromium; or (ii) not less than 0.3 percent carbon Effective: March 22, 2016. (cold-reduced) after hot-rolling; 18 and 1.25 percent or more but less than 10.5 percent FOR FURTHER INFORMATION CONTACT: chromium; or (iii) not less than 0.85 percent carbon • 19 Alexander Cipolla or Toni Page, AD/ Ball bearing steels; and 1 percent to 1.8 percent, inclusive, manganese; or (iv) 0.9 percent to 1.2 percent, inclusive, CVD Operations, Office VII, 18 For purposes of this scope exclusion, rolling chromium and 0.9 percent to 1.4 percent, inclusive, Enforcement and Compliance, operations such as a skin pass, levelling, temper molybdenum; or (v) not less than 0.5 percent carbon International Trade Administration, rolling or other minor rolling operations after the and not less than 3.5 percent molybdenum; or (vi) U.S. Department of Commerce, 14th hot-rolling process for purposes of surface finish, not less than 0.5 percent carbon and not less than flatness, shape control, or gauge control do not 5.5 percent tungsten. Street and Constitution Avenue NW., constitute cold-rolling sufficient to meet this 21 Silico-manganese steel is defined as steels Washington, DC 20230; telephone: (202) exclusion. containing by weight: (i) Not more than 0.7 percent 482–4956 or (202) 482–1398, 19 Ball bearing steels are defined as steels which of carbon; (ii) 0.5 percent or more but not more than respectively. contain, in addition to iron, each of the following 1.9 percent of manganese, and (iii) 0.6 percent or elements by weight in the amount specified: (i) Not more but not more than 2.3 percent of silicon. SUPPLEMENTARY INFORMATION:

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Background sections 733(c)(1)(B)(i) and (ii) of the exporters and producers individually The Department published the notice Act, we postponed the preliminary investigated, excluding any zero and de 4 of initiation of this investigation on determination by 50 days. As a result minimis margins, and any margins September 9, 2015.1 For a complete of the postponement, the revised determined entirely under section 776 description of the events that followed deadline for the preliminary of the Act. Where the rates for the initiation of this investigation, see determination of this investigation is investigated companies are zero or de the memorandum that is dated March 8, 2016. However, as explained minimis, or based entirely on facts concurrently with this determination in the memorandum from the Acting otherwise available, section and hereby adopted by this notice.2 A Assistant Secretary for Enforcement and 705(c)(5)(A)(ii) of the Act instructs the list of topics included in the Compliance, the Department has Department to establish an ‘‘all-others’’ Preliminary Decision Memorandum is exercised its discretion to toll all rate using ‘‘any reasonable method.’’ included as Appendix II to this notice. administrative deadlines due to the In this investigation, we calculated The Preliminary Decision Memorandum recent closure of the Federal weighted-average dumping margins for is a public document and is on file Government.5 All deadlines in this Colakoglu and Erdemir that are above de electronically via Enforcement and investigation have been extended by minimis and are not based on total facts Compliance’s Antidumping and four business days.6 The revised available. We calculated the all-others Countervailing Duty Centralized deadline for the preliminary rate using a weighted-average of the Electronic Service System (ACCESS). determination of this investigation is dumping margins calculated for the ACCESS is available to registered users now March 14, 2016. mandatory respondents using each company’s publicly-ranged values for at https://access.trade.gov, and to all Methodology parties in the Central Records Unit, the merchandise under consideration.8 The Department is conducting this room B8024 of the main Department of Preliminary Determination Commerce building. In addition, a investigation in accordance with section complete version of the Preliminary 731 of the Act. Export prices (EP) have The Department preliminarily Decision Memorandum can be found at been calculated in accordance with determines that the following estimated http://enforcement.trade.gov/frn/. The section 772(a) of the Act. Constructed weighted-average dumping margins signed Preliminary Decision export prices (CEP) have been exist: Memorandum and the electronic calculated in accordance with section version of the Preliminary Decision 772(b) of the Act. Normal value (NV) is Dumping calculated in accordance with section Exporter/manufacturer margins Memorandum are identical in content. (percent) 773 of the Act. For a full description of Scope of the Investigation the methodology underlying our Colakoglu Metalurji A.S./ The product covered by this preliminary conclusions, see the Colakoglu Dis Ticaret investigation is hot-rolled steel from Preliminary Decision Memorandum. A.S.9 ...... 7.07 Turkey. For a full description of the Eregli Demir ve Celik Single Entity Treatment scope of this investigation, see the Fabrikalari T.A.S./ ‘‘Scope of the Investigation,’’ in For the reasons set forth in the Iskenderun Demir Ve Appendix I. Preliminary Decision Memorandum and Celik 10 ...... 5.24 in accordance with 19 CFR 351.401(f) All-Others ...... 6.82 Scope Comments and the Department’s practice, we are Certain interested parties commented treating Colakoglu Metalurji A.S. Suspension of Liquidation on the scope of the investigation as it (Colakoglu) and Colakoglu Dis Ticaret In accordance with section 733(d)(2) appeared in the Initiation Notice. For A.S. (COTAS) (collectively, Colakoglu), of the Act, we will direct U.S. Customs discussion of those comments, see the as well as Eregli Demir ve Celik Preliminary Decision Memorandum. Fabrikalari T.A.S. (Erdemir) and 8 With two respondents, we normally calculate Postponement of Deadline for Iskenderun Demir Ve Celik (Iskenderun) (A) a weighted-average of the dumping margins (collectively, Erdemir), as single calculated for the mandatory respondents; (B) a Preliminary Determination simple average of the dumping margins calculated entities, for the purposes of this The Department published the notice for the mandatory respondents; and (C) a weighted- preliminary determination.7 average of the dumping margins calculated for the of postponement of preliminary mandatory respondents using each company’s determination of this investigation on All-Others Rate publicly-ranged values for the merchandise under November 25, 2015.3 Pursuant to Consistent with sections consideration. We would compare (B) and (C) to (A) and select the rate closest to (A) as the most 733(d)(1)(A)(ii) and 735(c)(5) of the Act, appropriate rate for all other companies. See Ball 1 See Certain Hot-Rolled Steel Flat Products from Bearings and Parts Thereof From France, Germany, Australia, Brazil, Japan, the Republic of Korea, the the Department also calculated an Netherlands, the Republic of Turkey, and the estimated all-others rate. Section Italy, Japan, and the United Kingdom: Final Results United Kingdom: Initiation of Less-Than-Fair Value 735(c)(5)(B) of the Act provides that the of Antidumping Duty Administrative Reviews, Final Results of Changed-Circumstances Review, and Investigations, 80 FR 54261 (September 9, 2015) estimated all-others rate shall be an (Initiation Notice). Revocation of an Order in Part, 75 FR 53661, 53663 amount equal to the weighted average of (September 1, 2010). As complete publicly ranged 2 See Memorandum from Christian Marsh, Deputy Assistant Secretary for Antidumping and the estimated weighted-average sales data was available, we based the all-others rate Countervailing Duty Operations, ‘‘Decision dumping margins established for on the publically ranged sales data of the Memorandum for the Preliminary Determination in mandatory respondents. For a complete BPI the Antidumping Duty Investigation of Certain Hot- explanation, please see the All-Others Calculation 4 Id. Rolled Steel Flat Products from the Republic of Memorandum. 5 Turkey’’ (Preliminary Decision Memorandum), See Memorandum to the Record from Ron 9 In this investigation, the Department found that dated concurrently with this notice. Lorentzen, Acting A/S for Enforcement and Colakoglu Metalurji A.S. and Colakoglu Dis Ticaret 3 See Certain Hot-Rolled Steel Flat Products from Compliance, regarding ‘‘Tolling of Administrative A.S. are a single entity. See ‘‘Single Entity Australia, Brazil, Japan, the Republic of Korea, the Deadlines As a Result of the Government Closure Treatment’’ section above; see also the ‘‘Affiliation Netherlands, the Republic of Turkey, and the During Snowstorm Jonas,’’ (January 27, 2016). and Collapsing’’ section of the Preliminary Decision United Kingdom: Postponement of Preliminary 6 Id. Memorandum. Determinations of Antidumping Duty 7 See ‘‘Affiliation And Collapsing’’ section of the 10 In this investigation, the Department found that Investigations, 80 FR 73702 (November 25, 2015). Preliminary Decision Memorandum. Eregli Demir ve Celik Fabrikalari T.A.S. and

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and Border Protection (CBP) to suspend and Compliance no later than seven determination of sales at LTFV for the liquidation of all entries of hot-rolled days after the date on which the final respondents, the Department postpone steel from Turkey as described in the verification report is issued in this the final determination and that scope of the investigation section proceeding, and rebuttal briefs, limited provisional measures be extended to a entered, or withdrawn from warehouse, to issues raised in case briefs, may be period not to exceed six months.16 for consumption on or after the date of submitted no later than five days after In accordance with section publication of this notice in the Federal the deadline date for case briefs.14 735(a)(2)(A) of the Act and 19 CFR Register. Pursuant to 19 CFR 351.309(c)(2) and 351.210(b)(2)(ii), because (1) our Pursuant to section 733(d)(1)(B) of the (d)(2), parties who submit case briefs or preliminary determination is Act and 19 CFR 351.205(d), the rebuttal briefs in this proceeding are affirmative; (2) the requesting exporters Department will instruct CBP to require encouraged to submit with each account for a significant proportion of a cash deposit equal to the weighted- argument: (1) A statement of the issue; exports of the subject merchandise; and average amount by which the NV (2) a brief summary of the argument; (3) no compelling reasons for denial exceeds U.S. price as indicated in the and (3) a table of authorities. exist, we are postponing the final chart above,11 adjusted where Pursuant to 19 CFR 351.310(c), determination and extending the appropriate for export subsidies.12 interested parties who wish to request a provisional measures from a four-month However, the preliminary determination hearing must submit a written request to period to a period not greater than six in the concurrent countervailing duty the Assistant Secretary for Enforcement months. Accordingly, we will make our investigation was negative.13 Therefore, and Compliance, U.S. Department of final determination no later than 135 no adjustments for export subsidies will Commerce. All documents must be filed days after the date of publication of this be applied to the estimated weighted- electronically using ACCESS. An preliminary determination, pursuant to average dumping margins calculated for electronically-filed request must be section 735(a)(2) of the Act.17 each respondent, and for the all-others received successfully in its entirety by rate. These suspension of liquidation ACCESS by 5:00 p.m. Eastern Time, International Trade Commission (ITC) instructions will remain in effect until within 30 days after the date of Notification further notice. publication of this notice.15 Requests In accordance with section 733(f) of should contain the party’s name, Disclosure the Act, we are notifying the ITC of our address, and telephone number, the affirmative preliminary determination of We will disclose the calculations number of participants, and a list of the sales at LTFV. If our final determination performed to interested parties in this issues to be discussed. If a request for is affirmative, the ITC will determine proceeding within five days of the date a hearing is made, the Department before the later of 120 days after the date of announcement of this preliminary intends to hold the hearing at the U.S. of this preliminary determination or 45 determination in accordance with 19 Department of Commerce, 14th Street days after our final determination CFR 351.224(b). and Constitution Avenue NW., whether these imports are materially Verification Washington, DC 20230, at a time and injuring, or threaten material injury to, date to be determined. Parties should the U.S. industry. As provided in section 782(i) of the confirm by telephone the date, time, and This determination is issued and Act, we intend to verify information location of the hearing two days before published in accordance with sections relied upon in making our final the scheduled date. 733(f) and 777(i)(1) of the Act and 19 determination. CFR 351.205(c). Postponement of Final Determination Public Comment and Extension of Provisional Measures Dated: March 14, 2016. Interested parties are invited to Section 735(a)(2) of the Act provides Paul Piquado, comment on this preliminary that a final determination may be Assistant Secretary for Enforcement and determination. Case briefs or other postponed until not later than 135 days Compliance. written comments may be submitted to after the date of the publication of the Appendix I the Assistant Secretary for Enforcement preliminary determination if, in the Scope of the Investigation event of an affirmative preliminary Iskenderun Demir Ve Celik are a single entity. See determination, a request for such The products covered by this investigation ‘‘Single Entity Treatment’’ section above; see also are certain hot-rolled, flat-rolled steel the ‘‘Affiliation and Collapsing’’ section of the postponement is made by exporters who products, with or without patterns in relief, Preliminary Decision Memorandum. account for a significant proportion of and whether or not annealed, painted, 11 See Modification of Regulations Regarding the exports of the subject merchandise, or in varnished, or coated with plastics or other Practice of Accepting Bonds During the Provisional Measures Period in Antidumping and the event of a negative preliminary non-metallic substances. The products Countervailing Duty Investigations, 76 FR 61042 determination, a request for such covered do not include those that are clad, (October 3, 2011). postponement is made by Petitioners. 19 plated, or coated with metal. The products 12 See section 772(c)(1)(C) of the Act. Unlike in CFR 351.210(e)(2) requires that requests covered include coils that have a width or administrative reviews, the Department calculates by respondents for postponement of a other lateral measurement (‘‘width’’) of 12.7 the adjustment for export subsidies in mm or greater, regardless of thickness, and investigations not in the margin calculation final antidumping determination be regardless of form of coil (e.g., in program, but in the cash deposit instructions issued accompanied by a request for extension successively superimposed layers, spirally to CBP. See Notice of Final Determination of Sales of provisional measures from a four- oscillating, etc.). The products covered also at Less Than Fair Value, and Negative month period to a period not more than include products not in coils (e.g., in straight Determination of Critical Circumstances: Certain Lined Paper Products from India, 71 FR 45012 six months in duration. lengths) of a thickness of less than 4.75 mm (August 8, 2006), and accompanying Issues and On March 8, 2016, pursuant to 19 CFR Decision Memorandum at Comment 1. 351.210(b) and (e), Colakoglu and 16 See Letter from Colakoglu, ‘‘Certain Hot-Rolled 13 See Countervailing Duty Investigation of Erdemir requested that, contingent upon Steel Flat Products from Turkey: Colakoglu’s Certain Hot-Rolled Steel Flat Products From the an affirmative preliminary Request to Extend the Final Determination’’ (March Republic of Turkey: Preliminary Negative 8, 2016); and Letter from Erdemir, ‘‘Hot-Rolled Steel Countervailing Duty Determination and Alignment Flat Products from Turkey; Request to Extend Final of Final Determination With Final Antidumping 14 See 19 CFR 351.309. Determination,’’ (March 8, 2016). Duty Determination, 81 FR 2166 (January 15, 2016). 15 See 19 CFR 351.310(c). 17 See also 19 CFR 351.210(e).

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and a width that is 12.7 mm or greater and micro-alloying levels of elements such as • Silico-manganese steels; 23 that measures at least 10 times the thickness. titanium and/or niobium added to stabilize The products subject to this investigation The products described above may be carbon and nitrogen elements. HSLA steels are currently classified in the Harmonized rectangular, square, circular, or other shape are recognized as steels with micro-alloying Tariff Schedule of the United States (HTSUS) and include products of either rectangular or levels of elements such as chromium, copper, under item numbers: 7208.10.1500, non-rectangular cross-section where such niobium, titanium, vanadium, and 7208.10.3000, 7208.10.6000, 7208.25.3000, cross-section is achieve subsequent to the molybdenum. The substrate for motor 7208.25.6000, 7208.26.0030, 7208.26.0060, rolling process, i.e., products which have lamination steels contains micro-alloying been ‘‘worked after rolling’’ (e.g., products levels of elements such as silicon and 7208.27.0030, 7208.27.0060, 7208.36.0030, which have been beveled or rounded at the aluminum. AHSS and UHSS are considered 7208.36.0060, 7208.37.0030, 7208.37.0060, edges). For purposes of the width and high tensile strength and high elongation 7208.38.0015, 7208.38.0030, 7208.38.0090, thickness requirements referenced above: steels, although AHSS and UHSS are covered 7208.39.0015, 7208.39.0030, 7208.39.0090, (1) Where the nominal and actual whether or not they are high tensile strength 7208.40.6030, 7208.40.6060, 7208.53.0000, measurements vary, a product is within the or high elongation steels. 7208.54.0000, 7208.90.0000, 7210.70.3000, scope if application of either the nominal or Subject merchandise includes hot-rolled 7211.14.0030, 7211.14.0090, 7211.19.1500, actual measurement would place it within steel that has been further processed in a 7211.19.2000, 7211.19.3000, 7211.19.4500, the scope based on the definitions set forth third country, including but not limited to 7211.19.6000, 7211.19.7530, 7211.19.7560, above unless the resulting measurement pickling, oiling, levelling, annealing, 7211.19.7590, 7225.11.0000, 7225.19.0000, makes the product covered by the existing tempering, temper rolling, skin passing, 7225.30.3050, 7225.30.7000, 7225.40.7000, antidumping 18 or countervailing duty 19 painting, varnishing, trimming, cutting, orders on Certain Cut-To-Length Carbon- punching, and/or slitting, or any other 7225.99.0090, 7226.11.1000, 7226.11.9030, Quality Steel Plate Products From the processing that would not otherwise remove 7226.11.9060, 7226.19.1000, 7226.19.9000, Republic of Korea (A–580–836; C–580–837), the merchandise from the scope of the 7226.91.5000, 7226.91.7000, and and investigation if performed in the country of 7226.91.8000. The products subject to the (2) where the width and thickness vary for manufacture of the hot-rolled steel. investigation may also enter under the a specific product (e.g., the thickness of All products that meet the written physical following HTSUS numbers: 7210.90.9000, certain products with non-rectangular cross- description, and in which the chemistry 7211.90.0000, 7212.40.1000, 7212.40.5000, section, the width of certain products with quantities do not exceed any one of the noted 7212.50.0000, 7214.91.0015, 7214.91.0060, non-rectangular shape, etc.), the element levels listed above, are within the 7214.91.0090, 7214.99.0060, 7214.99.0075, measurement at its greatest width or scope of this investigation unless specifically 7214.99.0090, 7215.90.5000, 7226.99.0180, thickness applies. excluded. The following products are outside and 7228.60.6000. Steel products included in the scope of this of and/or specifically excluded from the investigation are products in which: (1) Iron scope of this investigation: The HTSUS subheadings above are predominates, by weight, over each of the • Universal mill plates (i.e., hot-rolled, provided for convenience and U.S. Customs other contained elements; (2) the carbon flat-rolled products not in coils that have and Border Protection purposes only. The content is 2 percent or less, by weight; and been rolled on four faces or in a closed box written description of the scope of the (3) none of the elements listed below exceeds pass, of a width exceeding 150 mm but not investigation is dispositive. the quantity, by weight, respectively exceeding 1250 mm, of a thickness not less indicated: than 4.0 mm, and without patterns in relief); Appendix II • 2.50 percent of manganese, or • Products that have been cold-rolled List of Topics Discussed in the Preliminary • 3.30 percent of silicon, or 20 (cold-reduced) after hot-rolling; Decision Memorandum • 1.50 percent of copper, or • Ball bearing steels; 21 I. Summary • 1.50 percent of aluminum, or • Tool steels; 22 and • 1.25 percent of chromium, or II. Background • 0.30 percent of cobalt, or III. Period of Investigation 20 For purposes of this scope exclusion, rolling • 0.40 percent of lead, or IV. Postponement of Final Determination and • operations such as a skin pass, levelling, temper 2.00 percent of nickel, or rolling or other minor rolling operations after the Extension of Provisional Measures • 0.30 percent of tungsten, or hot-rolling process for purposes of surface finish, V. Scope of the Investigation • 0.80 percent of molybdenum, or flatness, shape control, or gauge control do not VI. Scope Comments • 0.10 percent of niobium, or constitute cold-rolling sufficient to meet this VII. Affiliation and Collapsing • exclusion. 0.30 percent of vanadium, or VIII. Discussion of the Methodology • 0.30 percent of zirconium. 21 Ball bearing steels are defined as steels which IX. Date of Sale Unless specifically excluded, products are contain, in addition to iron, each of the following included in this scope regardless of levels of elements by weight in the amount specified: (i) Not X. Product Comparisons less than 0.95 nor more than 1.13 percent of carbon; boron and titanium. XI. Export Price and Constructed Export (ii) not less than 0.22 nor more than 0.48 percent Price For example, specifically included in this of manganese; (iii) none, or not more than 0.03 scope are vacuum degassed, fully stabilized percent of sulfur; (iv) none, or not more than 0.03 XII. Normal Value (commonly referred to as interstitial-free (IF)) percent of phosphorus; (v) not less than 0.18 nor XIII. Currency Conversions steels, high strength low alloy (HSLA) steels, more than 0.37 percent of silicon; (vi) not less than XIV. Adjustments to Cash Deposit Rates for the substrate for motor lamination steels, 1.25 nor more than 1.65 percent of chromium; (vii) Export Subsidies in Companion none, or not more than 0.28 percent of nickel; (viii) Advanced High Strength Steels (AHSS), and Countervailing Duty Investigation Ultra High Strength Steels (UHSS). IF steels none, or not more than 0.38 percent of copper; and (ix) none, or not more than 0.09 percent of XV. Conclusion are recognized as low carbon steels with molybdenum. [FR Doc. 2016–06440 Filed 3–21–16; 8:45 am] 22 Tool steels are defined as steels which contain BILLING CODE 3510–DS–P 18 See Notice of Amendment of Final the following combinations of elements in the Determinations of Sales at Less Than Fair Value quantity by weight respectively indicated: (i) More and Antidumping Duty Orders: Certain Cut-To- than 1.2 percent carbon and more than 10.5 percent Length Carbon-Quality Steel Plate Products From chromium; or (ii) not less than 0.3 percent carbon France, India, Indonesia, Italy, Japan and the and 1.25 percent or more but less than 10.5 percent Republic of Korea, 65 FR 6585 (February 10, 2000). chromium; or (iii) not less than 0.85 percent carbon 19 See Notice of Amended Final Determinations: and 1 percent to 1.8 percent, inclusive, manganese; Certain Cut-to-Length Carbon-Quality Steel Plate or (iv) 0.9 percent to 1.2 percent, inclusive, 23 From India and the Republic of Korea; and Notice chromium and 0.9 percent to 1.4 percent, inclusive, Silico-manganese steel is defined as steels of Countervailing Duty Orders: Certain Cut-To- molybdenum; or (v) not less than 0.5 percent carbon containing by weight: (i) Not more than 0.7 percent Length Carbon-Quality Steel Plate From France, and not less than 3.5 percent molybdenum; or (vi) of carbon; (ii) 0.5 percent or more but not more than India, Indonesia, Italy, and the Republic of Korea, not less than 0.5 percent carbon and not less than 1.9 percent of manganese, and (iii) 0.6 percent or 65 FR 6587 (February 10, 2000). 5.5 percent tungsten. more but not more than 2.3 percent of silicon.

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DEPARTMENT OF COMMERCE Decision Memorandum is a public Methodology document and is on file electronically The Department is conducting this International Trade Administration via Enforcement and Compliance’s investigation in accordance with section Antidumping and Countervailing Duty [A–351–845] 731 of the Act. Export prices have been Centralized Electronic Service System calculated in accordance with section Certain Hot-Rolled Steel Flat Products (ACCESS). ACCESS is available to 772(a) of the Act. Constructed export From Brazil: Affirmative Preliminary registered users at http:// prices have been calculated in Determination of Sales at Less Than access.trade.gov, and to all parties in the accordance with section 772(b) of the Fair Value, Postponement of Final Central Records Unit, Room B8024 of Act. Normal value (NV) is calculated in Determination, and Extension of the main Department of Commerce accordance with section 773 of the Act. Provisional Measures building. In addition, a complete For a full description of the version of the Preliminary Decision methodology underlying our AGENCY: Enforcement and Compliance, Memorandum can be found at http:// preliminary conclusions, see the International Trade Administration, enforcement.trade.gov/frn/. Preliminary Decision Memorandum. Department of Commerce. SUMMARY: The Department of Commerce Scope of the Investigation All-Others Rate (the Department) preliminarily The products covered by this Consistent with sections determines that certain hot-rolled steel investigation are hot-rolled steel from 733(d)(1)(A)(ii) and 735(c)(5) of the Act, flat products (hot-rolled steel) from Brazil. For a full description of the the Department also calculated an Brazil are being, or are likely to be, sold scope of this investigation, see the estimated all-others rate. Section in the United States at less than fair 735(c)(5)(A) of the Act provides that the value (LTFV), as provided in section ‘‘Scope of the Investigation,’’ in Appendix I. estimated all-others rate shall be an 733(b) of the Tariff Act of 1930, as amount equal to the weighted average of amended (the Act). The period of Scope Comments the estimated weighted-average investigation (POI) is July 1, 2014, dumping margins established for Certain interested parties commented through June 30, 2015. The estimated exporters and producers individually on the scope of the investigation as it weighted-average dumping margins of investigated, excluding any zero and de appeared in the Initiation Notice. For sales at LTFV are shown in the minimis margins, and any margins discussion of those comments, see the ‘‘Preliminary Determination’’ section of determined entirely under section 776 Preliminary Decision Memorandum. this notice. Interested parties are invited of the Act. For purposes of this to comment on this preliminary Postponement of Deadline for preliminary determination, we are determination. Preliminary Determination assigning as the ‘‘all-others’’ rate the rate DATES: Effective: March 22, 2016. of 33.91 percent, which is based on the FOR FURTHER INFORMATION CONTACT: The Department published the notice estimated dumping margin calculated Peter Zukowski or Yang Jin Chun, AD/ of postponement of preliminary for Companhia Sideru´ rgica Nacional CVD Operations, Office I, Enforcement determination of this investigation on (CSN), the only mandatory respondent 3 and Compliance, International Trade November 25, 2015. Pursuant to for which we calculated a dumping Administration, U.S. Department of sections 733(c)(1)(B)(i) and (ii) of the margin. Commerce, 1401 Constitution Avenue Act, we postponed the preliminary 4 Preliminary Determination NW., Washington, DC 20230; telephone: determination by 50 days. As a result (202) 482–0189 or (202) 482–5760, of the postponement, the revised The Department preliminarily respectively. deadline for the preliminary determines that the following weighted- determination of this investigation is average dumping margins exist: SUPPLEMENTARY INFORMATION: March 8, 2016. As explained in the memorandum from the Acting Assistant Weighted- Background average Secretary for Enforcement and Exporter/producer margin The Department published the notice Compliance, the Department has of initiation of this investigation on (percent) 1 exercised its discretion to toll all September 9, 2015. For a complete administrative deadlines due to the Companhia Sideru´rgica description of the events that followed recent closure of the Federal Nacional (CSN) ...... 33.91 the initiation of this investigation, see Government.5 All deadlines in this Usinas Siderurgicas de the Preliminary Decision Minas Gerais S.A. 2 investigation have been extended by Memorandum. A list of topics included four business days.6 The revised (Usiminas) ...... 34.28 All-Others ...... 33.91 in the Preliminary Decision deadline for the preliminary Memorandum is included as Appendix determination of this investigation is II to this notice. The Preliminary now March 14, 2016. Suspension of Liquidation In accordance with section 733(d)(2) 1 See Certain Hot-Rolled Steel Flat Products From Australia, Brazil, Japan, the Republic of Korea, the 3 See Certain Hot-Rolled Steel Flat Products from of the Act, we will direct U.S. Customs Netherlands, the Republic of Turkey, and the Australia, Brazil, Japan, the Republic of Korea, the and Border Protection (CBP) to suspend United Kingdom: Initiation of Less-Than-Fair-Value Netherlands, the Republic of Turkey, and the liquidation of all entries of hot-rolled Investigations, 80 FR 54261 (September 9, 2015) United Kingdom: Postponement of Preliminary Determinations of Antidumping Duty steel from Brazil as described in the (Initiation Notice). Scope of the Investigation in Appendix 2 See Memorandum from Deputy Assistant Investigations, 80 FR 73702 (November 25, 2015). Secretary Christian Marsh to Assistant Secretary 4 Id. I entered, or withdrawn from Paul Piquado entitled ‘‘Decision Memorandum for 5 See Memorandum to the Record from Ron warehouse, for consumption on or after the Preliminary Determination in the Less-Than- Lorentzen, Acting A/S for Enforcement and the date of publication of this notice in Fair-Value Investigation of Certain Hot-Rolled Steel Compliance, regarding ‘‘Tolling of Administrative the Federal Register, except for CSN Flat Products from the Brazil’’ (Preliminary Deadlines As a Result of the Government Closure Decision Memorandum), dated concurrently with During Snowstorm ‘Jonas’ ’’ dated January 27, 2016. and Usiminas, as described below. this notice and hereby adopted by this notice. 6 Id. Section 733(e)(2) of the Act provides

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that, given an affirmative determination These suspensions of liquidation Postponement of Final Determination of critical circumstances, any instructions will remain in effect until and Extension of Provisional Measures suspension of liquidation shall apply to further notice. Section 735(a)(2) of the Act provides unliquidated entries of merchandise Disclosure that a final determination may be entered, or withdrawn from warehouse, postponed until not later than 135 days for consumption on or after the later of We intend to disclose the calculations after the date of the publication of the (a) the date which is 90 days before the performed to interested parties in this preliminary determination if, in the date on which the suspension of proceeding within five days of the date event of an affirmative preliminary liquidation was first ordered, or (b) the determination, a request for such date on which notice of initiation of the of publication of this notice in accordance with 19 CFR 351.224(b). postponement is made by exporters who investigation was published. On account for a significant proportion of December 9, 2015, we preliminarily Verification exports of the subject merchandise, or in found that critical circumstances exist the event of a negative preliminary for imports exported by CSN and As provided in section 782(i) of the determination, a request for such 7 Usiminas. For CSN and Usiminas, in Act, we intend to verify information postponement is made by the accordance with section 733(e)(2)(A) of relied upon in making our final petitioners. Respondents’ requests for the Act, suspension of liquidation of determination. postponement of a final antidumping hot-rolled steel from Brazil, as described Public Comment determination must be accompanied by in the ‘‘Scope of the Investigation’’ in a request for extension of provisional Appendix I, shall apply to unliquidated Interested parties are invited to measures from a four-month period to a entries of merchandise entered, or comment on this preliminary period not more than six months in withdrawn from warehouse, for duration.11 consumption on or after the date which determination. Case briefs or other written comments may be submitted to On February 22, and February 25, is 90 days before the publication of this 2016, respectively, pursuant to 19 CFR notice, the date suspension of the Assistant Secretary for Enforcement and Compliance no later than seven 351.210(e), CSN and Usiminas liquidation is first ordered. Because we requested that the Department postpone days after the date on which the final find critical circumstances do not exist the final determination and extend for ‘‘all others,’’ we will begin verification report is issued in this provisional measures to a period not to suspension of liquidation for such firms proceeding, and rebuttal briefs, limited exceed six months.12 on the date of publication of this notice to issues raised in case briefs, may be In accordance with section in the Federal Register. submitted no later than five days after 735(a)(2)(A) of the Act and 19 CFR Pursuant to section 733 (d)(1)(B) of the deadline date for case briefs.9 351.210(b)(2)(ii), because (1) our the Act and 19 CFR 351.205(d), the Pursuant to 19 CFR 351.309(c)(2) and preliminary determination is Department will instruct CBP to require (d)(2), parties who submit case briefs or affirmative; (2) the requesting exporter a cash deposit equal to the weighted- rebuttal briefs in this proceeding are accounts for a significant proportion of average amount by which the NV encouraged to submit with each exports of the subject merchandise; and exceeds U.S. price, adjusted where argument: (1) A statement of the issue; (3) no compelling reasons for denial appropriate for export subsidies, as (2) a brief summary of the argument; exist, we are postponing the final follows: (1) The rates for CSN and and (3) a table of authorities. determination and extending the Usiminas, when adjusted for export provisional measures from a four-month Pursuant to 19 CFR 351.310(c), subsidies, are 29.78 and 30.46 percent, period to a period not greater than six interested parties who wish to request a respectively; (2) if the exporter is not a months. Accordingly, we will make our hearing must submit a written request to firm identified in this investigation, but final determination no later than 135 the producer is, the rate will be the rate the Assistant Secretary for Enforcement days after the date of publication of this established for the producer of the and Compliance, U.S. Department of preliminary determination, pursuant to subject merchandise, less export Commerce. All documents must be filed section 735(a)(2) of the Act.13 subsidies; (3) the rate for all other electronically using ACCESS. An producers or exporters when adjusted electronically-filed request must be International Trade Commission (ITC) for export subsidies is 29.93 percent.8 received successfully in its entirety by Notification ACCESS by 5:00 p.m. Eastern Time, In accordance with section 733(f) of 7 See Antidumping Duty Investigations of Certain within 30 days after the date of the Act, we are notifying the ITC of our Hot-Rolled Steel Flat Products From Australia, 10 affirmative preliminary determination of Brazil, Japan, and the Netherlands and publication of this notice. Requests Countervailing Duty Investigation of Certain Hot- should contain the party’s name, sales at LTFV. If our final determination Rolled Steel Flat Products From Brazil: Preliminary address, and telephone number, the is affirmative, the ITC will determine Determinations of Critical Circumstances, 80 FR number of participants, and a list of the before the later of 120 days after the date 76444 (December 9, 2015). of this preliminary determination or 45 8 Consistent with the Department’s normal issues to be discussed. If a request for practice, because we calculated the ‘‘All Others a hearing is made, the Department days after our final determination Rate’’ in this investigation based on the calculated intends to hold the hearing at the U.S. whether these imports are materially weighted-average dumping margin for CSN, the Department of Commerce, 1401 injuring, or threaten material injury to, ‘‘All Others Rate’’ includes export subsidies at a the U.S. industry. rate equal to the average of the CVD export subsidy Constitution Avenue NW., Washington, rates applicable to the mandatory respondents. See DC 20230, at a time and date to be 11 See 19 CFR 351.210(e)(2). Utility Scale Wind Towers From the People’s determined. Parties should confirm by Republic of China: Preliminary Determination of 12 See Letter to the Secretary of Commerce from Sales at Less Than Fair Value and Postponement telephone the date, time, and location of CSN, ‘‘Request for Postponement of Final of Final Determination, 77 FR 46034, 46043 (August the hearing two days before the Determinations,’’ (February 22, 2016). See also 2, 2012); see also, ‘‘Antidumping Duty Investigation scheduled date. letter to the Secretary of Commerce from Usiminas, of Certain Hot-Rolled Steel Flat Products from ‘‘Cold-Rolled and Hot-Rolled Steel Flat Products Brazil: Calculation of All-Others Rate’’ (All-Others from Brazil; Request for Postponement of Final Rate Memorandum), dated concurrently with this 9 See 19 CFR 351.309. Determinations,’’ (February 25, 2016). notice. 10 See 19 CFR 351.310(c). 13 See 19 CFR 351.210(e).

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This determination is issued and other contained elements; (2) the carbon • Ball bearing steels; 17 published in accordance with sections content is 2 percent or less, by weight; and • Tool steels; 18 and • 19 733(f) and 777(i)(1) of the Act and 19 (3) none of the elements listed below exceeds Silico-manganese steels; the quantity, by weight, respectively The products subject to this investigation CFR 351.205(c). indicated: are currently classified in the Harmonized Dated: March 14, 2016. • 2.50 percent of manganese, or Tariff Schedule of the United States (HTSUS) • Paul Piquado, 3.30 percent of silicon, or under item numbers: 7208.10.1500, • 1.50 percent of copper, or 7208.10.3000, 7208.10.6000, 7208.25.3000, Assistant Secretary for Enforcement and • 1.50 percent of aluminum, or 7208.25.6000, 7208.26.0030, 7208.26.0060, Compliance. • 1.25 percent of chromium, or 7208.27.0030, 7208.27.0060, 7208.36.0030, Appendix I • 0.30 percent of cobalt, or 7208.36.0060, 7208.37.0030, 7208.37.0060, • 0.40 percent of lead, or 7208.38.0015, 7208.38.0030, 7208.38.0090, Scope of the Investigation • 2.00 percent of nickel, or 7208.39.0015, 7208.39.0030, 7208.39.0090, The products covered by this investigation • 0.30 percent of tungsten, or 7208.40.6030, 7208.40.6060, 7208.53.0000, are certain hot-rolled, flat-rolled steel • 0.80 percent of molybdenum, or 7208.54.0000, 7208.90.0000, 7210.70.3000, • products, with or without patterns in relief, 0.10 percent of niobium, or 7211.14.0030, 7211.14.0090, 7211.19.1500, • and whether or not annealed, painted, 0.30 percent of vanadium, or 7211.19.2000, 7211.19.3000, 7211.19.4500, • varnished, or coated with plastics or other 0.30 percent of zirconium. 7211.19.6000, 7211.19.7530, 7211.19.7560, non-metallic substances. The products Unless specifically excluded, products are 7211.19.7590, 7225.11.0000, 7225.19.0000, covered do not include those that are clad, included in this scope regardless of levels of 7225.30.3050, 7225.30.7000, 7225.40.7000, plated, or coated with metal. The products boron and titanium. 7225.99.0090, 7226.11.1000, 7226.11.9030, covered include coils that have a width or For example, specifically included in this 7226.11.9060, 7226.19.1000, 7226.19.9000, other lateral measurement (‘‘width’’) of 12.7 scope are vacuum degassed, fully stabilized 7226.91.5000, 7226.91.7000, and mm or greater, regardless of thickness, and (commonly referred to as interstitial-free (IF)) 7226.91.8000. The products subject to the regardless of form of coil (e.g., in steels, high strength low alloy (HSLA) steels, investigation may also enter under the successively superimposed layers, spirally the substrate for motor lamination steels, following HTSUS numbers: 7210.90.9000, Advanced High Strength Steels (AHSS), and oscillating, etc.). The products covered also 7211.90.0000, 7212.40.1000, 7212.40.5000, Ultra High Strength Steels (UHSS). IF steels include products not in coils (e.g., in straight 7212.50.0000, 7214.91.0015, 7214.91.0060, are recognized as low carbon steels with lengths) of a thickness of less than 4.75 mm 7214.91.0090, 7214.99.0060, 7214.99.0075, micro-alloying levels of elements such as and a width that is 12.7 mm or greater and 7214.99.0090, 7215.90.5000, 7226.99.0180, titanium and/or niobium added to stabilize and 7228.60.6000. that measures at least 10 times the thickness. carbon and nitrogen elements. HSLA steels The products described above may be The HTSUS subheadings above are are recognized as steels with micro-alloying provided for convenience and U.S. Customs rectangular, square, circular, or other shape levels of elements such as chromium, copper, and include products of either rectangular or purposes only. The written description of the niobium, titanium, vanadium, and scope of the investigation is dispositive. non-rectangular cross-section where such molybdenum. The substrate for motor cross-section is achieve subsequent to the lamination steels contains micro-alloying Appendix II rolling process, i.e., products which have levels of elements such as silicon and List of Topics Discussed in the Preliminary been ‘‘worked after rolling’’ (e.g., products aluminum. AHSS and UHSS are considered Decision Memorandum which have been beveled or rounded at the high tensile strength and high elongation edges). For purposes of the width and steels, although AHSS and UHSS are covered I. Summary thickness requirements referenced above: whether or not they are high tensile strength II. Background (1) Where the nominal and actual or high elongation steels. III. Period of Investigation measurements vary, a product is within the Subject merchandise includes hot-rolled IV. Preliminary Determination of Critical scope if application of either the nominal or steel that has been further processed in a Circumstances actual measurement would place it within third country, including but not limited to V. Scope of the Investigation the scope based on the definitions set forth pickling, oiling, levelling, annealing, above unless the resulting measurement tempering, temper rolling, skin passing, 17 Ball bearing steels are defined as steels which makes the product covered by the existing painting, varnishing, trimming, cutting, contain, in addition to iron, each of the following antidumping 14 or countervailing duty 15 punching, and/or slitting, or any other elements by weight in the amount specified: (i) Not orders on Certain Cut-To-Length Carbon- processing that would not otherwise remove less than 0.95 nor more than 1.13 percent of carbon; Quality Steel Plate Products From the the merchandise from the scope of the (ii) not less than 0.22 nor more than 0.48 percent Republic of Korea (A–580–836; C–580–837), investigation if performed in the country of of manganese; (iii) none, or not more than 0.03 and manufacture of the hot-rolled steel. percent of sulfur; (iv) none, or not more than 0.03 percent of phosphorus; (v) not less than 0.18 nor (2) where the width and thickness vary for All products that meet the written physical more than 0.37 percent of silicon; (vi) not less than a specific product (e.g., the thickness of description, and in which the chemistry 1.25 nor more than 1.65 percent of chromium; (vii) certain products with non-rectangular cross- quantities do not exceed any one of the noted none, or not more than 0.28 percent of nickel; (viii) section, the width of certain products with element levels listed above, are within the none, or not more than 0.38 percent of copper; and non-rectangular shape, etc.), the scope of this investigation unless specifically (ix) none, or not more than 0.09 percent of measurement at its greatest width or excluded. The following products are outside molybdenum. thickness applies. of and/or specifically excluded from the 18 Tool steels are defined as steels which contain Steel products included in the scope of this scope of this investigation: the following combinations of elements in the • investigation are products in which: (1) Iron Universal mill plates (i.e., hot-rolled, quantity by weight respectively indicated: (i) More than 1.2 percent carbon and more than 10.5 percent predominates, by weight, over each of the flat-rolled products not in coils that have been rolled on four faces or in a closed box chromium; or (ii) not less than 0.3 percent carbon pass, of a width exceeding 150 mm but not and 1.25 percent or more but less than 10.5 percent 14 Notice of Amendment of Final Determinations chromium; or (iii) not less than 0.85 percent carbon of Sales at Less Than Fair Value and Antidumping exceeding 1250 mm, of a thickness not less and 1 percent to 1.8 percent, inclusive, manganese; Duty Orders: Certain Cut-To-Length Carbon-Quality than 4.0 mm, and without patterns in relief); or (iv) 0.9 percent to 1.2 percent, inclusive, Steel Plate Products From France, India, Indonesia, • Products that have been cold-rolled chromium and 0.9 percent to 1.4 percent, inclusive, Italy, Japan and the Republic of Korea, 65 FR 6585 (cold-reduced) after hot-rolling; 16 molybdenum; or (v) not less than 0.5 percent carbon (February 10, 2000). and not less than 3.5 percent molybdenum; or (vi) 15 Notice of Amended Final Determinations: 16 For purposes of this scope exclusion, rolling not less than 0.5 percent carbon and not less than Certain Cut-to-Length Carbon-Quality Steel Plate operations such as a skin pass, levelling, temper 5.5 percent tungsten. From India and the Republic of Korea; and Notice rolling or other minor rolling operations after the 19 Silico-manganese steel is defined as steels of Countervailing Duty Orders: Certain Cut-To- hot-rolling process for purposes of surface finish, containing by weight: (i) Not more than 0.7 percent Length Carbon-Quality Steel Plate From France, flatness, shape control, or gauge control do not of carbon; (ii) 0.5 percent or more but not more than India, Indonesia, Italy, and the Republic of Korea, constitute cold-rolling sufficient to meet this 1.9 percent of manganese, and (iii) 0.6 percent or 65 FR 6587 (February 10, 2000). exclusion. more but not more than 2.3 percent of silicon.

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VI. Scope Comments below, the Department is amending the February 8 and 12, 2016, the CIT VII. All-Others Rate Final Results to correct the net subsidy granted the Department leave to publish VIII. Discussion of Methodology rates for the Jangho Companies,3 non- amended final results upon considering A. Determination of the Comparison selected cooperative respondents, and the ministerial error allegations.8 Method companies for which we applied total B. Results of the Differential Pricing Scope of the Order adverse facts available (AFA) in the Analysis The merchandise covered by the C. Application of Facts Available and Final Results. The amended final net Adverse Inferences subsidy rates are listed below in Order is aluminum extrusions which are 1. Application of Facts Available With an ‘‘Amended Final Results of shapes and forms, produced by an Adverse Inference Administrative Review.’’ 4 extrusion process, made from aluminum 2. Selection of Information Used as Facts DATES: Effective Date: March 22, 2016. alloys having metallic elements Available corresponding to the alloy series FOR FURTHER INFORMATION CONTACT: 3. Selection and Corroboration of the AFA designations published by The Rate Davina Friedmann, Tyler Weinhold or Robert James, AD/CVD Operations, Aluminum Association commencing IX. Date of Sale with the numbers 1, 3, and 6 (or X. Product Comparisons Office VI, Enforcement and Compliance, International Trade Administration, proprietary equivalents or other XI. Constructed Export Price certifying body equivalents).9 XII. Normal Value U.S. Department of Commerce, 14th Imports of the subject merchandise A. Comparison Market Viability Street and Constitution Avenue NW., are provided for under the following B. Affiliated Party Transactions and Arm’s- Washington, DC 20230; telephone: (202) categories of the Harmonized Tariff Length Test 482–0698, (202) 482–1121 or (202) 482– Schedule of the United States (HTSUS): C. Level of Trade 0649, respectively. D. Cost of Production Analysis 9031.90.90.95, 7610.10.00, 7610.90.00, 1. Calculation of COP SUPPLEMENTARY INFORMATION: 7615.10.30, 7615.10.71, 7615.10.91, 2. Test of Comparison Market Sales Prices Background 7615.19.10, 7615.19.30, 7615.19.50, 3. Results of the COP Test 7615.19.70, 7615.19.90, 7615.20.00, On December 14, 2015, the E. Calculation of NV Based on Comparison- 7616.99.10, 7616.99.50, 8479.89.98, Department published the Final Market Prices 8479.90.94, 8513.90.20, 9403.10.00, XIII. Currency Conversion Results.5 On December 15, 2015, the 9403.20.00, 7604.21.00.00, XIV. Adjustments to Cash Deposit Rates For Jangho Companies alleged that certain 7604.29.10.00, 7604.29.30.10, Export Subsidies in the Companion ministerial errors were contained in the 7604.29.30.50, 7604.29.50.30, Countervailing Duty Investigation Final Results, and requested that the 7604.29.50.60, 7608.20.00.30, XV. Conclusion Department correct such errors.6 No 7608.20.00.90, 8302.10.30.00, [FR Doc. 2016–06449 Filed 3–21–16; 8:45 am] other party has submitted ministerial 8302.10.60.30, 8302.10.60.60, BILLING CODE 3510–DS–P error comments or rebuttal comments. Before the Department could take 8302.10.60.90, 8302.20.00.00, action on the alleged ministerial errors, 8302.30.30.10, 8302.30.30.60, DEPARTMENT OF COMMERCE both Taizhou United Imp & Exp Co Ltd. 8302.41.30.00, 8302.41.60.15, and the Jangho Companies filed a 8302.41.60.45, 8302.41.60.50, International Trade Administration summons and complaint with the U.S. 8302.41.60.80, 8302.42.30.10, 8302.42.30.15, 8302.42.30.65, [C–570–068] Court of International Trade (‘‘CIT’’) challenging the Final Results, which 8302.49.60.35, 8302.49.60.45, Aluminum Extrusions From the vested the CIT with jurisdiction over the 8302.49.60.55, 8302.49.60.85, People’s Republic of China: Amended administrative proceeding.7 On 8302.50.00.00, 8302.60.90.00, Final Results of Countervailing Duty 8305.10.00.50, 8306.30.00.00, Administrative Review; 2013 Administrative Review: Aluminum Extrusions from 8418.99.80.05, 8418.99.80.50, the People’s Republic of China, 2013 (Third 8418.99.80.60, 8419.90.10.00, AGENCY: Enforcement and Compliance, Review),’’ December 7, 2015 (Final Results Issues 8422.90.06.40, 8479.90.85.00, International Trade Administration, and Decision Memorandum). 8486.90.00.00, 8487.90.00.80, 3 For purposes of this administrative review, the 8503.00.95.20, 8515.90.20.00, Department of Commerce. Jangho Companies includes Guangzhou Jangho SUMMARY: On December 14, 2015, the Curtain Wall System Engineering Co., Ltd., 8516.90.50.00, 8516.90.80.50, Department of Commerce (the (Guangzhou Jangho); Jangho Group Co., Ltd. (Jangho 8708.80.65.90, 9401.90.50.81, Department) published the Final Results Group Co.); Beijing Jiangheyuan Holding Co., Ltd 9403.90.10.40, 9403.90.10.50, (Beijing Jiangheyuan); Beijing Jangho Curtain Wall 9403.90.10.85, 9403.90.25.40, of the administrative review of the System Engineering Co., Ltd. (Beijing Jangho); and countervailing duty (CVD) order 1 on Shanghai Jangho Curtain Wall System Engineering 9403.90.25.80, 9403.90.40.05, aluminum extrusions from the People’s Co., Ltd., (Shanghai Jangho). 9403.90.40.10, 9403.90.40.60, Republic of China (PRC) for the January 4 On December 17, 2015, the Department issued 9403.90.50.05, 9403.90.50.10, a memorandum correcting certain inadvertent 9403.90.50.80, 9403.90.60.05, 1, 2013, through December 31, 2013 errors in the Issues and Decision Memorandum. See period of review (POR).2 As explained Memorandum to the File from Tyler Weinhold: 9403.90.60.10, 9403.90.60.80, ‘‘Countervailing Duty Order on Aluminum 9403.90.70.05, 9403.90.70.10, 1 See Aluminum Extrusions from the People’s Extrusions from the People’s Republic of China: 9403.90.70.80, 9403.90.80.10, Republic of China: Countervailing Duty Order, 76 Errors in the Issues and Decision Memorandum for 9403.90.80.15, 9403.90.80.20, FR 30653 (May 26, 2011) (Order). the Final Results of the 2013 Administrative Review,’’ December 17, 2015. We hereby 9403.90.80.30, 9403.90.80.41, 2 See Aluminum Extrusions from the People’s 9403.90.80.51, 9403.90.80.61, Republic of China: Final Results, and Partial incorporate that memorandum by reference in this Rescission of Countervailing Duty Administrative notice. Review; 2013, 80 FR 77325, dated December 14, 5 See Final Results. 8 See Taizhou United Imp. & Exp. Co. Ltd. v. 2015 (Final Results); Memorandum from Christian 6 See letter from the Jangho Companies to the United States, CIT No. 16–00009; Guangzhou Marsh, Deputy Assistant Secretary for Antidumping Department regarding: ‘‘Aluminum Extrusions from Jangho Curtain Wall System Engineering Co., Ltd. and Countervailing Duty Operations to Paul the People’s Republic of China: Ministerial Errors,’’ et al v. United States, CIT No. 16–00012. Piquado Assistant Secretary for Enforcement and December 15, 2015 (Ministerial Error Allegation). 9 See Final Results Issues and Decision Compliance regarding: ‘‘Decision Memorandum for 7 See Zenith Elecs. Corp. v. United States, 884 Memorandum for a complete description of the the Final Results of Countervailing Duty F.2d 556, 561–62 (Fed. Cir. 1989). scope of the Order.

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9506.51.40.00, 9506.51.60.00, Amendment to Rates for Non-Selected Ad Valorem 9506.59.40.40, 9506.70.20.90, Companies Under Review Company rate 13 (percent) 9506.91.00.10, 9506.91.00.20, In light of the above corrections, for 9506.91.00.30, 9506.99.05.10, the 38 companies for which a review Foshan Shunde Aoneng 9506.99.05.20, 9506.99.05.30, was requested and not rescinded, but Electrical Appliances Co., 9506.99.15.00, 9506.99.20.00, were not selected as mandatory Ltd ...... 187.86 9506.99.25.80, 9506.99.28.00, Golden Dragon Precise Cop- respondents, we have recalculated the per Tube Group ...... 187.86 9506.99.55.00, 9506.99.60.80, net subsidy rate which is based on the Guandong JMA Aluminum 9507.30.20.00, 9507.30.40.00, overall subsidy rates calculated for the Profile (Group) Co., Ltd .... 28.01 9507.30.60.00, 9507.90.60.00, and 11 Guangdong Whirlpool Elec- mandatory respondents of this review. trical Appliances Co. Ltd ... 28.01 9603.90.80.50 We have also recalculated the net Guangdong Zhongya Alu- The subject merchandise entered as subsidy rate assigned to those minum Company Limited .. 28.01 parts of other aluminum products may companies for which we applied AFA Hanyung Alcobis Co., Ltd ..... 28.01 in the Final Results because the AFA Hangyung Metal (Suzhou) be classifiable under the following Co., Ltd ...... 28.01 additional Chapter 76 subheadings: rate includes the individual subsidy Henan New Kelong Electrical 7610.10, 7610.90, 7615.19, 7615.20, and rates determined for the glass for LTAR Appliances, Co., Ltd ...... 28.01 IDEX Dinglee Technology 7616.99 as well as under other HTSUS and aluminum extrusions for LTAR 12 (Tianjin) Co., Ltd ...... 28.01 chapters. In addition, fin evaporator programs. IDEX Technology Suzhou coils may be classifiable under HTSUS Amended Final Results of Co., Ltd ...... 28.01 Jangho Companies ...... 29.18 numbers: 8418.99.80.50 and Administrative Review Jiangsu Susun Group (HK) 8418.99.80.60. While HTSUS In accordance with 19 CFR 351.224(e) Co., Ltd ...... 28.01 subheadings are provided for Justhere Co., Ltd ...... 28.01 we determine the following amended Kromet International Inc...... 28.01 convenience and customs purposes, the final net subsidy rates for the 2013 Metaltek Group Co. Ltd ...... 28.01 written description of the scope of this administrative review: North Fenghua Aluminum Order is dispositive. Limited ...... 28.01 Ad Valorem Nidec Sankyo Singapore Correction to the Final Results 13 Pte. Ltd ...... 28.01 Company rate Nanhai Textiles Import & Ex- (percent) As discussed in the memoranda port Co., Ltd ...... 28.01 Permasteelisa Hong Kong accompanying this notice, and which Allied Maker Limited ...... 28.01 Ltd ...... 28.01 are hereby adopted by this notice, we Alnan Aluminum Co. Ltd ...... 28.01 Permasteelisa South China Bracalente Metal Producers Factory ...... 28.01 determine that the Final Results (Suzhou) Co. Ltd 14 ...... 28.01 contained two ministerial errors.10 Sapa Profiles (Shanghai) First, Changzhou Changzheng Co., Ltd ...... 28.01 in Guangzhou Jangho’s glass for less Evaporator Co., Ltd ...... 28.01 Shanghai Tongtai Precise Classic & Contemporary Inc. 28.01 Aluminum Alloy Manufac- than adequate remuneration (LTAR) Danfoss Micro Channel Heat purchases and benefits spreadsheet, we turing Co., Ltd ...... 28.01 Exchanger (Jia Xing) Co. Shenyang Yuanda Aluminum inadvertently referenced the wrong Ltd ...... 28.01 Industry Engineering Co., column in the transaction-specific Dongguan Golden Tiger Ltd ...... 28.01 Hardware Industrial Co., benefits formulas for Guangzhou Taishan City Kam Kiu Alu- Ltd ...... 28.01 minum Extrusion Co., Ltd 28.01 Jangho’s glass purchases. We have Dynamic Technologies China Taizhou United Imp & Exp corrected this error by modifying the Ltd ...... 187.86 Co Ltd ...... 28.01 Ever Extend Ent. Ltd ...... 28.01 relevant formula to refer to the correct Fenghua Metal Product Fac- tenKsolar (Shanghai) Co., column. Second, in Shanghai Jangho’s tory ...... 28.01 Ltd ...... 28.01 Foreign Trade Co. of Suzhou Union Industry (Asia) Co., aluminum extrusions for LTAR Limited ...... 28.01 purchases and benefits spreadsheet, the New & High Tech Indus- trial Development Zone ..... 187.86 Whirlpool Microwave Prod- formulas used to reference monthly ucts Development Ltd ...... 28.01 aluminum extrusions benchmark prices WTI Building Products, Ltd ... 187.86 11 For further information see Memorandum from Zhaoqing Asia Aluminum were returning the value for the wrong Davina Friedmann and Tyler Weinhold, Case Factory Company Ltd ...... 187.86 month in certain instances, and in some Analysts, to Robert James, Program Manager, Office Zhejiang Dongfeng Refrig- instances we had used incorrect VI, AD/CVD Operations, regarding: ‘‘Administrative eration Components Co. formulas. We have corrected these Review of Countervailing Duty Order on Aluminum Ltd ...... 28.01 Extrusions from the People’s Republic of China: Zhongya Shaped Aluminum errors. Non-Selected Rate Calculation Memorandum for (HK) Holding Limited ...... 28.01 the Amended Final Results,’’ dated concurrently Zhongshan Daya Hardware 10 See Memorandum from Tyler Weinhold and with these amended final results of review. Co., Ltd ...... 28.01 12 For further information see Memorandum from Zhaoqing New Zhongya Alu- Davina Friedmann, through Robert James, program minum Co., Ltd ...... 28.01 Manager, Office VI, to Scot Fullerton, Director, AD/ Davina Friedmann and Tyler Weinhold, Case CVD Operations, Office VI, regarding: Analysts, to Robert James, Program Manager, Office ‘‘Administrative Review of Countervailing Duty VI, AD/CVD Operations, regarding: ‘‘Administrative Assessment Rates Order on Aluminum Extrusions from the People’s Review of Countervailing Duty Order on Aluminum Republic of China: Ministerial Error Allegation,’’ Extrusions from the People’s Republic of China: The Department intends to issue dated concurrently with this memorandum AFA Calculation Memorandum for the Amended appropriate assessment instructions (Amended Final Results Decision Memorandum), Final Results,’’ dated concurrently with these directly to CBP 15 days after publication amended final results of review. and Memorandum from Tyler Weinhold through of these amended final results of review, Robert James, Program Manager, Office VI, to the 13 Because the net subsidy rate for the Guang Ya File, regarding: ‘‘Administrative Review of Group did not change as a result of these amended to liquidate appropriate shipments of Countervailing Duty Order on Aluminum final results, their net subsidy rate remains the same subject merchandise entered, or Extrusions from the People’s Republic of China: as was published in the Final Results. See Final withdrawn from warehouse, for Amended Final Results Analysis Memorandum for Results, 80 FR 77325, 77327. consumption on or after January 1, the Jangho Companies,’’ dated concurrently with 14 In the Final Results, the Department misspelled this memorandum (Amended Final Analysis the name of this company. This error has been 2013, through December 31, 2013, at the Memorandum for the Jangho Companies). corrected for these amended final results of review. ad valorem rates listed above.

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Cash Deposit Requirements DATES: Effective: March 22, 2016. classification is provided for The Department also intends to FOR FURTHER INFORMATION CONTACT: Cara convenience and customs purposes; instruct CBP to collect cash deposits of Lofaro or Brandon Farlander, AD/CVD however, the written description of the 4 estimated countervailing duties in the Operations, Office IV, Enforcement and scope is dispositive. amounts indicated above for each Compliance, International Trade Methodology Administration, Department of company listed above on shipments of The Department is conducting this subject merchandise entered, or Commerce, 1401 Constitution Avenue NW., Washington, DC 20230; telephone: review in accordance with section withdrawn from warehouse, for 751(a)(2)(B) of the Tariff Act of 1930, as consumption on or after December 14, (202) 482–5720 and (202) 482–0182, respectively. amended (the ‘‘Act’’) and 19 CFR 2015, the date of publication of the 351.214. For a full description of the Final Results. For all non-reviewed SUPPLEMENTARY INFORMATION: methodology underlying our firms, we will instruct CBP to continue Background conclusions, see the Preliminary to collect cash deposits of estimated Decision Memorandum, which is hereby countervailing duties at the most recent On August 27, 2015, the Department adopted by this notice. The Preliminary company-specific or all-others rate published a notice of initiation of a new Decision Memorandum is a public applicable to the company, as shipper review of the antidumping duty document and is on file electronically appropriate. These cash deposit order on xanthan gum from the PRC.1 via Enforcement and Compliance’s requirements, when imposed, shall The Department subsequently issued an Antidumping and Countervailing Duty remain in effect until further notice. We antidumping duty questionnaire, and Centralized Electronic Service System will disclose the calculations performed supplemental questionnaires, to IMJ and (‘‘ACCESS’’). ACCESS is available to for these amended final results to received timely responses thereto. Also, registered users at http:// interested parties within five business interested parties submitted comments access.trade.gov and is available in the days of the date of publication of this on surrogate country and surrogate Central Records Unit, Room B8024 of notice. value selection. the main Department of Commerce We are issuing and publishing these The Department has exercised its building. In addition, a complete results in accordance with sections discretion to toll all administrative version of the Preliminary Decision 751(a)(1), 751(h), and 777(i)(1) of the deadlines due to the recent closure of Memorandum can be accessed directly Act; and 19 CFR 351.224(e) and (h). the Federal Government because of at http://enforcement.trade.gov/frn/. Dated: March 15, 2016. Snowstorm ‘‘Jonas.’’ Thus, all of the The signed Preliminary Decision Paul Piquado, deadlines in this segment of the Memorandum and the electronic Assistant Secretary for Enforcement and proceeding have been extended by four version of the Preliminary Decision Compliance. business days. The revised deadline for Memorandum are identical in content. [FR Doc. 2016–06425 Filed 3–21–16; 8:45 am] the preliminary results of this review, after the four business-day extension, Preliminary Rescission of the BILLING CODE 3510–DS–P was February 23, 2016.2 However, on Antidumping New Shipper Review of February 17, 2016, the Department IMJ DEPARTMENT OF COMMERCE extended the time period for issuing the As discussed in the Bona Fide Sales preliminary results of this NSR by 21 Analysis Memorandum,5 the International Trade Administration days, until March 15, 2016.3 Department preliminarily finds that the sale made by IMJ’s affiliate in the [A–570–985] Scope of the Order United States, Jianlong USA, is not a Xanthan Gum From the People’s The scope of the order covers dry bona fide sale. The Department reached Republic of China: Preliminary xanthan gum, whether or not coated or this conclusion based on the totality of Rescission of 2014–2015 Antidumping blended with other products. Further, the circumstances surrounding the Duty New Shipper Review xanthan gum is included in this order reported sale, including the sales price, regardless of physical form, including, in conjunction with the timing of the AGENCY: Enforcement and Compliance, but not limited to, solutions, slurries, sale and the facts surrounding the International Trade Administration, dry powders of any particle size, or establishment and operations of IMJ’s Department of Commerce. unground fiber. Merchandise covered by U.S. affiliate, Jianlong USA. Because the SUMMARY: The Department of Commerce the scope of this order is classified in (‘‘the Department’’) is conducting a new the Harmonized Tariff Schedule 4 For a complete description of the scope of the shipper review (‘‘NSR’’) of the (‘‘HTS’’) of the United States at order, see ‘‘Decision Memorandum for the antidumping duty order on xanthan subheading 3913.90.20. This tariff Preliminary Rescission of the 2014–2015 Antidumping Duty New Shipper Review of gum from the People’s Republic of Xanthan Gum from the People’s Republic of China (‘‘PRC’’). The NSR covers one 1 See Xanthan Gum From the People’s Republic China,’’ from Christian Marsh, Deputy Assistant exporter and producer of subject of China: Initiation of Antidumping Duty New Secretary for Antidumping and Countervailing Duty merchandise, Inner Mongolia Jianlong Shipper Review, 80 FR 52031 (August 27, 2015) Operations, to Paul Piquado Assistant Secretary for (‘‘Initiation Notice’’). Enforcement and Compliance (‘‘Preliminary Biochemical Co., Ltd. (‘‘IMJ’’). The 2 See Memorandum to the Record from Ron Decision Memorandum’’), dated concurrently with period of review (‘‘POR’’) is July 1, 2014 Lorentzen, Acting Assistant Secretary for this notice. through June 30, 2015. The Department Enforcement & Compliance, regarding ‘‘Tolling of 5 See Memorandum from Cara Lofaro and preliminarily determines that IMJ did Administrative Deadlines as a Result of the Brandon Farlander, International Trade Analysts, Government Closure during Snowstorm Jonas,’’ Office IV AD/CVD Operations, to Abdelali not satisfy the regulatory requirements dated January 27, 2016. Elouaradia, Director, Office IV, AD/CVD Operations to request an NSR and did not make a 3 See Memorandum to Christian Marsh, Deputy entitled ‘‘2014–2015 Antidumping Duty New bona fide sale during the POR; Assistant Secretary for Antidumping and Shipper Review of Xanthan Gum From the People’s therefore, we are preliminarily Countervailing Duty Operations, ‘‘New Shipper Republic of China: Preliminary Bona Fide Sales Review of Xanthan Gum from the People’s Republic Analysis for Inner Mongolia Jianlong Biochemical rescinding this NSR. Interested parties of China: Extension of Deadline for Preliminary Co., Ltd.’’ dated concurrently with and hereby are invited to comment on the Results of Antidumping Duty New Shipper adopted by this notice (‘‘Bona Fide Sales Analysis preliminary results of this review. Review,’’ dated February 17, 2016. Memorandum’’).

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non-bona fide sale was the only issues raised in any briefs received, no Notification to Importers reported sale of subject merchandise later than 90 days after the date these This notice also serves as a during the POR, and thus there are no preliminary results of review are issued preliminary reminder to importers of reviewable transactions on this record, pursuant to section 751(a)(2)(B) of the their responsibility under 19 CFR we are preliminarily rescinding this Act. 351.402(f)(2) to file a certificate NSR.6 Because the factual information Assessment Rates regarding the reimbursement of used in our bona fides analysis of IMJ’s antidumping duties prior to liquidation sale involves business proprietary If the Department proceeds to a final rescission of IMJ’s NSR, the assessment of the relevant entries during this information, for a full discussion of the review period. Failure to comply with basis for our preliminary determination rate to which IMJ’s shipments will be subject will not be affected by this this requirement could result in the see the Bona Fide Sales Analysis Department’s presumption that Memorandum. review. However, the Department initiated an administrative review of the reimbursement of antidumping duties Public Comment antidumping duty order on xanthan occurred and the subsequent assessment Interested parties may submit case gum from the PRC covering numerous of double antidumping duties. We are issuing and publishing these briefs no later than 30 days after the exporters, including IMJ, for the period date of publication of the preliminary of July 1, 2014 through June 30, 2015, results in accordance with sections results of review.7 Rebuttals to case which is the period covered by this 751(a)(2)(B) and 777(i)(1) of the Act. briefs may be filed no later than five NSR.12 Thus, if the Department Dated: March 15, 2016. days after the briefs are filed. All proceeds to a final rescission, we will Paul Piquado, rebuttal comments must be limited to instruct U.S. Customs and Border Assistant Secretary for Enforcement and comments raised in the case briefs.8 Protection (‘‘CBP’’) to continue to Compliance. Interested parties who wish to request suspend subject merchandise exported Appendix I a hearing must submit a written request by IMJ and entered into the United to the Assistant Secretary for States during the period July 1, 2014 List of Sections in the Preliminary Decision Enforcement & Compliance, U.S. through June 30, 2015 until CBP Memorandum Department of Commerce, within 30 receives instructions relating to the 1. Summary days after the date of publication of this administrative review of this order 2. Background notice.9 Requests should contain the covering that period. 3. Scope of the Order party’s name, address, and telephone If the Department does not proceed to 4. Discussion of the Methodology 5. Conclusion number, the number of participants, and a final rescission of this new shipper a list of the issues to be discussed. Oral review, pursuant to 19 CFR [FR Doc. 2016–06423 Filed 3–21–16; 8:45 am] argument presentations will be limited 351.212(b)(1), we will calculate BILLING CODE 3510–DS–P to issues raised in the briefs. If a request importer-specific (or customer-specific) for a hearing is made, the Department assessment rates based on the final intends to hold the hearing at the U.S. results of this review. However, DEPARTMENT OF COMMERCE pursuant to the Department’s refinement Department of Commerce, 14th Street International Trade Administration and Constitution Avenue NW., to its assessment practice in NME Washington, DC 20230, at a date and cases,13 for entries that were not [A–602–809] time to be determined.10 Parties should reported in the U.S. sales database confirm by telephone the date, time, and submitted by IMJ, the Department will Certain Hot-Rolled Steel Flat Products location of the hearing two days before instruct CBP to liquidate such entries at From Australia: Preliminary the scheduled date. the PRC-wide rate. Determination of Sales at Less Than Fair Value and Postponement of Final All submissions, with limited Cash Deposit Requirements exceptions, must be filed electronically Determination Effective upon publication of the final using ACCESS. An electronically filed AGENCY: Enforcement and Compliance, rescission or the final results of this document must be received successfully International Trade Administration, NSR, the Department will instruct CBP in its entirety by the Department’s Department of Commerce. electronic records system, ACCESS, by to discontinue the option of posting a bond or security in lieu of a cash SUMMARY: The Department of Commerce 5 p.m. Eastern Time (‘‘ET’’) on the due (the ‘‘Department’’) preliminarily date. Documents excepted from the deposit for entries of IMJ’s subject merchandise. If the Department determines that certain hot-rolled steel electronic submission requirements flat products (‘‘hot-rolled steel’’) from must be filed manually (i.e., in paper proceeds to a final rescission of this NSR, the cash deposit rate will continue Australia are being, or are likely to be, form) with the APO/Dockets Unit in sold in the United States at less than fair Room 18022, and stamped with the date to be the PRC-wide rate for IMJ because the Department will not have value (‘‘LTFV’’), as provided in section and time of receipt by 5 p.m. ET on the 733(b) of the Tariff Act of 1930, as 11 determined an individual margin of due date. amended (‘‘the Act’’). The period of The Department intends to issue the dumping for IMJ. If the Department issues final results for this NSR, the investigation (‘‘POI’’) is July 1, 2014, final results of this NSR, which will through June 30, 2015. The estimated include the results of its analysis of Department will instruct CBP to collect cash deposits, effective upon the weighted-average dumping margins of sales at LTFV are shown in the 6 publication of the final results, at the See 19 CFR 351.213(d)(3). ‘‘Preliminary Determination’’ section of 7 See 19 CFR 351.309(c). rates established therein. 8 See 19 CFR 351.309(d). this notice. Interested parties are invited 9 See 19 CFR 351.310(c). 12 See Initiation of Antidumping and to comment on this preliminary 10 See 19 CFR 351.310(d). Countervailing Duty Administrative Reviews, 80 FR determination. 11 See Antidumping and Countervailing Duty 53106–53111 (September 2, 2015). DATES: Effective Date: March 22, 2016. Proceedings: Electronic Filing Procedures; 13 See Non-Market Economy Antidumping Administrative Protective Order Procedures, 76 FR Proceedings: Assessment of Antidumping Duties, FOR FURTHER INFORMATION CONTACT: 39263 (July 6, 2011). 76 FR 65694, 65694–95 (October 24, 2011). Frances Veith, AD/CVD Operations,

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Office V, Enforcement and Compliance, determination of this investigation on All-Others Rate 3 International Trade Administration, November 25, 2015. Pursuant to Consistent with sections U.S. Department of Commerce, 14th sections 733(c)(1)(B)(i) and (ii) of the 733(d)(1)(A)(ii) and 735(c)(5) of the Act, Street and Constitution Avenue NW., Act, we postponed the preliminary the Department also calculated an Washington, DC 20230; telephone: (202) determination by 50 days.4 As a result estimated all-others rate. Section 482–4295. of the postponement, the revised 735(c)(5)(A) of the Act provides that the SUPPLEMENTARY INFORMATION: deadline for the preliminary estimated all-others rate shall be an Background determination of this investigation is amount equal to the weighted average of March 8, 2016. However, as explained the estimated weighted-average The Department published the notice in the memorandum from the Acting dumping margins established for of initiation of this investigation on Assistant Secretary for Enforcement and exporters and producers individually September 9, 2015.1 For a complete Compliance, the Department has investigated, excluding any zero and de description of the events that followed exercised its discretion to toll all minimis margins, and any margins the initiation of this investigation, see administrative deadlines due to the determined entirely under section 776 the memorandum that is dated recent closure of the Federal of the Act. concurrently with this determination Government.5 All deadlines in this BlueScope is the only respondent for and hereby adopted by this notice.2 The investigation have been extended by which the Department calculated a Preliminary Decision Memorandum is a 6 company-specific rate. Therefore, for public document and is on file four business days. The revised purposes of determining the ‘‘all others’’ electronically via Enforcement and deadline for the preliminary rate and pursuant to section Compliance’s Antidumping and determination of this investigation is 735(d)(5)(A) of the Act, we are using the Countervailing Duty Centralized now March 14, 2016. dumping margin calculated for Electronic Service System (‘‘ACCESS’’). Methodology BlueScope, as referenced in the ACCESS is available to registered users ‘‘Preliminary Determination’’ section at https://access.trade.gov, and to all The Department is conducting this below. parties in the Central Records Unit, investigation in accordance with section room B8024 of the main Department of 731 of the Act. There is one mandatory Preliminary Determination Commerce building. In addition, a respondent participating in this The Department preliminarily complete version of the Preliminary investigation, the collapsed entity determines that the following weighted- Decision Memorandum can be found at BlueScope Steel Ltd., BlueScope Steel average dumping margins exist: http://enforcement.trade.gov/frn/. The (AIS) Pty Ltd., and BlueScope Steel signed Preliminary Decision Distribution Pty Ltd. (collectively, Weighted- Memorandum and the electronic ‘‘BlueScope’’). Export price and average version of the Preliminary Decision constructed export price for this Exporter/manufacturer dumping margin Memorandum are identical in content. company is calculated in accordance (percent) Scope of the Investigation with section 772 of the Act. Normal value (‘‘NV’’) is calculated in BlueScope Steel Ltd 8 ...... 23.25 The products covered by this accordance with section 773 of the Act. All Others ...... 23.25 investigation are hot-rolled steel from For a full description of the Australia. For a full description of the methodology underlying our Suspension of Liquidation scope of this investigation, see the preliminary conclusions, see the ‘‘Scope of the Investigation,’’ in In accordance with section 733(d)(2) Preliminary Decision Memorandum. Appendix I. of the Act, we are directing U.S. Single Entity Treatment Customs and Border Protection (‘‘CBP’’) Scope Comments to suspend liquidation of all entries of Certain interested parties commented For the reasons set forth in the hot-rolled steel from Australia, as on the scope of the investigation as it Preliminary Decision Memorandum and described in the Scope of the appeared in the Initiation Notice. For in accordance with 19 CFR 351.401(f) Investigation in Appendix I, entered, or discussion of those comments, see the and the Department’s practice, we are withdrawn from warehouse, for Preliminary Decision Memorandum. treating BlueScope Steel Ltd., consumption on or after the date of BlueScope Steel (AIS) Pty Ltd., and publication of this notice in the Federal Postponement of Deadline for Register. Preliminary Determination BlueScope Steel Distribution Pty Ltd. as a single entity, BlueScope, for the In accordance with 19 CFR The Department published the notice purposes of this preliminary 351.205(d), the Department will instruct of postponement of preliminary determination.7 CBP to require a cash deposit equal to the preliminary weighted-average 1 See Certain Hot-Rolled Steel Flat Products from 3 amount by which normal value exceeds Australia, Brazil, Japan, the Republic of Korea, the See Certain Hot-Rolled Steel Flat Products from Australia, Brazil, Japan, the Republic of Korea, the U.S. price, as indicated in the chart Netherlands, the Republic of Turkey, and the 9 United Kingdom: Initiation of Less-Than-Fair-Value Netherlands, the Republic of Turkey, and the above. These suspension of liquidation Investigations, 80 FR 54261 (September 9, 2015) United Kingdom: Postponement of Preliminary (‘‘Initiation Notice’’). Determinations of Antidumping Duty 8 In this investgation, the Department found that Investigations, 80 FR 73702 (November 25, 2015). 2 See Memorandum from Christian Marsh, Deputy BlueScope Steel Ltd., BlueScope Steel (AIS) Pty 4 Assistant Secretary for Antidumping and Id. Ltd., and BlueScope Steel Distribution Pty Ltd. are Countervailing Duty Operations, to Paul Piquado, 5 See Memorandum to the Record from Ron a single entity. See ‘‘Methodology’’ section above; Assistant Secretary for Enforcement and Lorentzen, Acting A/S for Enforcement and see also the ‘‘Affiliation and Collapsing’’ section of Compliance ‘‘Decision Memorandum for the Compliance, regarding ‘‘Tolling of Administrative the Preliminary Decision Memorandum. Preliminary Determination in the Antidumping Deadlines As a Result of the Government Closure 9 See Modification of Regulations Regarding the Duty Investigation of Certain Hot-Rolled Steel Flat During Snowstorm Jonas,’’ dated January 27, 2016. Practice of Accepting Bonds During the Provisional Products from Australia’’ (‘‘Preliminary Decision 6 Id. Measures Period in Antidumping and Memorandum’’), dated concurrently with this 7 See ‘‘Affiliation And Collapsing’’ section of the Countervailing Duty Investigations, 76 FR 61042 notice. Preliminary Decision Memorandum. (October 3, 2011).

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instructions will remain in effect until postponed until not later than 135 days Dated: March 14, 2016. further notice. after the date of the publication of the Paul Piquado, preliminary determination if, in the Disclosure Assistant Secretary for Enforcement and event of an affirmative preliminary Compliance. We will disclose the calculations determination, a request for such Appendix I performed to interested parties in this postponement is made by exporters who proceeding within five days of the date account for a significant proportion of The products covered by this investigation of publication of this notice in exports of the subject merchandise, or in are certain hot-rolled, flat-rolled steel accordance with 19 CFR 351.224(b). the event of a negative preliminary products, with or without patterns in relief, determination, a request for such and whether or not annealed, painted, Verification varnished, or coated with plastics or other postponement is made by Petitioners. 19 non-metallic substances. The products As provided in section 782(i) of the CFR 351.210(e)(2) requires that requests Act, we intend to verify information covered do not include those that are clad, by respondents for postponement of a plated, or coated with metal. The products relied upon in making our final final antidumping determination be covered include coils that have a width or determination. accompanied by a request for extension other lateral measurement (‘‘width’’) of 12.7 Public Comment of provisional measures from a four- mm or greater, regardless of thickness, and month period to a period not more than regardless of form of coil (e.g., in Interested parties are invited to six months in duration. successively superimposed layers, spirally comment on this preliminary oscillating, etc.). The products covered also determination. Case briefs or other On February 24, 2016, pursuant to 19 include products not in coils (e.g., in straight written comments may be submitted to CFR 351.210(b) and (e), BlueScope lengths) of a thickness of less than 4.75 mm the Assistant Secretary for Enforcement requested that, contingent upon an and a width that is 12.7 mm or greater and and Compliance no later than seven affirmative preliminary determination of that measures at least 10 times the thickness. days after the date on which the final sales at LTFV for BlueScope, the The products described above may be rectangular, square, circular, or other shape verification report is issued in this Department postpone the final determination and that provisional and include products of either rectangular or proceeding, and rebuttal briefs, limited non-rectangular cross-section where such to issues raised in case briefs, may be measures be extended to a period not to 12 cross-section is achieve subsequent to the submitted no later than five days after exceed six months. rolling process, i.e., products which have the deadline date for case briefs.10 In accordance with section been ‘‘worked after rolling’’ (e.g., products Pursuant to 19 CFR 351.309(c)(2) and 735(a)(2)(A) of the Act and 19 CFR which have been beveled or rounded at the (d)(2), parties who submit case briefs or 351.210(b)(2)(ii), because (1) our edges). For purposes of the width and rebuttal briefs in this proceeding are preliminary determination is thickness requirements referenced above: encouraged to submit with each affirmative; (2) the exporter accounts for (1) Where the nominal and actual a significant proportion of exports of the measurements vary, a product is within the argument: (1) A statement of the issue; scope if application of either the nominal or (2) a brief summary of the argument; subject merchandise; and (3) no actual measurement would place it within and (3) a table of authorities. compelling reasons for denial exist, we the scope based on the definitions set forth Pursuant to 19 CFR 351.310(c), are postponing the final determination above unless the resulting measurement interested parties who wish to request a and extending the provisional measures makes the product covered by the existing hearing must submit a written request to from a four-month period to a period antidumping 14 or countervailing duty 15 the Assistant Secretary for Enforcement not greater than six months. orders on Certain Cut-To-Length Carbon- and Compliance, U.S. Department of Accordingly, we will make our final Quality Steel Plate Products From the Commerce. All documents must be filed determination no later than 135 days Republic of Korea (A–580–836; C–580–837), after the date of publication of this and electronically using ACCESS. An (2) where the width and thickness vary for electronically-filed request must be preliminary determination, pursuant to a specific product (e.g., the thickness of 13 received successfully in its entirety by section 735(a)(2) of the Act. certain products with non-rectangular cross- ACCESS by 5:00 p.m. Eastern Standard International Trade Commission section, the width of certain products with Time, within 30 days after the date of non-rectangular shape, etc.), the (‘‘ITC’’) Notification publication of this notice.11 Requests measurement at its greatest width or should contain the party’s name, In accordance with section 733(f) of thickness applies. address, and telephone number, the the Act, we are notifying the ITC of our Steel products included in the scope of this number of participants, and a list of the investigation are products in which: (1) Iron affirmative preliminary determination of predominates, by weight, over each of the issues to be discussed. If a request for sales at LTFV. If our final determination other contained elements; (2) the carbon a hearing is made, the Department is affirmative, the ITC will determine content is 2 percent or less, by weight; and intends to hold the hearing at the U.S. before the later of 120 days after the date (3) none of the elements listed below exceeds Department of Commerce, 14th Street of this preliminary determination or 45 the quantity, by weight, respectively and Constitution Avenue NW., days after our final determination indicated: Washington, DC 20230, at a time and whether these imports are materially • 2.50 percent of manganese, or date to be determined. Parties should injuring, or threaten material injury to, confirm by telephone the date, time, and the U.S. industry. 14 Notice of Amendment of Final Determinations location of the hearing two days before of Sales at Less Than Fair Value and Antidumping This determination is issued and Duty Orders: Certain Cut-To-Length Carbon-Quality the scheduled date. published in accordance with sections Steel Plate Products From France, India, Indonesia, Postponement of Final Determination 733(f) and 777(i)(1) of the Act and 19 Italy, Japan and the Republic of Korea, 65 FR 6585 CFR 351.205(c). (February 10, 2000). and Extension of Provisional Measures 15 Notice of Amended Final Determinations: Section 735(a)(2) of the Act provides Certain Cut-to-Length Carbon-Quality Steel Plate 12 that a final determination may be See Letter to the Secretary of Commerce from From India and the Republic of Korea; and Notice BlueScope regarding, ‘‘Hot-Rolled Flat Products of Countervailing Duty Orders: Certain Cut-To- from Australia: Request for Postponement of the Length Carbon-Quality Steel Plate From France, 10 See 19 CFR 351.309. Final Determination’’ (February 24, 2016). India, Indonesia, Italy, and the Republic of Korea, 11 See 19 CFR 351.310(c). 13 See also 19 CFR 351.210(e). 65 FR 6587 (February 10, 2000).

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• 3.30 percent of silicon, or • Tool steels; 18 and IX. Discussion of the Methodology • 1.50 percent of copper, or • Silico-manganese steels; 19 X. Date of Sale • 1.50 percent of aluminum, or The products subject to this investigation XI. Product Comparisons • 1.25 percent of chromium, or are currently classified in the Harmonized XII. Export Price and Constructed Export • 0.30 percent of cobalt, or Tariff Schedule of the United States (HTSUS) Price • 0.40 percent of lead, or under item numbers: 7208.10.1500, XIII. Normal Value • 2.00 percent of nickel, or 7208.10.3000, 7208.10.6000, 7208.25.3000, XIV. Currency Conversion • 0.30 percent of tungsten, or 7208.25.6000, 7208.26.0030, 7208.26.0060, XV. Conclusion • 0.80 percent of molybdenum, or 7208.27.0030, 7208.27.0060, 7208.36.0030, [FR Doc. 2016–06447 Filed 3–21–16; 8:45 am] • 0.10 percent of niobium, or 7208.36.0060, 7208.37.0030, 7208.37.0060, • 0.30 percent of vanadium, or 7208.38.0015, 7208.38.0030, 7208.38.0090, BILLING CODE 3510–DS–P • 0.30 percent of zirconium. 7208.39.0015, 7208.39.0030, 7208.39.0090, Unless specifically excluded, products are 7208.40.6030, 7208.40.6060, 7208.53.0000, included in this scope regardless of levels of 7208.54.0000, 7208.90.0000, 7210.70.3000, DEPARTMENT OF COMMERCE boron and titanium. 7211.14.0030, 7211.14.0090, 7211.19.1500, For example, specifically included in this 7211.19.2000, 7211.19.3000, 7211.19.4500, International Trade Administration scope are vacuum degassed, fully stabilized 7211.19.6000, 7211.19.7530, 7211.19.7560, (commonly referred to as interstitial-free (IF)) 7211.19.7590, 7225.11.0000, 7225.19.0000, [A–412–825] steels, high strength low alloy (HSLA) steels, 7225.30.3050, 7225.30.7000, 7225.40.7000, the substrate for motor lamination steels, 7225.99.0090, 7226.11.1000, 7226.11.9030, Certain Hot-Rolled Steel Flat Products Advanced High Strength Steels (AHSS), and 7226.11.9060, 7226.19.1000, 7226.19.9000, From the United Kingdom: Affirmative Ultra High Strength Steels (UHSS). IF steels 7226.91.5000, 7226.91.7000, and Preliminary Determination of Sales at are recognized as low carbon steels with 7226.91.8000. The products subject to the Less Than Fair Value, Postponement micro-alloying levels of elements such as investigation may also enter under the of Final Determination and Extension titanium and/or niobium added to stabilize following HTSUS numbers: 7210.90.9000, of Provisional Measures carbon and nitrogen elements. HSLA steels 7211.90.0000, 7212.40.1000, 7212.40.5000, are recognized as steels with micro-alloying 7212.50.0000, 7214.91.0015, 7214.91.0060, AGENCY: Enforcement and Compliance, levels of elements such as chromium, copper, 7214.91.0090, 7214.99.0060, 7214.99.0075, International Trade Administration, niobium, titanium, vanadium, and 7214.99.0090, 7215.90.5000, 7226.99.0180, Department of Commerce. molybdenum. The substrate for motor and 7228.60.6000. SUMMARY: The Department of Commerce lamination steels contains micro-alloying The HTSUS subheadings above are levels of elements such as silicon and provided for convenience and U.S. Customs (the Department) preliminarily aluminum. AHSS and UHSS are considered purposes only. The written description of the determines that certain hot-rolled steel high tensile strength and high elongation scope of the investigation is dispositive. flat products (hot-rolled steel) from the steels, although AHSS and UHSS are covered United Kingdom are being, or are likely whether or not they are high tensile strength Appendix II to be, sold in the United States at less or high elongation steels. List of Topics Discussed in the Preliminary than fair value (LTFV), as provided in Subject merchandise includes hot-rolled Decision Memorandum section 733(b) of the Tariff Act of 1930, steel that has been further processed in a third country, including but not limited to I. Summary as amended (the Act). The period of pickling, oiling, levelling, annealing, II. Background investigation (POI) is July 1, 2014, tempering, temper rolling, skin passing, III. Period of Investigation through June 30, 2015. The estimated painting, varnishing, trimming, cutting, IV. Postponement of Final Determination and weighted-average dumping margins of punching, and/or slitting, or any other Extension of Provisional Measures sales at LTFV are shown in the processing that would not otherwise remove V. Preliminary Negative Determination of ‘‘Preliminary Determination’’ section of the merchandise from the scope of the Critical Circumstances this notice. Interested parties are invited VI. Scope of the Investigation investigation if performed in the country of to comment on this preliminary manufacture of the hot-rolled steel. VII. Scope Comments All products that meet the written physical VIII. Affiliation and Collapsing determination. description, and in which the chemistry DATES: Effective: March 22, 2016. quantities do not exceed any one of the noted (ii) not less than 0.22 nor more than 0.48 percent FOR FURTHER INFORMATION CONTACT: element levels listed above, are within the of manganese; (iii) none, or not more than 0.03 scope of this investigation unless specifically percent of sulfur; (iv) none, or not more than 0.03 Catherine Cartsos, AD/CVD Operations, excluded. The following products are outside percent of phosphorus; (v) not less than 0.18 nor Office I, Enforcement and Compliance, of and/or specifically excluded from the more than 0.37 percent of silicon; (vi) not less than International Trade Administration, 1.25 nor more than 1.65 percent of chromium; (vii) scope of this investigation: U.S. Department of Commerce, 1401 • none, or not more than 0.28 percent of nickel; (viii) Universal mill plates (i.e., hot-rolled, none, or not more than 0.38 percent of copper; and Constitution Avenue NW., Washington, flat-rolled products not in coils that have (ix) none, or not more than 0.09 percent of DC 20230; telephone: (202) 482–1757. been rolled on four faces or in a closed box molybdenum. SUPPLEMENTARY INFORMATION: pass, of a width exceeding 150 mm but not 18 Tool steels are defined as steels which contain exceeding 1250 mm, of a thickness not less the following combinations of elements in the Background than 4.0 mm, and without patterns in relief); quantity by weight respectively indicated: (i) More • Products that have been cold-rolled than 1.2 percent carbon and more than 10.5 percent The Department published the notice (cold-reduced) after hot-rolling; 16 chromium; or (ii) not less than 0.3 percent carbon of initiation of this investigation on and 1.25 percent or more but less than 10.5 percent • 17 1 Ball bearing steels; chromium; or (iii) not less than 0.85 percent carbon September 9, 2015. For a complete and 1 percent to 1.8 percent, inclusive, manganese; description of the events that followed 16 For purposes of this scope exclusion, rolling or (iv) 0.9 percent to 1.2 percent, inclusive, the initiation of this investigation, see operations such as a skin pass, levelling, temper chromium and 0.9 percent to 1.4 percent, inclusive, the memorandum that is dated rolling or other minor rolling operations after the molybdenum; or (v) not less than 0.5 percent carbon hot-rolling process for purposes of surface finish, and not less than 3.5 percent molybdenum; or (vi) concurrently with this determination flatness, shape control, or gauge control do not not less than 0.5 percent carbon and not less than constitute cold-rolling sufficient to meet this 5.5 percent tungsten. 1 See Certain Hot-Rolled Steel Flat Products From exclusion. 19 Silico-manganese steel is defined as steels Australia, Brazil, Japan, the Republic of Korea, the 17 Ball bearing steels are defined as steels which containing by weight: (i) Not more than 0.7 percent Netherlands, The Republic of Turkey, and the contain, in addition to iron, each of the following of carbon; (ii) 0.5 percent or more but not more than United Kingdom: Initiation of Less-Than-Fair-Value elements by weight in the amount specified: (i) Not 1.9 percent of manganese, and (iii) 0.6 percent or Investigations, 80 FR 54261 (September 9, 2015) less than 0.95 nor more than 1.13 percent of carbon; more but not more than 2.3 percent of silicon. (Initiation Notice).

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and hereby adopted by this notice.2 A to toll all administrative deadlines due Weighted- list of topics included in the to the recent closure of the Federal Exporter/producer average Preliminary Decision Memorandum is Government.5 All deadlines in this margin included as Appendix II to this notice. investigation have been extended by (percent) 6 The Preliminary Decision Memorandum four business days. The revised All-Others ...... 49.05 is a public document and is on file deadline for the preliminary electronically via Enforcement and determination of this investigation is Suspension of Liquidation Compliance’s Antidumping and now March 14, 2016. Countervailing Duty Centralized In accordance with section 733(d)(2) Methodology Electronic Service System (ACCESS). of the Act, we will direct U.S. Customs ACCESS is available to registered users The Department is conducting this and Border Protection (CBP) to suspend at https://access.trade.gov, and to all investigation in accordance with section liquidation of all entries of hot-rolled parties in the Central Records Unit, 731 of the Act. Export prices have been steel from the United Kingdom as Room B8024 of the main Department of calculated in accordance with section described in the scope of the Commerce building. In addition, a 772(a) of the Act. Constructed export investigation section entered, or complete version of the Preliminary prices have been calculated in withdrawn from warehouse, for Decision Memorandum can be found at accordance with section 772(b) of the consumption on or after the date of http://enforcement.trade.gov/frn/. The Act. Normal value (NV) is calculated in publication of this notice in the Federal signed Preliminary Decision accordance with section 773 of the Act. Register. Memorandum and the electronic For a full description of the Pursuant to section 733(d)(1)(B) of the version of the Preliminary Decision methodology underlying our Act and 19 CFR 351.205(d), the Memorandum are identical in content. preliminary conclusions, see the Department will instruct CBP to require Preliminary Decision Memorandum. a cash deposit equal to the weighted- Scope of the Investigation All-Others Rate average amount by which the NV The products covered by this exceeds U.S. price as indicated in the investigation are hot-rolled steel from Sections 733(d)(1)(A)(ii) and chart above. These suspension of the United Kingdom. For a full 735(c)(5)(A) of the Act provide that in liquidation instructions will remain in description of the scope of this the preliminary determination the effect until further notice. investigation, see the ‘‘Scope of the Department shall determine an Investigation,’’ in Appendix I. estimated all-others rate for all exporters Disclosure and producers not individually We intend to disclose the calculations Scope Comments investigated, which shall be an amount performed to interested parties in this Certain interested parties commented equal to the weighted average of the proceeding within five days of the date on the scope of the investigation as it estimated weighted-average dumping of publication of this notice in appeared in the Initiation Notice. For a margins established for exporters and accordance with 19 CFR 351.224(b). discussion of those comments, see the producers individually investigated, Interested parties are invited to Preliminary Decision Memorandum. excluding any zero and de minimis comment on this preliminary margins, and any margins determined determination. Postponement of Deadline for entirely under section 776 of the Act. Preliminary Determination The Department calculated a company- Verification The Department published the notice specific rate for Tata Steel UK Ltd. that As provided in section 782(i) of the of postponement of preliminary is not zero, de minimis or determined Act, we intend to verify information determination of this investigation on entirely under section 776 of the Act. relied upon in making our final November 25, 2015.3 Pursuant to Therefore, for purposes of determining determination. sections 733(c)(1)(B)(i) and (ii) of the the ‘‘all-others’’ rate and pursuant to Act, we postponed the preliminary section 735(c)(5)(A) of the Act, we are Public Comment determination by 50 days.4 As a result using the weighted-average dumping Case briefs or other written comments of the postponement, the deadline for margin calculated for Tata Steel UK Ltd. may be submitted to the Assistant the preliminary determination of this as the estimated weighted-average Secretary for Enforcement and investigation moved to March 8, 2016. dumping margin assigned to all other Compliance no later than seven days As explained in the memorandum from producers and exporters of the after the date on which the final the Acting Assistant Secretary for merchandise under consideration. verification report is issued in this Enforcement and Compliance, the Preliminary Determination proceeding, and rebuttal briefs, limited Department has exercised its discretion to issues raised in case briefs, may be The Department preliminarily submitted no later than five days after 2 See Memorandum from Christian Marsh, Deputy determines that the following weighted- the deadline date for case briefs.7 Assistant Secretary for Antidumping and average dumping margins exist: Countervailing Duty Operations, to Paul Piquado, Pursuant to 19 CFR 351.309(c)(2) and (d)(2), parties who submit case briefs or Assistant Secretary for Enforcement and Weighted- Compliance, ‘‘Decision Memorandum for the average rebuttal briefs in this proceeding are Preliminary Determination in the Less-Than-Fair- Exporter/producer margin encouraged to submit with each Value Investigation of Certain Hot-Rolled Steel Flat (percent) Products from the United Kingdom’’ (Preliminary argument: (1) A statement of the issue; Decision Memorandum), dated concurrently with (2) a brief summary of the argument; this notice. Tata Steel UK Ltd ...... 49.05 and (3) a table of authorities. 3 See Certain Hot-Rolled Steel Flat Products from Pursuant to 19 CFR 351.310(c), Australia, Brazil, Japan, the Republic of Korea, the 5 See Memorandum to the Record from Ron interested parties who wish to request a Netherlands, the Republic of Turkey, and the Lorentzen, Acting A/S for Enforcement and United Kingdom: Postponement of Preliminary Compliance, regarding ‘‘Tolling of Administrative hearing, limited to issues raised in the Determinations of Antidumping Duty Deadlines As a Result of the Government Closure Investigations, 80 FR 73702 (November 25, 2015). During Snowstorm Jonas’’ dated January 27, 2016. 7 See 19 CFR 351.309; see also 19 CFR 351.303 4 Id. 6 Id. (for general filing requirements).

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case and rebuttal briefs, must submit a exports of the subject merchandise; 10 which have been beveled or rounded at the written request to the Assistant and (3) no compelling reasons for denial edges). For purposes of the width and Secretary for Enforcement and exist, we are postponing the final thickness requirements referenced above: Compliance, U.S. Department of determination and extending the (1) Where the nominal and actual measurements vary, a product is within the Commerce. All documents must be filed provisional measures from a four-month scope if application of either the nominal or electronically using ACCESS. An period to a period not greater than six actual measurement would place it within electronically-filed request must be months. Accordingly, we will make our the scope based on the definitions set forth received successfully in its entirety by final determination no later than 135 above unless the resulting measurement ACCESS by 5:00 p.m. Eastern Time, days after the date of publication of this makes the product covered by the existing within 30 days after the date of preliminary determination, pursuant to antidumping 12 or countervailing duty 13 publication of this notice.8 Requests section 735(a)(2) of the Act.11 orders on Certain Cut-To-Length Carbon- should contain the party’s name, Quality Steel Plate Products From the address, and telephone number, the International Trade Commission (ITC) Republic of Korea (A–580–836; C–580–837), Notification and number of participants, and a list of the (2) where the width and thickness vary for issues to be discussed. If a request for In accordance with section 733(f) of a specific product (e.g., the thickness of a hearing is made, the Department the Act, we are notifying the ITC of our certain products with non-rectangular cross- intends to hold the hearing at the U.S. affirmative preliminary determination of section, the width of certain products with Department of Commerce, 1401 sales at LTFV. If our final determination non-rectangular shape, etc.), the Constitution Avenue NW., Washington, is affirmative, the ITC will determine measurement at its greatest width or DC 20230, at a time and date to be before the later of 120 days after the date thickness applies. determined. Parties should confirm by of this preliminary determination or 45 Steel products included in the scope of this telephone the date, time, and location of investigation are products in which: (1) Iron days after our final determination predominates, by weight, over each of the the hearing two days before the whether these imports are materially other contained elements; (2) the carbon scheduled date. injuring, or threaten material injury to, content is 2 percent or less, by weight; and Postponement of Final Determination the U.S. industry. (3) none of the elements listed below exceeds and Extension of Provisional Measures This determination is issued and the quantity, by weight, respectively published in accordance with sections indicated: Section 735(a)(2) of the Act provides 733(f) and 777(i)(1) of the Act and 19 • 2.50 percent of manganese, or that a final determination may be CFR 351.205(c). • 3.30 percent of silicon, or postponed until not later than 135 days • 1.50 percent of copper, or after the date of the publication of the Dated: March 14, 2016. • 1.50 percent of aluminum, or preliminary determination if, in the Paul Piquado, • 1.25 percent of chromium, or Assistant Secretary for Enforcement and • 0.30 percent of cobalt, or event of an affirmative preliminary • determination, a request for such Compliance. 0.40 percent of lead, or • 2.00 percent of nickel, or postponement is made by exporters who Appendix I • 0.30 percent of tungsten, or account for a significant proportion of • 0.80 percent of molybdenum, or Scope of the Investigation exports of the subject merchandise, or in • 0.10 percent of niobium, or the event of a negative preliminary The products covered by this investigation • 0.30 percent of vanadium, or determination, a request for such are certain hot-rolled, flat-rolled steel • 0.30 percent of zirconium. postponement is made by petitioners. 19 products, with or without patterns in relief, Unless specifically excluded, products are CFR 351.210(e)(2) requires that requests and whether or not annealed, painted, included in this scope regardless of levels of varnished, or coated with plastics or other by respondents for postponement of a boron and titanium. non-metallic substances. The products For example, specifically included in this final antidumping determination be covered do not include those that are clad, accompanied by a request for extension scope are vacuum degassed, fully stabilized plated, or coated with metal. The products (commonly referred to as interstitial-free (IF)) of provisional measures from a four- covered include coils that have a width or steels, high strength low alloy (HSLA) steels, month period to a period not more than other lateral measurement (‘‘width’’) of 12.7 the substrate for motor lamination steels, six months in duration. mm or greater, regardless of thickness, and Advanced High Strength Steels (AHSS), and On February 22, 2016, pursuant to 19 regardless of form of coil (e.g., in Ultra High Strength Steels (UHSS). IF steels CFR 351.210(b) and (e), Tata Steel UK successively superimposed layers, spirally are recognized as low carbon steels with Ltd. requested that, contingent upon an oscillating, etc.). The products covered also micro-alloying levels of elements such as affirmative preliminary determination of include products not in coils (e.g., in straight titanium and/or niobium added to stabilize lengths) of a thickness of less than 4.75 mm carbon and nitrogen elements. HSLA steels sales at LTFV for the respondents, the and a width that is 12.7 mm or greater and Department postpone the final are recognized as steels with micro-alloying that measures at least 10 times the thickness. levels of elements such as chromium, copper, determination and that provisional The products described above may be niobium, titanium, vanadium, and measures be extended to a period not to rectangular, square, circular, or other shape molybdenum. The substrate for motor exceed six months.9 and include products of either rectangular or lamination steels contains micro-alloying In accordance with section non-rectangular cross-section where such levels of elements such as silicon and 735(a)(2)(A) of the Act and 19 CFR cross-section is achieve subsequent to the rolling process, i.e., products which have 351.210(b)(2)(ii), because (1) our 12 Notice of Amendment of Final Determinations preliminary determination is been ‘‘worked after rolling’’ (e.g., products of Sales at Less Than Fair Value and Antidumping affirmative; (2) the requesting exporter Duty Orders: Certain Cut-To-Length Carbon-Quality 10 See Memorandum to Christian Marsh, Deputy Steel Plate Products From France, India, Indonesia, accounts for a significant proportion of Assistant Secretary for Antidumping and Italy, Japan and the Republic of Korea, 65 FR 6585 Countervailing Duty Operations, from Minoo (February 10, 2000). 8 See 19 CFR 351.310(c). Hatten, Program Manager, for Antidumping and 13 Notice of Amended Final Determinations: 9 See Letter to the Secretary of Commerce from Countervailing Duty Operations, Office I, Certain Cut-to-Length Carbon-Quality Steel Plate Tata Steel UK Ltd., ‘‘Antidumping Duty ‘‘Antidumping Duty Investigation of Certain Hot- From India and the Republic of Korea; and Notice Investigation of Certain Hot-Rolled Steel Flat Rolled Steel Flat Products from the United of Countervailing Duty Orders: Certain Cut-To- Products from the United Kingdom: Request for Kingdom: Respondent Selection’’ dated October 1, Length Carbon-Quality Steel Plate From France, Postponement of Final Determination’’ (February 2015. India, Indonesia, Italy, and the Republic of Korea, 22, 2016). 11 See also 19 CFR 351.210(e). 65 FR 6587 (February 10, 2000).

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aluminum. AHSS and UHSS are considered under item numbers: 7208.10.1500, Atmospheric Administration (NOAA), high tensile strength and high elongation 7208.10.3000, 7208.10.6000, 7208.25.3000, Commerce. steels, although AHSS and UHSS are covered 7208.25.6000, 7208.26.0030, 7208.26.0060, whether or not they are high tensile strength 7208.27.0030, 7208.27.0060, 7208.36.0030, ACTION: Notice of public meetings. or high elongation steels. 7208.36.0060, 7208.37.0030, 7208.37.0060, SUMMARY: Subject merchandise includes hot-rolled 7208.38.0015, 7208.38.0030, 7208.38.0090, The Mid-Atlantic Fishery steel that has been further processed in a 7208.39.0015, 7208.39.0030, 7208.39.0090, Management Council’s (Council) third country, including but not limited to 7208.40.6030, 7208.40.6060, 7208.53.0000, Tilefish Advisory Panel will hold a pickling, oiling, levelling, annealing, 7208.54.0000, 7208.90.0000, 7210.70.3000, public meeting. tempering, temper rolling, skin passing, 7211.14.0030, 7211.14.0090, 7211.19.1500, DATES: The meeting will be held painting, varnishing, trimming, cutting, 7211.19.2000, 7211.19.3000, 7211.19.4500, Tuesday, April 5, 2016, from 1 p.m. punching, and/or slitting, or any other 7211.19.6000, 7211.19.7530, 7211.19.7560, processing that would not otherwise remove 7211.19.7590, 7225.11.0000, 7225.19.0000, until 4 p.m. the merchandise from the scope of the 7225.30.3050, 7225.30.7000, 7225.40.7000, ADDRESSES: The meeting will be held investigation if performed in the country of 7225.99.0090, 7226.11.1000, 7226.11.9030, via webinar with a telephone-only manufacture of the hot-rolled steel. 7226.11.9060, 7226.19.1000, 7226.19.9000, connection option. All products that meet the written physical 7226.91.5000, 7226.91.7000, and Council address: Mid-Atlantic Fishery description, and in which the chemistry 7226.91.8000. The products subject to the Management Council, 800 N. State St., quantities do not exceed any one of the noted investigation may also enter under the element levels listed above, are within the following HTSUS numbers: 7210.90.9000, Suite 201, Dover, DE 19901; telephone: scope of this investigation unless specifically 7211.90.0000, 7212.40.1000, 7212.40.5000, (302) 674–2331. excluded. The following products are outside 7212.50.0000, 7214.91.0015, 7214.91.0060, FOR FURTHER INFORMATION CONTACT: of and/or specifically excluded from the 7214.91.0090, 7214.99.0060, 7214.99.0075, Christopher M. Moore, Ph.D. Executive scope of this investigation: 7214.99.0090, 7215.90.5000, 7226.99.0180, Director, Mid-Atlantic Fishery • Universal mill plates (i.e., hot-rolled, flat- and 7228.60.6000. Management Council; telephone: (302) rolled products not in coils that have been The HTSUS subheadings above are provided for convenience and U.S. Customs 526–5255. The Council’s Web site, rolled on four faces or in a closed box pass, www.mafmc.org also has details on the of a width exceeding 150 mm but not purposes only. The written description of the exceeding 1250 mm, of a thickness not less scope of the investigation is dispositive. proposed agenda, webinar access, and briefing materials. than 4.0 mm, and without patterns in Appendix II relief); SUPPLEMENTARY INFORMATION: This • Products that have been cold-rolled (cold- List of Topics Discussed in the Preliminary meeting will gather input on the reduced) after hot-rolling; 14 Decision Memorandum: Council’s Blueline Tilefish Management • 15 Ball bearing steels; I. Summary Amendment. See http://www.mafmc. • Tool steels; 16 and II. Background • Silico-manganese steels; 17 org/actions/blueline-tilefish for details III. Period of Investigation on the Amendment. The products subject to this investigation IV. Scope of the Investigation are currently classified in the Harmonized V. Scope Comments Although non-emergency issues not Tariff Schedule of the United States (HTSUS) VI. Discussion of Methodology contained in this agenda may come A. Determination of the Comparison before this group for discussion, in 14 For purposes of this scope exclusion, rolling Method accordance with the Magnuson-Stevens operations such as a skin pass, levelling, temper B. Results of the Differential Pricing Fishery Conservation and Management rolling or other minor rolling operations after the Analysis Act (Magnuson-Stevens Act), those hot-rolling process for purposes of surface finish, VII. Date of Sale issues may not be the subject of formal flatness, shape control, or gauge control do not VIII. Product Comparisons constitute cold-rolling sufficient to meet this IX. Export Price and Constructed Export action during these meetings. exclusion. Price 15 Ball bearing steels are defined as steels which Special Accommodations X. Normal Value contain, in addition to iron, each of the following This meeting is physically accessible elements by weight in the amount specified: (i) Not A. Comparison Market Viability less than 0.95 nor more than 1.13 percent of carbon; B. Affiliated Party Transactions and Arm’s- to people with disabilities. Requests for (ii) not less than 0.22 nor more than 0.48 percent Length Test sign language interpretation or other of manganese; (iii) none, or not more than 0.03 C. Level of Trade auxiliary aid should be directed to M. percent of sulfur; (iv) none, or not more than 0.03 D. Cost of Production Analysis Jan Saunders, (302) 526–5251, at least 5 percent of phosphorus; (v) not less than 0.18 nor 1. Calculation of COP days prior to the meeting date. more than 0.37 percent of silicon; (vi) not less than 2. Test of Comparison Market Sales Prices 1.25 nor more than 1.65 percent of chromium; (vii) 3. Results of the COP Test Dated: March 17, 2016. none, or not more than 0.28 percent of nickel; (viii) none, or not more than 0.38 percent of copper; and E. Calculation of NV Based on Comparison- Tracey L. Thompson, (ix) none, or not more than 0.09 percent of Market Prices Acting Deputy Director, Office of Sustainable molybdenum. XI. Currency Conversion Fisheries, National Marine Fisheries Service. 16 Tool steels are defined as steels which contain XII. Conclusion [FR Doc. 2016–06405 Filed 3–21–16; 8:45 am] the following combinations of elements in the [FR Doc. 2016–06462 Filed 3–21–16; 8:45 am] quantity by weight respectively indicated: (i) More BILLING CODE 3510–22–P than 1.2 percent carbon and more than 10.5 percent BILLING CODE 3510–DS–P chromium; or (ii) not less than 0.3 percent carbon and 1.25 percent or more but less than 10.5 percent DEPARTMENT OF COMMERCE chromium; or (iii) not less than 0.85 percent carbon DEPARTMENT OF COMMERCE and 1 percent to 1.8 percent, inclusive, manganese; National Oceanic and Atmospheric or (iv) 0.9 percent to 1.2 percent, inclusive, National Oceanic and Atmospheric chromium and 0.9 percent to 1.4 percent, inclusive, Administration molybdenum; or (v) not less than 0.5 percent carbon Administration and not less than 3.5 percent molybdenum; or (vi) RIN 0648–XE522 Mid-Atlantic Fishery Management not less than 0.5 percent carbon and not less than Council (MAFMC); Public Meetings 5.5 percent tungsten. Mid-Atlantic Fishery Management 17 Silico-manganese steel is defined as steels AGENCY: National Marine Fisheries containing by weight: (i) Not more than 0.7 percent Council (MAFMC); Public Meetings of carbon; (ii) 0.5 percent or more but not more than Service (NMFS), National Oceanic and 1.9 percent of manganese, and (iii) 0.6 percent or AGENCY: National Marine Fisheries Atmospheric Administration (NOAA), more but not more than 2.3 percent of silicon. Service (NMFS), National Oceanic and Commerce.

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ACTION: Notice of public meeting. ACTION: Notice; receipt of application. californianus), 25 threatened Guadalupe fur seals (Arctocephalus townsendi), SUMMARY: The Mid-Atlantic Fishery SUMMARY: Notice is hereby given that and 25 northern fur seals (Callorhinus Management Council (Council) will the California State University, ursinus) in rehabilitation annually to hold a public information meeting to Bakersfield [Responsible Party: Antje perform immunodiffusion assays. In gather input on the likely impacts of Lauer, Ph.D.], 9001 Stockdale Highway, addition, the applicant proposes to alternative spiny dogfish trip limits. Bakersfield, CA 93311–1022, has perform the Spherusol skin test on up DATES: The meeting will be held applied in due form for a permit to to 500 California sea lions in Thursday, April 7, 2016, from 7 p.m. to conduct research on pinnipeds for rehabilitation annually. The skin test 8:30 p.m. scientific research, and receive, import, includes administering a drug ADDRESSES: The meeting will be held and export specimens from these intradermally and subsequent via webinar with a telephone-only species. observation, photograph/video of connection option. DATES: Written, telefaxed, or email swelling/induration after a period of Council address: Mid-Atlantic Fishery comments must be received on or before time (i.e., hours). The objective is to Management Council, 800 N. State St., April 21, 2016. research Coccidioidomycosis (Valley Suite 201, Dover, DE 19901; telephone: ADDRESSES: The application and related fever) on stranded marine mammals (302) 674–2331. documents are available for review by along California’s coast. The goal is to FOR FURTHER INFORMATION CONTACT: selecting ‘‘Records Open for Public successfully detect the animal’s Christopher M. Moore, Ph.D. Executive Comment’’ from the ‘‘Features’’ box on exposure to Coccidioides spp. and Director, Mid-Atlantic Fishery the Applications and Permits for compare the sensitivity of the tests to Management Council; telephone: (302) Protected Species (APPS) home page, further health studies on the above- 526–5255. The Council’s Web site, https://apps.nmfs.noaa.gov, and then named marine mammal species. A www.mafmc.org also has details on the selecting File No. 19706 from the list of permit is requested for a 3-year period. proposed agenda, webinar access, and available applications. In compliance with the National briefing materials. These documents are also available Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.), an initial SUPPLEMENTARY INFORMATION: For 2016– upon written request or by appointment determination has been made that the 18 specifications, the Mid-Atlantic and in the Permits and Conservation activity proposed is categorically New England Fishery Management Division, Office of Protected Resources, excluded from the requirement to Councils took no action on the spiny NMFS, 1315 East-West Highway, Room prepare an environmental assessment or dogfish trip limit, which would 13705, Silver Spring, MD 20910; phone environmental impact statement. maintain the current 5,000 pound trip (301) 427–8401; fax (301) 713–0376. Written comments on this application Concurrent with the publication of limit. The Atlantic States Marine this notice in the Federal Register, Fisheries Commission (ASMFC) has should be submitted to the Chief, Permits and Conservation Division, at NMFS is forwarding copies of the requested that the trip limit be increased application to the Marine Mammal to 6,000 pounds (http://www.mafmc. the address listed above. Comments may _ _ also be submitted by facsimile to (301) Commission and its Committee of org/s/2016 Spiny-Dogfish-to-GARFO Scientific Advisors. trip-limits-REB-edits_AH-2.pdf), and 713–0376, or by email to this webinar-based meeting will gather [email protected]. Please Dated: March 16, 2016. public input on the potential impacts of include the File No. 19706 in the subject Julia Harrison, changing the spiny dogfish trip limit. line of the email comment. Chief, Permits and Conservation Division, Those individuals requesting a public Office of Protected Resources, National Special Accommodations hearing should submit a written request Marine Fisheries Service. The meeting is physically accessible to the Chief, Permits and Conservation [FR Doc. 2016–06343 Filed 3–21–16; 8:45 am] to people with disabilities. Requests for Division at the address listed above. The BILLING CODE 3510–22–P sign language interpretation or other request should set forth the specific auxiliary aid should be directed to M. reasons why a hearing on this Jan Saunders, (302) 526–5251, at least 5 application would be appropriate. DEPARTMENT OF COMMERCE days prior to the meeting date. FOR FURTHER INFORMATION CONTACT: Rosa National Oceanic and Atmospheric Dated: March 17, 2016. L. Gonza´lez or Jennifer Skidmore; phone: (301) 427–8401. Administration Tracey L. Thompson, SUPPLEMENTARY INFORMATION: RIN 0648–XE501 Acting Deputy Director, Office of Sustainable The Fisheries, National Marine Fisheries Service. subject permit is requested under the authority of the Marine Mammal National Essential Fish Habitat Summit [FR Doc. 2016–06389 Filed 3–21–16; 8:45 am] Protection Act of 1972, as amended Public Meeting BILLING CODE 3510–22–P (MMPA; 16 U.S.C. 1361 et seq.), the AGENCY: National Marine Fisheries regulations governing the taking and Service (NMFS), National Oceanic and DEPARTMENT OF COMMERCE importing of marine mammals (50 CFR Atmospheric Administration (NOAA), part 216), the Endangered Species Act of Commerce. National Oceanic and Atmospheric 1973, as amended (ESA; 16 U.S.C. 1531 ACTION: Notice of public meeting. Administration et seq.), the regulations governing the taking, importing, and exporting of SUMMARY: The National Marine RIN 0648–XE481 endangered and threatened species (50 Fisheries Service will host a public Marine Mammals; File No. 19706 CFR 222–226), and the Fur Seal Act of meeting, consisting of representatives 1966, as amended (16 U.S.C. 1151 et from the Regional Fishery Management AGENCY: National Marine Fisheries seq.). Councils, the National Marine Fisheries Service (NMFS), National Oceanic and The applicant proposes to receive, Service, and interested members of the Atmospheric Administration (NOAA), import, and export blood sera from up public. The purpose of the meeting is to Commerce. to 500 California sea lions (Zalophus identify and share opportunities,

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challenges, and successful approaches DEPARTMENT OF COMMERCE research.htm without change. All for the effective implementation of the Personal Identifying Information (for Magnuson-Stevens Fishery National Oceanic and Atmospheric example, name, address, etc.) Conservation and Management Act Administration voluntarily submitted by the commenter may be publicly accessible. Do not Essential Fish Habitat authorities. RIN 0648–XE468 Registration is required, and submit confidential business participation may be limited. See Takes of Marine Mammals Incidental to information or otherwise sensitive or http://www.fisheriesforum.org/our- Specified Activities; Seabird Research protected information. To obtain an electronic copy of the work/special-projects/efh-summit for Activities in Central California, 2016– 2016 renewal request, the 2015 more information and to register. 2017 application, our draft Environmental DATES: The meeting will begin Tuesday, AGENCY: National Marine Fisheries Assessment (EA), or a list of the May 17, 2016, at 8:30 a.m. and will end Service (NMFS), National Oceanic and references, write to the previously on Thursday, May 19, 2016, at 3 p.m. Atmospheric Administration (NOAA), mentioned address, telephone the Commerce. contact listed here (see FOR FURTHER ADDRESSES: The meeting will be held at ACTION: Notice; proposed incidental INFORMATION CONTACT), or visit the the Westin Annapolis, 100 Westgate harassment authorization; request for Internet at: http://www.nmfs.noaa.gov/ Circle, Annapolis, MD 21401, comments. pr/permits/incidental/research.htm. telephone: 410–972–4300. Information in Point Blue’s application, our draft EA and this notice FOR FURTHER INFORMATION CONTACT: SUMMARY: NMFS (hereinafter, ‘‘we’’ or collectively provide the environmental Terra Lederhouse at (301) 427–8639 or ‘‘our’’) received an application from information related to the proposed [email protected]. Point Blue Conservation Science (Point Blue) requesting an Incidental issuance of the Authorization for public SUPPLEMENTARY INFORMATION: The Harassment Authorization review and comment. Essential Fish Habitat (EFH) Summit is (Authorization) to take marine FOR FURTHER INFORMATION CONTACT: Robt a collaborative effort between the mammals, by harassment, incidental to Pauline, Office of Protected Resources, National Marine Fisheries Service, the conducting proposed seabird research NMFS (301) 427–8401. Regional Fishery Management Councils, activities on Southeast Farallon Island, SUPPLEMENTARY INFORMATION: An˜ o Nuevo Island, and Point Reyes and the Fisheries Leadership and Background Sustainability Forum. The final agenda National Seashore in central California will be responsive to the interests, from May 2016 through May 2017. Per Sections 101(a)(5)(A) and (D) of the questions, and areas of expertise among the Marine Mammal Protection Act, we Marine Mammal Protection Act of 1972, as amended (MMPA; 16 U.S.C. 1361 et participating National Marine Fisheries request comments on our proposal to seq.) direct the Secretary of Commerce Service and Regional Fishery issue an Authorization to Point Blue to to allow, upon request, the incidental, Management Council representatives, incidentally take, by Level B harassment only, five species [i.e., California sea but not intentional, taking of small and may include discussions on EFH numbers of marine mammals of a conservation roles, responsibilities, and lion (Zalophus californianus), Pacific harbor seal (Phoca vitulina), northern species or population stock, by U.S. process, the use of habitat science for elephant seal (Mirounga angustirostris), citizens who engage in a specified management decisions, EFH and the northern fur seal (Callorhinus ursinus), activity (other than commercial fishing) changing marine environment, and the and Steller sea lion (Eumetopias within a specified geographical region future of EFH conservation. A copy of jubatus)] of marine mammals during the if, after NMFS provides a notice of a the final agenda will be available at specified activity. proposed authorization to the public for http://www.fisheriesforum.org/our- review and comment: (1) NMFS makes DATES: NMFS must receive comments work/special-projects/efh-summit. certain findings; and (2) the taking is and information no later than April 21, limited to harassment. Special Accommodations 2016. An Authorization for incidental ADDRESSES: Address comments on the The meeting location is physically takings for marine mammals shall be application to Jolie Harrison, Chief, granted if NMFS finds that the taking accessible to people with disabilities. Permits and Conservation Division, will have a negligible impact on the Requests for sign language Office of Protected Resources, National species or stock(s), will not have an interpretation or other auxiliary aids Marine Fisheries Service, 1315 East- unmitigable adverse impact on the should be directed to Terra Lederhouse West Highway, Silver Spring, MD availability of the species or stock(s) for at (301) 427–8639 at least 5 days prior 20910. The mailbox address for subsistence uses (where relevant), and if to the meeting date. providing email comments is the permissible methods of taking and Dated: March 17, 2016. [email protected]. You must requirements pertaining to the Carrie Selberg, include 0648–XE468 in the subject line. mitigation, monitoring, and reporting of We are not responsible for email Deputy Director, Office of Habitat such taking are set forth. NMFS has comments sent to addresses other than defined ‘‘negligible impact’’ in 50 CFR Conservation, National Marine Fisheries the one provided here. Comments sent Service. 216.103 as ‘‘an impact resulting from via email, including all attachments, [FR Doc. 2016–06414 Filed 3–21–16; 8:45 am] the specified activity that cannot be must not exceed a 25-megabyte file size. reasonably expected to, and is not BILLING CODE 3510–22–P NMFS is not responsible for email reasonably likely to, adversely affect the comments sent to addresses other than species or stock through effects on the one provided here. annual rates of recruitment or survival.’’ Instructions: All submitted comments are a part of the public record and Summary of Request NMFS will post them to http://www. On September 29, 2015, NMFS nmfs.noaa.gov/pr/permits/incidental/ received an application from Point Blue

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requesting the taking by harassment of 44,871 California sea lions, 343 harbor ft (15.2 m) of the haul-out areas to enter marine mammals incidental to seals, 196 northern elephant seals, and the observation blinds to observe conducting seabird research activities 106 Steller sea lions by Level B shorebirds. on Southeast Farallon Island, An˜ o harassment only. Point Blue did not Field Station Resupply on Southeast Nuevo Island, and Point Reyes National request take for northern fur seals in Farallon Island Seashore in central California. Point their application. However, as explained Blue, along with partners Oikonos later in this document, we have Point Blue proposes to resupply the Ecosystem Knowledge and Point Reyes considered the potential for Point Blue’s field station once every two weeks at a National Seashore, plan to conduct the activities to take a small number of this maximum frequency of 26 visits. proposed activities for one year. These species. Resupply activities involve personnel partners are conducting this research To date, we have issued seven, one- approaching either the North Landing or under cooperative agreements with the year Authorizations (and one revised East Landing by motorboat. At East U.S. Fish and Wildlife Service in Authorization) to Point Blue for the Landing—the primary landing site—all consultation with the Gulf of the conduct of the same activities from 2007 personnel assisting with the landing Farallones National Marine Sanctuary. to 2016 (72 FR 71121, December 14, would stay on the loading platform Following the initial application 2007; 73 FR 77011, December 18, 2008; approximately 30 ft (9.1 m) above the submission, Point Blue submitted an 75 FR 8677, February 19, 2010; 77 FR water. At North Landing, loading updated version of their application on 73989, December 7, 2012; 78 FR 66686, operations would occur at the water February 23, 2016. We considered the November 6, 2013; and 80 FR 10066, level in the intertidal areas. Most revised renewal request for 2016–2017 February 25, 2015, 80 FR 80321, potential for incidental take would activities as adequate and complete on December 24, 2015). This is Point Blue’s occur when the researchers approach February 25, 2016. eighth request for an Authorization. the area by motorboat or when the On December 24, 2015 (80 FR 80321), Their current Authorization expired on researchers load or unload supplies we published a Federal Register notice January 30, 2016 and the monitoring onshore. announcing our issuance of a revised report associated with the 2015–2016 Seabird Research on An˜ o Nuevo Island Authorization (effective through January Authorization is available at 30, 2016) to Point Blue to take marine www.nmfs.noaa.gov/pr/permits/ Point Blue and its partners propose to mammals by harassment, incidental to incidental/research.htm. The report monitor seabird burrow nesting habitat conducting the same activities provides additional environmental quality and to conduct habitat presented in this notice of proposed information related to proposed restoration at a maximum frequency of Authorization. The revised issuance of this Authorization for public 20 visits per year. This activity involves Authorization increased the number of review and comment. two to three researchers accessing the authorized take for California sea lions north side of the island by a 12 ft (3.7 Description of the Specified Activity from approximately 9,871 to 44,871 due m) Zodiac boat. Once onshore, the to Point Blue encountering Overview researchers will check subterranean nest unprecedented numbers of California boxes and restore any nesting habitat for Seabird Research on Southeast Farallon sea lions hauled out in survey areas due approximately 15 minutes. Island to warming environmental conditions in Most potential for incidental take the Pacific Ocean offshore California— Point Blue proposes to conduct: (1) would occur at the landing beach on the which researchers have attributed to a daily observations of seabird colonies at north side of the island when the current El Nino event. a maximum frequency of three 15- researchers arrive and depart to check For the 2016–2017 research seasons, minute visits per day; and (2) conduct the boxes. Non-breeding pinnipeds may Point Blue again proposes to monitor daily observations of breeding common occasionally be present, including and census seabird colonies; observe murres (Uria aalge) at a maximum California sea lions that may be hauled seabird nesting habitat; restore nesting frequency of one, five-hour visit per day out near a small group of subterranean burrows; and resupply a field station. in September. These activities usually seabird nest boxes on the island terrace. The proposed activities would occur involve one or two observers conducting In both locations researchers will be over the course of one year between daily censuses of seabirds or conducting more than 50 ft (15.2 m) away from any May 2016 and May 2017. mark/recapture studies of breeding potentially hauled out pinnipeds. The following aspects of the proposed seabirds on Southeast Farallon Island. seabird research activities have the The researchers plan to access the Seabird Research on Point Reyes potential to take marine mammals: (1) island’s two landing areas, the North National Seashore Acoustic stimuli from noise generated Landing and the East Landing, by 14 to The National Park Service in by motorboat approaches and 18 feet (ft) (4.3 to 5.5 meters [m]) open collaboration with Point Blue monitors departures; (2) noise generated during motorboats which are hoisted onto the seabird breeding and roosting colonies; the resupplying of the field station; and island using a derrick system and then conducts habitat restoration; removes (3) visual stimuli from human presence travel by foot to coastal areas of the non-native plants; monitors intertidal during seabird research activities. island to view breeding seabirds from areas; and maintains coastal dune California sea lions, Pacific harbor seals, behind an observation blind. habitat. Seabird monitoring usually northern elephant seals, northern fur The potential for incidental take involves one or two observers seals, and Steller sea lions hauled out in related to the mark/recapture studies is conducting the survey by small boats areas on Southeast Farallon Island, An˜ o very low as these activities are (12 to 22 ft; 3.6 to 6.7 m) along the Point Nuevo Island, or within Point Reyes conducted within the interior of the Reyes National Seashore shoreline. National Seashore may flush into the island away from the intertidal areas Researchers would visit the site at a water or exhibit temporary modification where the pinnipeds haul out. Most maximum frequency of 20 times per in behavior and/or low-level potential for incidental take would year, with an emphasis on increasing physiological effects (Level B occur when the researchers approach or monitoring during the nesting season. harassment). Thus, Point Blue has depart the intertidal area by motorboat Researchers would conduct occasional, requested an Authorization to take or when the researchers walk within 50 intermittent visits during the rest of the

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year. A majority of the research occurs 122°20′12.20″ W.), or within Point An˜ o Nuevo Island in areas where marine mammals are not Reyes National Seashore (37°59′38.61″ An˜ o Nuevo Island located at present. However, the potential for N.; 122°58′24.90″ W.) in central 37°6′29.25″ N.; 122°20′12.20″ W. is one- incidental harassment will occur at the California. The proposed action area ˜ landing beaches along Point Reyes quarter mile (402 m) offshore of Ano consists of the following three locations Nuevo Point in San Mateo County, CA. Headland, boat ramps, or parking lots in the northeast Pacific Ocean: where northern elephant seals, harbor This small 25-acre (0.1 square km) seals, or California sea lions may be South Farallones Islands island is part of the An˜ o Nuevo State hauled out in the vicinity. Reserve, all of which is owned and The South Farallon Islands consist of operated by California State Parks. The Dates and Duration Southeast Farallon Island located at Island lies within the Monterey Bay ° ′ ″ ° ′ ″ Point Blue proposes to conduct the 37 41 54.32 N.; 123 0 8.33 W. and National Marine Sanctuary and the An˜ o seabird research activities over the West End Island. These two islands are Nuevo State Marine Conservation Area. directly adjacent to each other and course of one year. The proposed Point Reyes National Seashore Authorization, if issued, would be separated by only a 30-foot (ft) (9.1 effective from May 1, 2016, through meter (m)) channel. The South Farallon Point Reyes National Seashore located April 30, 2017. Islands have a land area of is approximately 40 miles (64.3 km) approximately 120 acres (0.49 square north of San Francisco Bay and also lies Description of the Specified Geographic kilometers (km)) and are part of the within the Gulf of the Farallones Region Farallon National Wildlife Refuge. The National Marine Sanctuary. The The proposed activities would occur islands are located near the edge of the proposed research areas (Life Boat in the vicinity of pinniped haul-out sites continental shelf 28 miles (mi) (45.1 km) Station, Drakes Beach, and Point Bonita) located on Southeast Farallon Island west of San Francisco, CA, and lie are within the headland coastal areas of (37°41′54.32″ N.; 123°0′8.33″ W.), An˜ o within the waters of the Gulf of the the National Park. Nuevo Island (37°6′29.25″ N.; Farallones National Marine Sanctuary. BILLING CODE 3510–22–P

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Figure 1 - Location of pinniped haul-out sites on Southeast Farallon Island.

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BILLING CODE 3510–22–C visit Point Reyes twice a year (NPS, Nuevo Island the population ranges Description of the Marine Mammals in 2013a). They arrive in early winter from from 900 to 1,000 adults. the Area of the Proposed Specified their feeding grounds off Alaska and the Observers first sighted elephant seals Activity largest congregations occur in the on An˜ o Nuevo Island in 1955 and today winter, when the females arrive to the population ranges from 900 to 1,000 The marine mammals most likely to deliver their pups and nurse them, and adults (M. Lowry, unpubl. data). Males be harassed incidental to conducting in spring when immature seals and began to haul out on the mainland in seabird research at the proposed adult females return to molt. During the 1965. California State Park reports that research areas on Southeast Farallon time they are onshore they are fasting by 1988/1989, approximately 2,000 Island, An˜ o Nuevo Island, and Point (NPS, 2013b). elephant seals came ashore to An˜ o Reyes National Seashore are primarily At Southeast Farallon, the population Nuevo (CSP, 2012). California sea lions, northern elephant consists of approximately 500 animals California Sea Lion seals, Pacific harbor seals, and to a (FNMS, 2013). Northern elephant seals lesser extent the eastern distinct began recolonizing the South Farallon The estimated population of the U.S. population segment (DPS) of the Steller Islands in the early 1970s (Stewart et al., stock of California sea lion is sea lion. NMFS presents general 1994) at which time the colony grew approximately 296,750 animals and the information on these species in the next rapidly. In 1983 a record 475 pups were current maximum population growth section. NMFS refers the public to born on the South Farallones (Stewart et rate is 12 percent (Carretta et al., 2015). Carretta et al. (2015) and Muto and al., 1994). Since then, the size of the California sea lions are not listed as Angliss (2015) for additional South Farallones colony has declined, threatened or endangered under the information on the status, distribution, stabilizing in the early 2000s and then Endangered Species Act, nor are they seasonal distribution, and life history of declining further over the past six years categorized as depleted under the these species. The publications are (USFWS, 2013). In 2012, a total of 90 MMPA. The California sea lion is now available on the Internet at http://www. cows were counted on the South a full species, separated from the nmfs.noaa.gov/pr/sars/draft.htm. Farallones, and 60 pups were weaned Galapagos sea lion (Z. wollebaeki) and the extinct Japanese sea lion (Z. Northern Elephant Seal (USFWS, 2013). Point Blue’s average monthly counts from 2000 to 2009 japonicus) (Brunner, 2003, Wolf et al., Northern elephant seals are not listed ranged from 20 individuals in July to 2007, Schramm et al., 2009). as threatened or endangered under the nearly 500 individuals in November California sea lion breeding areas are Endangered Species Act, nor are they (USFWS, 2013). on islands located in southern categorized as depleted under the Northern elephant seals are present California, in western Baja California, MMPA. The estimated population of the on the islands and in the waters Mexico, and the Gulf of California. California Breeding Stock is surrounding the South Farallones year- During the breeding season, most approximately 179,000 animals and the round for either breeding or molting; California sea lions inhabit southern current population trend is increasing at however, they are more abundant California and Mexico. Rookery sites in 3.8 percent annually (Carretta et al., during breeding and peak molting southern California are limited to the 2015). seasons (Le Boeuf and Laws, 1994; San Miguel Islands and the southerly Northern elephant seals range in the Sydeman and Allen, 1997). They live Channel Islands of San Nicolas, Santa eastern and central North Pacific Ocean, and feed in deep, offshore waters the Barbara, and San Clemente (Carretta et from as far north as Alaska and as far remainder of the year. al., 2015). Males establish breeding south as Mexico. Northern elephant In mid-December, adult males begin territories during May through July on seals spend much of the year, generally arriving on the South Farallones, closely both land and in the water. Females about nine months, in the ocean. They followed by pregnant females on the come ashore in mid-May and June are usually underwater, diving to depths verge of giving birth. Females give birth where they give birth to a single pup of about 1,000 to 2,500 ft (330–800 m) to a single pup, generally in late approximately four to five days after for 20- to 30-minute intervals with only December or January (Le Boeuf and arrival and will nurse pups for about a short breaks at the surface. They are Laws, 1994) and nurse their pups for week before going on their first feeding rarely seen out at sea for this reason. approximately four weeks (Reiter et al., trip. Females will alternate feeding trips While on land, they prefer sandy 1978). Upon pup weaning, females mate with nursing bouts until the pup is beaches. with an adult male and then depart the weaned between four and 10 months of Northern elephant seals breed and islands. The last adult breeders depart age (NMML, 2010). give birth in California (U.S.) and Baja the islands in mid-March. The spring Adult and juvenile males will migrate California (Mexico), primarily on peak of elephant seals on the rookery as far north as British Columbia, Canada offshore islands (Stewart et al., 1994), occurs in April, when females and while females and pups remain in from December to March (Stewart and immature seals (approximately one to southern California waters in the non- Huber, 1993). Males feed near the four years old) arrive at the colony to breeding season. In warm water (El eastern Aleutian Islands and in the Gulf molt (a one month process) (USFWS, Nin˜ o) years, some females are found as of Alaska, and females feed farther 2013). The year’s new pups remain on far north as Washington and Oregon, south, south of 45 °N. (Stewart and the island throughout both of these presumably following prey. Huber, 1993; Le Boeuf et al., 1993). peaks, generally leaving by the end of The U.S. stock of California sea lion Adults return to land between March April (USFWS, 2013). is the only stock present in the proposed and August to molt, with males The lowest numbers of elephant seals research area and in recent years, returning later than females. Adults present on the rookery occurs during California sea lions have begun to breed return to their feeding areas again June, July, and August, when sub-adult annually in small numbers at Southeast between their spring/summer molting and adult males molt. Another peak of Farallon and An˜ o Nuevo Islands. and their winter breeding seasons. young seals return to the rookery for a On the Farallon Islands, California sea At Point Reyes, the population ranges haul-out period in October, and at that lions haul out in many intertidal areas from 1,500 and 2,000 animals (NPS, time some individuals undergo partial year round, fluctuating from several 2013a). Adult northern elephant seals molt (Le Boeuf and Laws, 1994). At An˜ o hundred to several thousand animals.

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California sea lions at Point Reyes the perimeter of the island (see Figure the Gulf of Alaska and Aleutian Islands, National Seashore haul out at only a few 2 in Point Blue’s Application) and the respectively. The species is not known locations, but will occur on human island’s average population ranges from to migrate, but individuals disperse structures such as boat ramps. The 100 to 150 animals (M. Lowry, widely outside of the breeding season annual population averages around 300 unpublished data). (late May through early July), thus to 500 during the fall through spring potentially intermixing with animals Northern Fur Seal months, although on occasion, several from other areas. thousand sea lions can arrive depending Northern fur seals occur from The eastern distinct population upon local prey resources (S. Allen, southern California north to the Bering segment of Steller sea lions breeds on unpublished data). On An˜ o Nuevo Sea and west to the Sea of Okhotsk and rookeries located in southeast Alaska, Island, California sea lions may haul out Honshu Island of Japan. NMFS British Columbia, Oregon, and at one of eight beach areas on the recognizes two separate stocks of California. There are no rookeries perimeter of the island (see Point Blue’s northern fur seals within U.S. waters: located in Washington. Steller sea lions Application). The island’s average An Eastern Pacific stock distributed give birth in May through July and population ranges from 4,000 to 9,500 among sites in Alaska, British Columbia; breeding commences a couple of weeks animals (M. Lowry, unpublished data). and a California stock distributed along after birth. Pups are weaned during the the west coast of the continental U.S. winter and spring of the following year. Pacific Harbor Seal The estimated population of the Despite the wide-ranging movements Pacific harbor seals are not listed as California stock is 14,050 animals with of juveniles and adult males in threatened or endangered under the a maximum population growth rate of particular, exchange between rookeries Endangered Species Act, nor are they 12 percent (Carretta et al., 2015). by breeding adult females and males categorized as depleted under the Northern fur seals may temporarily (other than between adjoining rookeries) MMPA. The estimated population of the haul out on land at other sites in Alaska, appears low, although males have a California stock of harbor seals is 30,196 British Columbia, and on islets along higher tendency to disperse than animals (Carretta et al., 2015). the west coast of the continental United females (NMFS, 1995; Trujillo et al., The animals inhabit near-shore States, but generally this occurs outside 2004; Hoffman et al., 2006). A coastal and estuarine areas from Baja of the breeding season (Fiscus, 1983). northward shift in the overall breeding California, Mexico, to the Pribilof Northern fur seals breed in Alaska distribution has occurred, with a Islands in Alaska. Pacific harbor seals and migrate along the west coast during contraction of the range in southern are divided into two subspecies: P. v. fall and winter. Due to their pelagic California and new rookeries stejnegeri in the western North Pacific, habitat, they are rarely seen from shore established in southeastern Alaska near Japan, and P. v. richardsi in the in the continental U.S., but individuals (Pitcher et al., 2007). northeast Pacific Ocean. The latter occasionally come ashore on islands The current population of Steller sea subspecies, recognized as three separate well offshore (i.e., Farallon Islands and lions in the proposed research area is stocks, inhabits the west coast of the Channel Islands in California). During estimated to number between 50 and continental United States, including: the breeding season, approximately 74 750 animals. Overall, counts of non- The outer coastal waters of Oregon and percent of the worldwide population pups at trend sites in California and Washington states; Washington state inhabits the Pribilof Islands in Alaska, Oregon have been relatively stable or inland waters; and Alaska coastal and with the remaining animals spread increasing slowly since the 1980s (Muto inland waters. throughout the North Pacific Ocean and Angliss, 2015). In California, over 500 harbor seal (Lander and Kajimura, 1982). Point Blue estimates that between 50 haul-out sites are widely distributed and 150 Steller sea lions live on the along the mainland and offshore Steller Sea Lion Farallon Islands. On Southeast Farallon islands, and include rocky shores, Steller sea lions consist of two Island, the abundance of females beaches and intertidal sandbars (Lowry distinct population segments: The declined an average of 3.6 percent per et al., 2005). Harbor seals mate at sea western and eastern distinct population year from 1974 to 1997 (Sydeman and and females give birth during the spring segments (DPS) divided at 144 °West Allen, 1999). and summer, although, the pupping longitude (Cape Suckling, Alaska). The The National Marine Fisheries season varies with latitude. Pups are western segment of Steller sea lions Service’s Southwest Fisheries Science nursed for an average of 24 days and are inhabit central and western Gulf of Center estimates between 400 and 600 ready to swim minutes after being born. Alaska, Aleutian Islands, as well as live on An˜ o Nuevo Island (Point Blue Harbor seal pupping takes place at many coastal waters and breed in Asia (e.g., unpublished data, 2008; Southwest locations and rookery size varies from a Japan and Russia). The eastern segment Fisheries Science Center unpublished few pups to many hundreds of pups. includes sea lions living in southeast data, 2008). At An˜ o Nuevo Island off In California, over 500 harbor seal Alaska, British Columbia, California, central California, a steady decline in haul-out sites are widely distributed and Oregon. The eastern DPS includes ground counts started around 1970, and along the mainland and offshore animals born east of Cape Suckling, AK there was an 85 percent reduction in the islands, and include rocky shores, (144 °W.) and the latest abundance breeding population by 1987 (LeBoeuf beaches and intertidal sandbars (Lowry estimate for the stock is 60,131 to 74,448 et al., 1991). Pup counts at An˜ o Nuevo et al., 2005). On the Farallon Islands, animals (Muto and Angliss, 2015). The Island declined five percent annually approximately 40 to 120 Pacific harbor eastern DPS of Steller sea lion is not through the 1990s (NOAA Stock seals haul out in the intertidal areas listed as threatened or endangered Assessment, 2003), and have apparently (Point Blue unpublished data). Harbor under the Endangered Species Act, but stabilized between 2001 and 2005 (M. seals at Point Reyes National Seashore is categorized as depleted under the Lowry, SWFSC unpublished data). In haul out at nine locations with an MMPA. 2000, the combined pup estimate for annual population of up to 4,000 Steller sea lions range along the North both islands was 349. In 2005, the pup animals (M. Lowry, unpublished data). Pacific Rim from northern Japan to estimate was 204 on the Island. Pup On An˜ o Nuevo Island, harbor seals may California (Loughlin et al., 1984), with counts on the Farallon Islands have haul out at one of eight beach areas on centers of abundance and distribution in generally varied from five to 15

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(Hastings and Sydeman, 2002; Point Hearing Impairment an important feeding or breeding area Blue unpublished data). Pups have not Marine mammals produce sounds in for a prolonged period, impacts on been born at Point Reyes Headland various important contexts—social individuals and populations could be since the 1970s and Steller sea lions are interactions, foraging, navigating, and significant (e.g., Lusseau and Bejder, seen in very low numbers there responding to predators. The best 2007; Weilgart, 2007). Numerous studies have shown that currently (S. Allen, unpublished data). available science suggests that human activity can flush pinnipeds off pinnipeds have a functional aerial Other Marine Mammals in the Proposed haul-out sites and beaches (Kenyon, hearing sensitivity between 75 hertz Action Area 1972; Allen et al., 1984; Calambokidis et (Hz) and 75 kilohertz (kHz) and can al., 1991; Suryan and Harvey, 1999; and California (southern) sea otters produce a diversity of sounds, though Mortenson et al., 2000). And in one (Enhydra lutris nereis), listed as generally from 100 Hz to several tens of threatened under the Endangered case, human disturbance appeared to kHz (Southall, et al., 2007). cause Steller sea lions to desert a Species Act and categorized as depleted Exposure to high intensity sound for under the Marine Mammal Protection breeding area at Northeast Point on St. a sufficient duration may result in Paul Island, Alaska (Kenyon, 1962). Act, usually range in coastal waters auditory effects such as a noise-induced within two km of shore. Point Blue has In 1997, Henry and Hammil (2001) threshold shift—an increase in the conducted a study to measure the not encountered California sea otters on auditory threshold after exposure to Southeast Farallon Island, An˜ o Nuevo impacts of small boats (i.e., kayaks, noise (Finneran, Carder, Schlundt, and canoes, motorboats and sailboats) on Island, or Point Reyes National Seashore Ridgway, 2005). Factors that influence during the course of seabird or pinniped harbor seal haul-out behavior in Me´tis the amount of threshold shift include Bay, Quebec, Canada. During that study, research activities over the past five the amplitude, duration, frequency years. This species is managed by the the authors noted that the most frequent content, temporal pattern, and energy disturbances (n=73) were caused by U.S. Fish and Wildlife Service and is distribution of noise exposure. The not considered further in this notice. lower speed, lingering kayaks and magnitude of hearing threshold shift canoes (33.3 percent) as opposed to Potential Effects of the Specified normally decreases over time following motorboats (27.8 percent) conducting Activities on Marine Mammals and cessation of the noise exposure. The high speed passes. The seal’s flight Their Habitat amount of threshold shift just after reactions could be linked to a surprise exposure is called the initial threshold factor by kayaks-canoes which approach This section includes a summary and shift. If the threshold shift eventually slowly, quietly and low on water discussion of the ways that components returns to zero (i.e., the threshold making them look like predators. of the specified activity (e.g., exposure returns to the pre-exposure value), it is However, the authors note that once the to vessel noise and approaches and called temporary threshold shift animals were disturbed, there did not human presence), including mitigation, (Southall et al., 2007). appear to be any significant lingering may impact marine mammals. The Pinnipeds have the potential to be effect on the recovery of numbers to ‘‘Estimated Take by Incidental disturbed by airborne and underwater their pre-disturbance levels. In Harassment’’ section later in this noise generated by the small boats conclusion, the study showed that boat document will include a quantitative equipped with outboard engines traffic at current levels has only a analysis of the number of individuals (Richardson, Greene, Malme, and temporary effect on the haul-out that we expect Point Blue to take during Thomson, 1995). However, there is a behavior of harbor seals in the Me´tis this activity. The ‘‘Negligible Impact dearth of information on acoustic effects Bay area. Analysis’’ section will include the of motorboats on pinniped hearing and In 2004, Johnson and Acevedo- analysis of how this specific activity communication and to our knowledge Gutierrez (2007) evaluated the efficacy would impact marine mammals. We there has been no specific of buffer zones for watercraft around will consider the content of the documentation of hearing impairment harbor seal haul-out sites on Yellow following sections: ‘‘Estimated Take by in free-ranging pinnipeds exposed to Island, Washington state. The authors Incidental Harassment’’ and ‘‘Proposed small motorboats during realistic field estimated the minimum distance Mitigation’’ to draw conclusions conditions. between the vessels and the haul-out regarding the likely impacts of these sites; categorized the vessel types; and Behavioral Disturbance activities on the reproductive success or evaluated seal responses to the survivorship of individuals—and from Disturbances resulting from human disturbances. During the course of the that consideration—the likely impacts activity can impact short- and long-term seven-weekend study, the authors of this activity on the affected marine pinniped haul out behavior (Renouf et recorded 14 human-related disturbances mammal populations or stocks. al., 1981; Schneider and Payne, 1983; which were associated with stopped In the following discussion, we Terhune and Almon, 1983; Allen et al., powerboats and kayaks. During these provide general background information 1984; Stewart, 1984; Suryan and events, hauled out seals became on sound and marine mammal hearing. Harvey, 1999; Mortenson et al., 2000; noticeably active and moved into the Acoustic and visual stimuli generated and Kucey and Tri.e., 2006). water. The flushing occurred when by: (1) Motorboat operations; and (2) the Disturbance includes a variety of effects, stopped kayaks and powerboats were at appearance of researchers may have the including subtle to conspicuous changes distances as far as 453 and 1,217 ft (138 potential to cause Level B harassment of in behavior, movement, and and 371 m) respectively. The authors any pinnipeds hauled out on Southeast displacement. Reactions to sound, if note that the seals were unaffected by Farallon Island, An˜ o Nuevo Island, or any, depend on species, state of passing powerboats, even those Point Reyes National Seashore. The maturity, experience, current activity, approaching as close as 128 ft (39 m), effects of sounds from motorboat reproductive state, time of day, and possibly indicating that the animals had operations and the appearance of many other factors (Richardson et al., become tolerant of the brief presence of researchers might include hearing 1995; Wartzok et al., 2004; Southall et the vessels and ignored them. The impairment or behavioral disturbance al., 2007; Weilgart, 2007). If a sound authors reported that on average, the (Southall, et al., 2007). source displaces marine mammals from seals quickly recovered from the

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disturbances and returned to the haul- Anticipated Effects on Marine Mammal (4) Monitor for offshore predators and out site in less than or equal to 60 Habitat do not approach hauled-out pinnipeds if minutes. Seal numbers did not return to NMFS does not expect the proposed great white sharks (Carcharodon pre-disturbance levels within 180 research activities to have any habitat- carcharias) or killer whales (Orcinus minutes of the disturbance less than one related effects, including to marine orca) are present. If Point Blue and/or quarter of the time observed. The study mammal prey species, which could its designees see predators in the area, concluded that the return of seal cause significant or long-term they must not disturb the animals until numbers to pre-disturbance levels and consequences for individual marine the area is free of predators. the relatively regular seasonal cycle in mammals or their populations. NMFS (5) Keep voices hushed and bodies abundance throughout the area counter anticipates that the specified activity low to the ground in the visual presence the idea that disturbances from may result in marine mammals avoiding of pinnipeds. (6) Conduct seabird observations at powerboats may result in site certain areas due to noise generated by: North Landing on Southeast Farallon abandonment (Johnson and Acevedo- (1) Motorboat approaches and Island in an observation blind, shielded Gutierrez, 2007). departures; (2) human presence during from the view of hauled-out pinnipeds. As a general statement from the restoration activities and loading (7) Crawl slowly to access seabird nest available information, pinnipeds operations while resupplying the field boxes on An˜ o Nuevo Island if pinnipeds exposed to intense (approximately 110 station; and (3) human presence during are within view. to 120 decibels re: 20 mPa) non-pulse seabird and pinniped research activities. (8) Coordinate research visits to sounds often leave haul-out areas and NMFS considers this impact to habitat intertidal areas of Southeast Farallon seek refuge temporarily (minutes to a as temporary and reversible and Island (to reduce potential take) and few hours) in the water (Southall et al., considered this aspect in more detail coordinate research goals for An˜ o Nuevo 2007). Based on the available data, earlier in this document, as behavioral Island to minimize the number of trips previous monitoring reports from Point modification. The main impact to the island. Blue, and studies described here, we associated with the proposed activity (9) Coordinate monitoring schedules anticipate that any pinnipeds found in will be temporarily elevated noise levels on An˜ o Nuevo Island, so that areas near the vicinity of the proposed project and the associated direct effects on any pinnipeds would be accessed only could have short-term behavioral marine mammals, previously discussed once per visit. reactions to the noise attributed to Point in this notice. (10) Have the lead biologist serve as Blue’s motorboat operations and human Proposed Mitigation an observer to evaluate incidental take. presence related to the seabird research Mitigation Conclusions activities. We would expect the In order to issue an incidental take pinnipeds to return to a haul-out site authorization under section 101(a)(5)(D) We have carefully evaluated Point within 60 minutes of the disturbance of the Marine Mammal Protection Act, Blue’s proposed mitigation measures in (Allen et al., 1985). The effects to we must set forth the permissible the context of ensuring that we pinnipeds appear at the most, to methods of taking pursuant to such prescribe the means of effecting the least displace the animals temporarily from activity, and other means of effecting practicable impact on the affected their haul-out sites and we do not the least practicable adverse impact on marine mammal species and stocks and expect that the pinnipeds would such species or stock and its habitat, their habitat. Our evaluation of potential permanently abandon a haul-out site paying particular attention to rookeries, measures included consideration of the during the conduct of the proposed mating grounds, and areas of similar following factors in relation to one significance, and the availability of such research. The maximum disturbance to another: species or stock for taking for certain • Steller sea lions would result in the The manner in which, and the subsistence uses. animals slowly flushing into the water degree to which, the successful Point Blue has based the mitigation in response to presence of the implementation of the measure is measures which they will implement researchers. expected to minimize adverse impacts during the proposed research, on the to marine mammals; No research activities would occur on following: (1) Protocols used during • The proven or likely efficacy of the pinniped rookeries. Breeding animals previous Point Blue seabird research specific measure to minimize adverse are concentrated in areas where activities as required by our previous impacts as planned; and researchers would not visit. Therefore, authorizations for these activities; and • The practicability of the measure NMFS does not expect mother and pup (2) recommended best practices in for applicant implementation. separation or crushing of pups during Richardson et al. (1995). Any mitigation measure(s) prescribed flushing. In summary, NMFS does not To reduce the potential for by us should be able to accomplish, anticipate that the proposed activities disturbance from acoustic and visual have a reasonable likelihood of would result in the injury, serious stimuli associated with the activities accomplishing (based on current injury, or mortality of pinnipeds Point Blue and/or its designees has science), or contribute to the because the timing of research visits proposed to implement the following accomplishment of one or more of the would preclude separation of mothers mitigation measures for marine general goals listed here: and pups, as activities occur outside of mammals: 1. Avoidance or minimization of the pupping/breeding areas. The (1) Postpone beach landings on An˜ o injury or death of marine mammals potential effects to marine mammals Nuevo Island until pinnipeds that may wherever possible (goals 2, 3, and 4 may described in this section of the be present on the beach have slowly contribute to this goal). document do not take into consideration entered the water. 2. A reduction in the numbers of the proposed monitoring and mitigation (2) Select a pathway of approach to marine mammals (total number or measures described later in this research sites that minimizes the number at biologically important time document (see the ‘‘Proposed number of marine mammals harassed. or location) exposed to stimuli expected Mitigation’’ and ‘‘Proposed Monitoring (3) Avoid visits to sites used by to result in incidental take (this goal and Reporting’’ sections). pinnipeds for pupping. may contribute to 1, above, or to

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reducing takes by behavioral harassment comment period. Any monitoring http://www.nmfs.noaa.gov/pr/permits/ only). requirement we prescribe should incidental/research.htm. 3. A reduction in the number of times improve our understanding of one or Proposed Reporting (total number or number at biologically more of the following: important time or location) individuals • Occurrence of marine mammal Point Blue must submit a draft final would be exposed to stimuli that we species in action area (e.g., presence, report to NMFS’ Office of Protected expect to result in the take of marine abundance, distribution, density). Resources within 60 days after the mammals (this goal may contribute to 1, • Nature, scope, or context of likely conclusion of the 2016–2017 field above, or to reducing harassment takes marine mammal exposure to potential seasons. The report will include a only). stressors/impacts (individual or summary of the information gathered 4. A reduction in the intensity of cumulative, acute or chronic), through pursuant to the monitoring exposures (either total number or better understanding of: (1) Action or requirements set forth in the number at biologically important time environment (e.g., source Authorization. or location) to training exercises that we characterization, propagation, ambient Point Blue will submit a final report expect to result in the take of marine noise); (2) Affected species (e.g., life to the Chief, Permits and Conservation mammals (this goal may contribute to 1, history, dive patterns); (3) Co- Division, Office of Protected Resources, above, or to reducing the severity of occurrence of marine mammal species within 30 days after receiving comments harassment takes only). with the action; or (4) Biological or from NMFS on the draft final report. If 5. Avoidance or minimization of behavioral context of exposure (e.g., age, Point Blue does not receive any adverse effects to marine mammal calving or feeding areas). comments from NMFS on the draft habitat, paying special attention to the • Individual responses to acute report, NMFS and Point Blue will food base, activities that block or limit stressors, or impacts of chronic consider the draft final report to be the passage to or from biologically exposures (behavioral or physiological). final report. important areas, permanent destruction • How anticipated responses to Estimated Take by Incidental of habitat, or temporary destruction/ stressors impact either: (1) Long-term Harassment disturbance of habitat during a fitness and survival of an individual; or biologically important time. Except with respect to certain (2) Population, species, or stock. activities not pertinent here, the Marine 6. For monitoring directly related to • mitigation—an increase in the Effects on marine mammal habitat Mammal Protection Act defines probability of detecting marine and resultant impacts to marine ‘‘harassment’’ as: Any act of pursuit, mammals. torment, or annoyance which (i) has the mammals, thus allowing for more • effective implementation of the Mitigation and monitoring potential to injure a marine mammal or mitigation. effectiveness. marine mammal stock in the wild [Level Based on our evaluation of Point As part of its 2016–2017 application, A harassment]; or (ii) has the potential Blue’s proposed measures, as well as Point Blue proposes to sponsor marine to disturb a marine mammal or marine other measures that may be relevant to mammal monitoring during the present mammal stock in the wild by causing the specified activity, we have project, in order to implement the disruption of behavioral patterns, preliminarily determined that the mitigation measures that require real- including, but not limited to, migration, mitigation measures provide the means time monitoring, and to satisfy the breathing, nursing, breeding, feeding, or of effecting the least practicable impact monitoring requirements of the sheltering [Level B harassment]. on marine mammal species or stocks incidental harassment authorization. NMFS proposes to authorize take by and their habitat, paying particular The Point Blue researchers will monitor Level B harassment only for the attention to rookeries, mating grounds, the area for pinnipeds during all proposed seabird research activities on and areas of similar significance. research activities. Monitoring activities Southeast Farallon Island, An˜ o Nuevo will consist of conducting and recording Island, and Point Reyes National Proposed Monitoring observations on pinnipeds within the Seashore. Acoustic (i.e., increased In order to issue an incidental take vicinity of the proposed research areas. sound) and visual stimuli generated authorization for an activity, section The monitoring notes would provide during these proposed activities may 101(a)(5)(D) of the Marine Mammal dates, location, species, the researcher’s have the potential to cause marine Protection Act states that we must set activity, behavioral state, numbers of mammals in the harbor area to forth ‘‘requirements pertaining to the animals that were alert or moved greater experience temporary, short-term monitoring and reporting of such than one meter, and numbers of changes in behavior. taking.’’ The Act’s implementing pinnipeds that flushed into the water. Based on Point Blue’s previous regulations at 50 CFR 216.104(a)(13) Point Blue has complied with the research experiences, with the same indicate that requests for an incidental monitoring requirements under the activities conducted in the proposed take authorization must include the previous authorizations for the 2007 research area, and on marine mammal suggested means of accomplishing the through 2016 seasons. The results from research activities in these areas, we necessary monitoring and reporting that previous Point Blue’s monitoring estimate that approximately 53,538 will result in increased knowledge of reports support our findings that the California sea lions, 485 harbor seals, the species and our expectations of the proposed mitigation measures, which 221 northern elephant seals, five level of taking or impacts on we also required under the 2007–2016 northern fur seals, and 38 Steller sea populations of marine mammals present Authorizations provide the means of lions could be affected by Level B in the action area. effecting the least practicable adverse behavioral harassment over the course Point Blue submitted a marine impact on the species or stock. of the effective period of the proposed mammal monitoring plan in their Point Blue has submitted a draft Authorization. Authorization application. We may monitoring report on the 2015–2016 The authorized take differs from Point modify or supplement the plan based on research periods on February 17, 2016. Blue’s original request for California sea comments or new information received Upon final review, we will post this lions (44,871), harbor seals (343), from the public during the public annual report on our Web site at northern elephant seals (196), and

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Steller sea lions (106). NMFS bases Negligible Impact Analysis and short and sporadic duration of the these new estimates on historical data Preliminary Determinations research activities. Minor and brief from previous monitoring reports and NMFS has defined ‘‘negligible responses, such as short-duration startle anecdotal data for the same activities impact’’ in 50 CFR 216.103 as ‘‘ . . . an or alert reactions, are not likely to conducted in the proposed research impact resulting from the specified constitute disruption of behavioral areas. In brief, for four species (i.e., activity that cannot be reasonably patterns, such as migration, nursing, California sea lions, harbor seals, expected to, and is not reasonably likely breeding, feeding, or sheltering. northern elephant seals, and Steller sea to, adversely affect the species or stock (2) The availability of alternate areas lions), we created a statistical model to through effects on annual rates of for pinnipeds to avoid the resultant derive an estimate of the average annual recruitment or survival.’’ A negligible acoustic and visual disturbances from increase of reported take based on a best impact finding is based on the lack of the research operations. Results from fit regression analysis (i.e., linear or likely adverse effects on annual rates of previous monitoring reports also show polynomial regression) of reported take recruitment or survival (i.e., population- that the pinnipeds returned to the from 2007 to 2016. Next, we added the level effects). An estimate of the number various sites and did not permanently predicted annual increase in take for of Level B harassment takes alone is not abandon haul-out sites after Point Blue each species to the baseline reported enough information on which to base an conducted their pinniped and research take for the 2015–2016 seasons to impact determination. In addition to activities. project the estimated take for each considering estimates of the number of (3) There is no potential for large- species for the 2016–2017 proposed marine mammals that might be ‘‘taken’’ scale movements leading to injury, Authorization. We carried through the through behavioral harassment, we serious injury, or mortality because the same predicted annual increase in take consider other factors, such as the likely researchers must delay ingress into the for future Authorizations (2017–2019) to nature of any responses (e.g., intensity, landing areas until after the pinnipeds obtain a mean projected take for each duration), the context of any responses present have slowly entered the water. species. Last, we analyzed the reported (e.g., critical reproductive time or (4) The limited access of Point Blue’s take for each activity by calculating the location, migration), as well as the upper bound of the 95 percent researchers to Southeast Farallon Island, number and nature of estimated Level A An˜ o Nuevo Island, and Point Reyes confidence interval of the mean harassment takes, the number of reported take (2007–2016) and mean National Seashore during the pupping estimated mortalities, and effects on season. projected take (2017–2019) for each habitat. species. Our use of the upper To avoid repetition, the discussion We do not anticipate that any injuries, confidence interval represents the best below applies to all five species serious injuries, or mortalities would available information that supports our discussed earlier in this notice. In occur as a result of Point Blue’s precautionary deliberation of how much making a negligible impact proposed activities, and we do not take could occur annually. determination, we consider: propose to authorize injury, serious Although Point Blue has not reported • The number of anticipated injuries, injury or mortality. These species may encountering northern fur seals during serious injuries, or mortalities; exhibit behavioral modifications, the course of their previously • The number, nature, and intensity, including temporarily vacating the area authorized activities, NMFS has and duration of Level B harassment; during the proposed seabird and included take (5) for northern fur seals • The context in which the takes pinniped research activities to avoid the based on recent stranding information occur (e.g., impacts to areas of resultant acoustic and visual in the area for that species. significance, impacts to local disturbances. Further, these proposed There is no evidence that Point Blue’s populations, and cumulative impacts activities would not take place in areas planned activities could result in injury, when taking into account successive/ of significance for marine mammal serious injury, or mortality within the contemporaneous actions when added feeding, resting, breeding, or calving action area. Moreover, the required to baseline data); and would not adversely impact marine mitigation and monitoring measures • The status of stock or species of mammal habitat. Due to the nature, will minimize further any potential risk marine mammals (i.e., depleted, not degree, and context of the behavioral for injury, serious injury, or mortality. depleted, decreasing, increasing, stable, harassment anticipated, the activities Thus, we do not propose to authorize impact relative to the size of the are not expected to impact annual rates any injury, serious injury or mortality. population); of recruitment or survival. We expect all potential takes to fall • Impacts on habitat affecting rates of NMFS does not expect pinnipeds to under the category of Level B recruitment/survival; and permanently abandon any area that is harassment only. • The effectiveness of monitoring and surveyed by researchers, as is evidenced mitigation measures to reduce the by continued presence of pinnipeds at Encouraging and Coordinating number or severity of incidental take. the sites during annual monitoring Research For reasons stated previously in this counts. Based on the analysis contained Point Blue will continue to coordinate document and based on the following herein of the likely effects of the monitoring of pinnipeds during the factors, NMFS does not expect Point specified activity on marine mammals research activities occurring on Blue’s specified activities to cause long- and their habitat, and taking into Southeast Farallon Island, An˜ o Nuevo term behavioral disturbance, consideration the implementation of the Island, and Point Reyes National abandonment of the haul-out area, proposed mitigation and monitoring Seashore. Point Blue conducts bone fide injury, serious injury, or mortality: measures, NMFS preliminarily finds research on marine mammals, the (1) The takes from Level B harassment that the total marine mammal take from results of which may contribute to the would be due to potential behavioral Point Blue’s seabird research activities basic knowledge of marine mammal disturbance. The effects of the seabird will not adversely affect annual rates of biology or ecology, or are likely to research activities would be limited to recruitment or survival and therefore identify, evaluate, or resolve short-term startle responses and will have a negligible impact on the conservation problems. localized behavioral changes due to the affected species or stocks.

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Small Numbers proposed issuance of an Authorization designees, and field crew personnel As mentioned previously, NMFS for public review and comment. NMFS (including research collaborators from estimates that four species of marine will review all comments submitted in Point Reyes National Seashore and mammals could be potentially affected response to this notice as we complete Oikonos—Ecosystem Knowledge) by Level B harassment over the course the NEPA process, including a decision operating under the authority of this of the proposed Authorization. For each of whether to sign a Finding of No Authorization. species, these numbers are small Significant Impact (FONSI), prior to a b. The holder must notify the relative to the population size. These final decision on the proposed Assistant Regional Administrator for incidental harassment numbers Authorization request. Protected Resources, West Coast Region at least 24 hours prior to starting seabird represent approximately 18.04 percent Proposed Authorization of the U.S. stock of California sea lion, research activities (unless constrained 1.61 percent of the California stock of As a result of these preliminary by the date of issuance of this Pacific harbor seal, 0.12 percent of the determinations, NMFS proposes to Authorization). authorize the take of marine mammals California breeding stock of northern 5. Mitigation Measures elephant seal, 0.04 percent of the incidental to Point Blue’s seabird California stock of northern fur seals, research activities, provided the In order to ensure the least practicable and 0.06 percent of the eastern distinct previously mentioned mitigation, impact on the species listed in population segment of Steller sea lion. monitoring, and reporting requirements condition 3(a), the holder of this Because these are maximum are incorporated. The next section Authorization is required to: estimates, actual take numbers are likely provides the proposed IHA language a. Minimize the potential for to be lower, as some animals may select and contains a draft of the disturbance (to the lowest level other haul-out sites the day the Authorization. The wording within this practicable near known pinniped haul- researchers are present. section is proposed for inclusion in the outs by boat travel and pedestrian Authorization (if issued). approach during seabird research Impact on Availability of Affected 1. This Authorization is valid from operations). Point Blue and its designees Species or Stock for Taking for May 2016 through April 2017. must: Subsistence Uses 2. This Authorization is valid only for • Postpone beach landings until Section 101(a)(5)(D) of the MMPA specified activities associated with pinnipeds that may be present in the also requires us to determine that the seabird research activities in the vicinity access areas have entered the water. taking will not have an unmitigable of pinniped haul-out sites located on • ° ′ ″ Select a pathway of approach to adverse effect on the availability of Southeast Farallon Island (37 41 54.32 research sites that minimizes the marine mammal species or stocks for N., 123°0′8.33″ W.), An˜ o Nuevo Island ° ′ ″ ° ′ ″ number of marine mammals harassed. subsistence use. There are no relevant (37 6 29.25 N., 122 20 12.20 W.), • Avoid visits to sites used by subsistence uses of marine mammals within Point Reyes National Seashore ° ′ ″ ° ′ ″ pinnipeds for pupping. implicated by this action. Thus, NMFS (37 59 38.61 N., 122 58 24.90 W.), San • Monitor for offshore predators and has determined that the total taking of Francisco Bay, or the Russian River in not approach hauled-out pinnipeds if affected species or stocks would not Sonoma County. great white sharks (Carcharodon have an unmitigable adverse impact on 3. Species Authorized and Level of carcharias) or killer whales (Orcinus the availability of such species or stocks Takes orca) are in the area. If Point Blue and/ for taking for subsistence purposes. a. The taking, by Level B harassment or its designees see predators in the Endangered Species Act only, is limited to the following species: area, they must not disturb the animals until the area is free of predators. No marine mammal species listed 53,538 California sea lions (Zalophus • under the ESA are anticipated to occur californianus), 485 Pacific harbor seals Keep voices hushed and bodies low in the action area. Therefore, NMFS has (Phoca vitulina), 221 northern elephant to the ground in the visual presence of determined that a section 7 consultation pinnipeds. seals (Mirounga angustirostris), five • under the ESA is not required. northern fur seals, and 38 Steller sea Conduct seabird observations at North Landing on Southeast Farallon National Environmental Policy Act lions (Eumetopias jubatus). b. The taking by injury (Level A Island in an observation blind, shielded (NEPA) harassment), serious injury or death of from the view of hauled-out pinnipeds. • We have prepared a draft any of the species listed in Condition Crawl slowly to access seabird nest Environmental Assessment (EA) 3(a) or the taking of any kind of any boxes on An˜ o Nuevo Island if pinnipeds analyzing the potential effects to the other species of marine mammal is are within view. human environment from our proposed prohibited and may result in the • Coordinate research visits to issuance of an Authorization to Point modification, suspension or revocation intertidal areas of Southeast Farallon Blue for their seabird research activities. of this Authorization. Island (to reduce potential take) and The draft EA titled, Proposed Issuance c. The taking of any marine mammal coordinate research goals for An˜ o Nuevo of an Incidental Harassment in a manner prohibited under this Island to minimize the number of trips Authorization to Point Blue Authorization must be reported to the island. Conservation Science and Partners to immediately to the West Coast Regional • Coordinate monitoring schedules Take Marine Mammals by Harassment Administrator, National Marine on An˜ o Nuevo Island, so that areas near Incidental to Seabird Research Fisheries Service (NMFS) and to the any pinnipeds would be accessed only Conducted in Central California is Chief, Permits and Conservation once per visit. posted on our Web site at Division, Office of Protected Resources, • Have the lead biologist serve as an www.nmfs.noaa.gov/pr/permits/ NMFS. observer to evaluate incidental take. incidental/research.htm. Information in Point Blue’s application, NMFS’ DEA 4. General Conditions 6. Monitoring and this notice collectively provide the a. A copy of this Authorization must The holder of this Authorization is environmental information related to be in the possession of Point Blue, its required to:

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a. Record the date, time, and location the fate of the animal(s); and Request for Public Comments (or closest point of ingress) of each visit photographs or video footage of the NMFS requests comment on the to the research site. animal (if equipment is available). analyses, the draft Authorization, and b. Collect the following information Point Blue shall not resume its any other aspect of the Notice of for each visit: Composition of the activities until NMFS is able to review Proposed Incidental Harassment marine mammals sighted, such as the circumstances of the prohibited Authorization for Point Blue’s seabird species, gender and life history. take. NMFS will work with Point Blue research activities. Please include any to determine what is necessary to 7. Reporting supporting data or literature citations minimize the likelihood of further with your comments to help inform our The holder of this Authorization is prohibited take and ensure MMPA final decision on Point Blue’s request required to: compliance. Point Blue may not resume for an Authorization. a. Report observations of unusual their activities until notified by NMFS behaviors of pinnipeds to West Coast in writing via a letter or email or via the Dated: March 16, 2016. Region fishery biologist so that the telephone. Perry F. Gayaldo, appropriate personnel in the Regional Deputy Director, Office of Protected Office may conduct any potential 9. Reporting an Injured or Dead Marine Resources, National Marine Fisheries Service. Mammal With an Unknown Cause of follow-up observations. [FR Doc. 2016–06317 Filed 3–21–16; 8:45 am] Death b. Draft Report: Submit a draft final BILLING CODE 3510–22–P report to the Chief, Permits and In the event that Point Blue discovers Conservation Division, Office of an injured or dead marine mammal, and Protected Resources, Headquarters, the lead researcher determines that the COMMODITY FUTURES TRADING NMFS within 60 days after the cause of the injury or death is unknown COMMISSION expiration of the Authorization. The and the death is relatively recent (i.e., in report will include the information less than a moderate state of Comparability Determination for the gathered pursuant to the monitoring decomposition as described in the next European Union: Dually-Registered requirements listed in item 6, along paragraph), Point Blue will immediately Derivatives Clearing Organizations and with an executive summary. report the incident to the Chief, Permits Central Counterparties c. The Draft Report shall be subject to and Conservation Division, Office of AGENCY: review and comment by NMFS. Any Protected Resources and the Assistant Commodity Futures Trading recommendations made by NMFS must West Coast Regional Stranding Commission. be addressed in the Final Report prior Coordinator. The report must include ACTION: Notice of Comparability to submission to NMFS. If we decide the same information identified in the Determination for Certain Requirements that the draft final report needs no paragraph above this section. Activities Under the European Market comments, the draft final report will be may continue while we review the Infrastructure Regulation. considered to be the final report. circumstances of the incident. NMFS SUMMARY: The Commodity Futures d. Final Report: Submit a final report will work with Point Blue to determine Trading Commission (the to the Chief, Permits and Conservation whether modifications to the activities ‘‘Commission’’ or ‘‘CFTC’’) has Division, Office of Protected Resources, are appropriate. determined that certain laws and Headquarters, NMFS within 30 days 10. Reporting an Injured or Dead Marine regulations applicable in the European after receiving comments from us on the Mammal Not Related to Point Blue’s Union (‘‘EU’’) provide a sufficient basis draft final report. Activities for an affirmative finding of comparability with respect to certain 8. Reporting Prohibited Take In the event that Point Blue discovers regulatory obligations applicable to In the unanticipated event that Point an injured or dead marine mammal, and derivatives clearing organizations Blue’s activities cause any taking of a the lead researcher determines that the (‘‘DCOs’’) that are registered with the marine mammal in a manner prohibited injury or death is not associated with or Commission and are authorized to by the Authorization, such as an injury related to the activities authorized in the operate as central counterparties (Level A harassment), serious injury or Authorization (e.g., previously wounded (‘‘CCPs’’) in the EU. The Commission’s mortality (e.g., vessel-strike), Point Blue animal, carcass with moderate to determination provides for substituted shall immediately cease the specified advanced decomposition, or scavenger compliance with respect to activities and immediately report the damage), Point Blue will report the requirements for financial resources, incident to the Chief, Permits and incident to the Chief, Permits and risk management, settlement Conservation Division, Office of Conservation Division, Office of procedures, and default rules and Protected Resources, and the Assistant Protected Resources and the Assistant procedures. West Coast Regional Stranding West Coast Regional Stranding Coordinator. The report must include Coordinator within 24 hours of the DATES: This determination will become the following information: discovery. Point Blue will provide effective upon publication in the Time, date, and location (latitude/ photographs or video footage (if Federal Register. longitude) of the incident; the name and available) or other documentation of the FOR FURTHER INFORMATION CONTACT: type of vessel involved; the vessel’s stranded animal sighting to us and the Jeffrey M. Bandman, Acting Director, speed during and leading up to the Marine Mammal Stranding Network. 202–418–5044, [email protected]; incident; description of the incident; Point Blue can continue their research Robert B. Wasserman, Chief Counsel, water depth; environmental conditions activities. 202–418–5092, [email protected]; (e.g., wind speed and direction, Beaufort 11. A copy of this Authorization must Tracey Wingate, Special Counsel, 202– sea state, cloud cover, and visibility); be in the possession of Point Blue and 418–5319, [email protected], in each description of marine mammal its designees (including contractors and case at the Division of Clearing and observations in the 24 hours preceding marine mammal monitors) operating Risk, Commodity Futures Trading the incident; species identification or under the authority of this Incidental Commission, Three Lafayette Centre, description of the animal(s) involved; Harassment Authorization at all times. 1155 21st Street NW., Washington, DC

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20581; or Michael H. Margolis, Special limitations on the registration of DCOs. Commission for registration as DCOs Counsel, 312–596–0576, mmargolis@ Nor does it mandate that clearing of (CME Clearing Europe Ltd. and Japan cftc.gov, Division of Clearing and Risk, futures traded on U.S. exchanges must Securities Clearing Corporation). Commodity Futures Trading take place in the United States.2 To the Additionally, the Commission has Commission, 525 W. Monroe Street, contrary, it permits futures traded on provided exemptions from registration Suite 1100, Chicago, IL 60661. exchanges in the United States to be for foreign-based CCPs that clear SUPPLEMENTARY INFORMATION: cleared outside the United States. proprietary swaps positions for their However, the CEA and CFTC U.S. members and affiliates but not for I. Introduction regulations require that foreign-based U.S. customers generally. (These On February 10, 2016 Commission CCPs that wish to clear such futures be foreign-based DCOs also do not clear Chairman Timothy Massad issued a registered with the Commission and futures traded on U.S. designated joint statement with Commissioner comply with CFTC regulations.3 In contract markets (‘‘DCMs’’).) These Jonathan Hill of the European addition, consistent with Section 2(i) of exemptions have been issued pursuant Commission setting forth a common the CEA, foreign-based CCPs that clear to Section 5b(h) of the CEA, which approach regarding the regulation of swaps with a sufficient nexus to U.S. permits the Commission to exempt a CCPs. Under the common approach, the commerce must register with the clearing organization from DCO European Commission (‘‘EC’’) will Commission.4 registration for the clearing of swaps to propose a third-country equivalence Thus, under this regulatory the extent that the Commission decision (‘‘Equivalence Decision’’) framework, a number of foreign-based determines that such clearing regarding the Commission’s regulatory CCPs have been registered with the organization is subject to comparable, regime for DCOs, which is a prerequisite Commission for some time. comprehensive supervision by for the European Securities and Markets LCH.Clearnet Ltd., which is based in appropriate government authorities in Authority (‘‘ESMA’’) to recognize U.S. London, for example, has been the clearing organization’s home DCOs as equivalent third-country CCPs. registered with the Commission since country.6 Once recognized by ESMA, U.S. DCOs 2001, and thus has been subject to dual For purposes of the granting of may continue to operate and provide supervision by UK authorities and the exemptions to foreign-based CCPs that clearing services in the EU. Commission since long before the EU are not clearing futures traded on U.S. This Notice is being issued in adopted its current regulatory scheme— DCMs nor clearing swaps for U.S. connection with the resolution of EMIR.5 This dual registration system customers, the Commission has equivalence for U.S. DCOs. For an has been a foundation on which the determined that a supervisory and Equivalence Decision under Article 25 cleared swaps market grew to be a regulatory framework that is consistent of the European Market Infrastructure global market. In addition to with the Principles for Financial Market Regulation (‘‘EMIR’’), one of the LCH.Clearnet Ltd., there are currently Infrastructures (‘‘PFMIs’’) can be conditions requires that the legal and five other foreign-based DCOs that are considered to be comparable to and as supervisory regime of the United States registered both with the Commission comprehensive as the supervisory and must include an ‘‘effective equivalent and their home country regulators: regulatory framework established by the system’’ for the recognition of CCPs Singapore Exchange Derivatives CEA and part 39 of the Commission’s authorized in the EU under EMIR.1 As Clearing Limited (home country regulations.7 Pursuant to this authority, described below, U.S. law and CFTC regulator is the Monetary Authority of the Commission has granted exemptions regulations require that foreign-based Singapore), LCH.Clearnet SA (home to clearing organizations in Australia, CCPs register with the CFTC in certain country regulators are the Autorite´ de Japan, South Korea, and Hong Kong, circumstances. If registered, they must controˆle prudentiel et re´solution, the provided that each exempt CCP not offer comply with the relevant U.S. Autorite´ des marche´s financiers, and the customer clearing services for U.S. requirements, including the Banque de France), ICE Clear Europe persons and limit direct clearing by U.S. Commission regulations applicable to Ltd. (home country regulator is Bank of persons and futures commission registered DCOs. England), Natural Gas Exchange (home merchants (‘‘FCMs’’) to the following Under this Notice, EU-based CCPs country regulator is the Alberta circumstances: (1) ‘‘A U.S. person that that register with or are currently Securities Commission), and Eurex is a clearing member of [the exempt registered with the Commission as Clearing AG (home country regulators CCP] may clear swaps for itself and DCOs and that are authorized to operate are Bundesanstalt fu¨ r those persons identified in the in the EU may comply with certain Finanzdienstleistungsaufsicht (BaFin) Commission’s definition of ‘proprietary Commission requirements for financial and Deutsche Bundesbank). Two account’ set forth in Regulation 1.3(y)’’; resources, risk management, settlement additional foreign-based CCPs have (2) ‘‘A non-U.S. person that is a clearing procedures, and default rules and applications pending before the member of [the exempt CCP] may clear procedures (as set forth in this Notice) swaps for any affiliated U.S. person by complying with the terms of 2 7 U.S.C. 7a–1(a). identified in the definition of corresponding requirements under the 3 See generally 7 U.S.C. 7(d)(9)(iii) and (11); 17 ‘proprietary account’ set forth in EMIR Framework, as defined below. CFR 38.601. Regulation 1.3(y)’’; and (3) ‘‘An entity 4 7 U.S.C. 7a–1(a); 17 CFR 39.3; see also 7 U.S.C. that is registered with the Commission II. Statutory and Regulatory 2(i) (providing that the CEA’s swap-related Framework for Registration of non-U.S. provisions shall not apply to activities outside the United States unless those activities have a direct 6 7 U.S.C. 7a–1(h). CCPs and significant connection with activities in, or 7 The PFMIs were jointly issued by the Committee The Commodity Exchange Act effect on, commerce of the United States or on Payment and Settlement Systems (now, the contravene such rules or regulations as the Committee on Payments and Market Infrastructures (‘‘CEA’’) does not impose geographic Commission may prescribe or promulgate as are (‘‘CPMI’’)) of the Bank for International Settlements necessary or appropriate to prevent the evasion of and the Technical Committee of the International 1 See Regulation (EU) No 648/2012 of the any provision of the CEA). Organization of Securities Commissions (‘‘IOSCO’’) European Parliament and the Council on OTC 5 Regulation (EU) No 648/2012 on OTC in April 2012. The PFMIs are available at http:// derivatives, central counterparties and trade derivatives, central counterparties and trade www.iosco.org/library/pubdocs/pdf/ repositories of 4 July 2012 (‘EMIR’), Art. 25(6). repositories. IOSCOPD377.pdf.

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as an FCM may be a clearing member of understanding or similar arrangement procedures, and mechanisms, and to [the exempt CCP], or otherwise maintain (‘‘MOU’’) with the CCP’s home country evaluate the risks to which such CCPs an account with an affiliated broker that regulator(s). Such MOUs establish a are, or might be, exposed. At a is a clearing member, for the purpose of framework pursuant to which the minimum, these reviews and clearing swaps for itself and those Commission and the CCP’s home examinations must occur at least persons identified in the definition of country regulator(s) intend to cooperate annually. As part of such reviews and ‘proprietary account’ set forth in with each other in fulfilling their evaluations, the CCP is subject to on-site Regulation 1.3(y).’’ 8 respective regulatory responsibilities inspections.16 To clear U.S. customer transactions, with respect to covered cross-border Additionally, for each authorized the Commission requires that a CCP entities, including CCPs licensed by the CCP, a college of supervisors is register with the Commission as a DCO home country regulator(s) and registered established that comprises members of and such a DCO becomes subject to with the Commission. Specifically, such the NCA, ESMA, other EU national Section 4d of the CEA, which an MOU sets forth procedures for, authorities that may supervise entities establishes a customer protection regime among other things, information sharing on which the operations of that CCP for futures, options, and swaps between the CFTC and the home might have an impact (i.e., selected customers.9 For example, with respect country regulator(s), notification of clearing members, trading venues, to swaps customers, Section 4d(f)(1) certain material information, conduct of interoperable CCPs and central states that it shall be unlawful for any on-site visits, and the use and treatment securities depositories), as well as person to accept money, securities, or of non-public information. members of the European System of property (funds) from a swaps customer Central Banks (ESCB), as relevant.17 The III. Regulation of CCPs in the EU to margin a swap cleared through a DCO NCAs regularly, and at least annually, unless the person is registered as an EU-based CCPs are subject to the inform the college of the results of the FCM.10 Additionally, Section 4d(f)(2) regulations laid down in EMIR and the review and evaluation of the CCP, requires segregation of cleared swaps Regulatory Technical Standards (‘‘RTS’’) including any remedial action taken or customer funds from the funds of the (collectively, the ‘‘EMIR Framework’’).13 penalty imposed.18 The CCP college is FCM, and Section 4d(f)(6) extends these EMIR and the RTS establish uniform responsible for reaching an opinion on 11 segregation requirements to DCOs. legal requirements for EU CCPs that, as (1) the authorization of a CCP; (2) These provisions of the CEA interlock EU-level legislation, have an immediate, extensions of authorization; and (3) any with the commodity broker provisions binding, and direct effect in all EU changes to a CCP’s risk model. of the Bankruptcy Code, Subchapter IV member states without the need for While NCAs remain in charge of 12 of Chapter 7. No EU-based CCP has additional action by national supervising CCPs, ESMA, as an sought an exemption from registration. authorities.14 Moreover, where the independent European supervisory This is because EU-based CCPs offer, or European Parliament and the European authority, validates changes to the risk are seeking to offer, clearing for U.S. Council have passed EU-level models of authorized CCPs and is customers and thus have obtained or are legislation, EU member states cannot responsible for harmonizing and seeking to obtain, registration as DCOs. legislate laws that duplicate or conflict coordinating the implementation of Nevertheless, EU-based CCPs that do with EMIR.15 EMIR across the EU member states. not clear swaps for U.S. customers may The European Parliament and the ESMA is managed by a Board of petition the Commission for exempt European Council passed EMIR on July Supervisors, which is composed of the DCO status. 4, 2012, which entered into force on heads of 28 national authorities (where Additionally, in all instances in August 16, 2012. The relevant technical there is more than one national which the Commission has granted standards for CCPs, including the RTS authority in a Member State those registration to a foreign-based CCP, it for capital requirements (‘‘RTS–CR’’) authorities agree which of their heads also has entered into a memorandum of and the RTS for central counterparties will represent them), with observers (‘‘RTS–CCP’’), generally entered into from Norway, Iceland, and 8 See In re Petition of ASX Clear (Futures) Pty force on March 15, 2013. Limited for Exemption from Registration as a Liechtenstein. The Board makes Derivatives Clearing Organization (Aug. 18, 2015); Pursuant to EMIR, each EU member decisions on the compliance by NCAs In re Petition of Japan Securities Clearing Corp. for state is responsible for implementing with community legislation, Exemption from Registration as a Derivatives the EMIR Framework by designating a interpretation of community legislation, Clearing Organization (Oct. 26, 2015); In re Petition national competent authority(s) of Korea Exchange, Inc. for Exemption from decisions in crisis situations, the Registration as a Derivatives Clearing Organization (‘‘NCA’’) to authorize and supervise the approval of draft technical standards, (Oct. 26, 2015); In re Petition of OTC Clearing Hong day-to-day operations of CCPs guidelines, peer reviews, and any Kong Ltd. for Exemption from Registration as a established in its territory. The NCAs reports that are developed.19 Derivatives Clearing Organization (Dec. 21, 2015). are required to regularly review how the 9 7 U.S.C. 6d(a), (b), and (f). CCP complies with EMIR by examining IV. Comparable and Comprehensive 10 Section 4d(f)(l) of the CEA, 7 U.S.C 6d(f)(l), Standard states, in relevant part, that it shall be unlawful for the CCP’s rules, arrangements, any person to accept any money, securities, or Consistent with CEA Section 2(i) and property (or to extend any credit in lieu of money, 13 For the purposes of this Notice the Commission principles of international comity, in securities, or property) from, for, or on behalf of a only considered those EMIR Framework provisions swaps customer to margin, guarantee, or secure a published as of the date of this Notice. The relevant the case of foreign-based DCOs, the swap cleared by or through a derivatives clearing RTS include: Commission Delegated Regulation No. Commission will make a comparability organization (including money, securities, or 152/2013 with regard to regulatory technical determination on a requirement-by- property accruing to the customer as the result of standards on capital requirements for central requirement basis, rather than on the such a swap), unless the person shall have counterparties (‘‘RTS–CR’’); and Commission registered under the CEA with the Commission as Delegated Regulation No. 153/2013 with regard to a futures commission merchant, and the registration regulatory technical standards on requirements for 16 See EMIR Articles 21 and 22. shall not have expired nor been suspended nor central counterparties (‘‘RTS–CCP’’). 17 Id. at Article 18. revoked. 14 See EMIR (stating that ‘‘[t]his Regulation shall 18 Id. at Articles 12 and 21. 11 7 U.S.C 6d(f)(2) and (6). be binding in its entirety and directly applicable in 19 See ESMA: Board of Supervisors and NCAs, 12 See 11 U.S.C. 761–767; see also Section 101(6) all Member States.’’). https://www.esma.europa.eu/about-esma/ of the Bankruptcy Code, 11 U.S.C. 101(6). 15 EMIR Article 13(1). governance/board-supervisors-and-ncas.

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basis of the foreign regime as a whole.20 V. Comparability Determination financial obligations to its clearing In making its comparability The following section presents the members notwithstanding a default by determinations, the Commission may requirements imposed by specific the clearing member creating the largest include conditions that address, among sections of the CEA and Commission financial exposure for the DCO in other things, timing and other issues regulations applicable to DCOs that are extreme but plausible market conditions 22 related to coordinating the the subject of this comparability (‘‘Cover 1’’). A DCO may use the implementation of reform efforts across determination. Following the discussion following types of financial resources to jurisdictions. of each Commission requirement, the satisfy this requirement, including: the In evaluating whether a particular Commission provides the corresponding DCO’s own capital; guaranty fund category of foreign regulatory provision of the EMIR Framework. deposits; default insurance; potential requirement(s) is comparable and The Commission’s determinations in assessments for additional guaranty comprehensive to the corollary this regard are intended to inform the fund contributions, if permitted by the requirement(s) under the CEA and public of the Commission’s views DCO’s rules; and any other financial 23 Commission regulations, the regarding whether the specific resource deemed acceptable. Commission will take into consideration provisions of the EMIR Framework may On a monthly basis, a DCO must all relevant factors, including, but not be comparable to, and as comprehensive perform stress testing that will allow it limited to: The comprehensiveness of as, specific requirements in the CEA and to make a reasonable calculation of the the requirement(s); the scope and CFTC regulations and, therefore, may financial resources needed to meet its objectives of the relevant form the basis for substituted Cover 1 requirement. A DCO has requirement(s); the comprehensiveness compliance. The descriptions provided reasonable discretion to determine the of the foreign regulator’s supervisory herein of CEA and CFTC requirements, methodology it uses to compute its compliance program; and the foreign as well as the provisions of the EMIR Cover 1 requirement; however, the jurisdiction’s authority to support and Framework, are summaries of the actual Commission may review the enforce its oversight of the registrant. provisions and are qualified by methodology and require changes as 24 In making this comparability reference to them. Statements of appropriate. A DCO may allocate a determination, the Commission is regulatory objectives are general in financial resource to satisfy its Cover 1 relying on the provisions of the EMIR nature and provided only for the credit risk or its operating costs, but it Framework. The Commission assumes purpose of this Notice. Likewise, the may not allocate a financial resource to that the provisions of the EMIR Commission’s summary of what is satisfy both its Cover 1 credit risk and 25 Framework discussed herein are in full comparable as between specific CEA its operating costs. force and effect and that the description and CFTC requirements on the one hand If a DCO’s rules provide for of the EMIR Framework that is and corresponding provisions of the assessments for additional guaranty contained within this Notice is accurate EMIR Framework on the other is only a fund contributions, then the DCO must: 21 and complete. The Commission also summary. In particular, there may be Have rules requiring that its clearing assumes that the provisions of the EMIR aspects that are not cited, including members have the ability to meet an Framework discussed herein have been particular features that may not be assessment within the time frame of a implemented in accordance with their comparable, but that do not affect the normal end-of-day variation settlement terms and there are no Member State or overall determination with respect to cycle; monitor the financial and EU laws, regulations, or actions of the that provision or set of provisions. operational capacity of its clearing NCAs or any other authorities that are members to meet potential contrary to the provisions of the EMIR A. Financial Resources (Regulation assessment(s); apply a 30% haircut to Framework. Further, the Commission’s 39.11) the value of potential assessments; and determination is based on the EMIR CEA Section 7a–1(c)(2)(B) (‘‘Core only count the value of assessments Framework as it exists at this time; any Principle B’’) establishes general after the haircut, to meet up to 20% of changes to the EMIR Framework requirements for DCOs to have adequate those obligations.26 (including, but not limited to, changes financial resources. To implement Core In addition, CFTC regulation 39.11 in the relevant supervisory or regulatory Principle B the Commission adopted provides that a DCO must effectively regime) could, depending on the nature regulation 39.11, which requires a DCO measure, monitor, and manage its of the change, invalidate the to maintain financial resources liquidity risks, maintaining sufficient Commission’s comparability sufficient to cover its exposures with a liquid resources such that it can, at a determination. high degree of confidence and to enable minimum, fulfill its cash obligations it to perform its functions in compliance when due.27 A DCO also must hold its 20 The Commission has taken analogous action with the core principles set out in assets in a manner that minimizes the with respect to foreign-based swap dealers and risk of loss or delay in accessing them.28 major swap participants. Cf 78 FR 78864 (Dec. 27, Section 5b of the CEA. 2013) (Australia); 78 FR 78852 (Dec. 27, 2013) Commission Requirement: Regulation The financial resources the DCO (Hong Kong); 78 FR 78910 (Dec. 27, 2013) (Japan— 39.11 sets forth requirements by which allocates to meet this liquidity Entity Level Requirements); 78 FR 78890 (Dec. 27, a DCO must identify and adequately requirement must be sufficiently liquid 2013) (Japan—Transaction Level Requirements);78 to enable the DCO to fulfill its FR 78899 (Dec. 27, 2013) (Switzerland); 78 FR manage its general business risks and 78839 (Dec. 27, 2013) (Canada); 78 FR 78923 (Dec. hold sufficient liquid resources to cover obligations as a CCP during a one-day 27, 2013) (EU—Entity Level Requirements); 78 FR potential losses that are not related to settlement cycle.29 A DCO must 78878 (Dec. 27, 2013) (EU—Transaction Level clearing members’ defaults so that the Requirements); see also 78 FR 45292 (July 26, 22 DCO can continue to provide services as 17 CFR 39.11(a)(1). 2013). 23 17 CFR 39.11(b)(1). 21 a going concern. The Commission additionally provided the EC 24 17 CFR 39.11(c)(1). and ESMA the opportunity to consult regarding the Regulation 39.11 provides that a 25 17 CFR 39.11(b)(3). relevant provisions of the EMIR Framework DCO’s financial resources will be 26 described in this Notice; however, in reaching its 17 CFR 39.11(d)(2). conclusions the Commission ultimately relied upon considered sufficient if their value, at a 27 17 CFR 39.11(e)(1)(i). the English-language published text of the minimum, exceeds the total amount that 28 Id. provisions of the EMIR Framework. would enable the DCO to meet its 29 17 CFR 39.11(e)(1)(ii).

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maintain cash, U.S. Treasury available financial resources to enable RTS–CCP, Chapter VIII (Art. 32–34): A obligations, or high quality, liquid, the CCP to withstand the default of at CCP shall establish a robust liquidity general obligations of a sovereign least the two clearing members to which risk management framework, which nation, in an amount equal or greater it has the largest exposure under shall include, among other things, than an amount calculated as follows: extreme but plausible market effective operational and analytical tools • Calculate the average daily conditions. Such prefunded financial to identify, measure, and monitor its settlement pay for each clearing member resources shall include dedicated settlement and funding flows on an over the last fiscal quarter; resources of the CCP, shall be freely ongoing and timely basis and assess its • Calculate the sum of those average available to the CCP, and shall not be potential future liquidity needs under a daily settlement pays; and used to meet the CCP’s capital wide range of potential stress scenarios. • Using that sum, calculate the requirements. A CCP shall maintain, in each relevant average of its clearing members’ average RTS–CCP, Art. 51(2) and 53(1): On a currency, liquid resources pays.30 regular basis, a CCP shall conduct stress commensurate with its liquidity A DCO may take into account a tests designed to ensure that its requirements. These liquid resources committed line of credit or similar combination of margin, default fund shall be limited to the following: cash facility for the purposes of meeting the contributions, and other financial deposited at a central bank of issue; remainder of this liquidity requirement. resources are sufficient to cover the cash deposited at authorized credit CFTC regulation 39.11 further default of at least the two clearing institutions; committed lines of credit; provides that the assets a DCO holds in members to which the CCP has the committed repurchase agreements; and/ a guaranty fund must have minimal largest exposures under extreme but or highly marketable financial credit, market, and liquidity risks and plausible market conditions. As part of instruments that are readily available must be readily accessible on a same- its stress testing, the CCP also shall and convertible into cash on a same-day 31 day basis. Additionally, letters of examine potential losses resulting from basis using prearranged and highly credit are not permissible assets for a the default of entities in the same reliable funding arrangements. guaranty fund.32 corporate group as the two clearing EMIR, Art. 46 and 47: A CCP shall Finally, CFTC regulation 39.11 members to which it has the largest accept highly liquid collateral with provides that a DCO’s cash balances exposure under extreme but plausible minimal credit and market risk to cover must be invested or placed in market conditions. its initial and ongoing exposure to its safekeeping in a manner that bears little RTS–CCP, Art. 30(2) and 59(5): A CCP clearing members and it shall invest its 33 or no principal risk. shall develop a framework for defining financial resources only in cash or Regulatory Objective: Core Principle B the types of extreme but plausible highly liquid financial instruments with and the Commission’s implementing market conditions based on a range of minimal market and credit risk. regulations are designed to establish (1) historical scenarios that could EMIR, Art. 16 and 47(2): A CCP’s uniform standards that further the goals expose it to the greatest risk; and (2) capital, including retained earnings and of avoiding market disruptions and potential future scenarios founded on reserves, shall be proportionate to the financial losses to market participants consistent assumptions regarding risk stemming from the activities of the and the general public, and avoiding market volatility and price correlation CCP. Capital not invested in cash or systemic problems that could arise from across markets and financial highly liquid financial instruments with a DCO’s failure to maintain adequate instruments, drawing on both minimal credit risk, however, shall not resources. The regulations promote quantitative and qualitative assessments count for purposes of calculating a financial strength and stability, thereby of potential market conditions. If a CCP CCP’s regulatory capital. fostering efficiency and a greater ability decides that recurrence of a historical RTS–CR, Art. 2(2): A CCP shall to compete in the broader financial instance of large price movements is not calculate and retain the amount of market. plausible, the CCP shall justify to the capital it requires to wind down or As highlighted by the events of 2007– competent authority its omission from restructure. This estimated time span 2008 in global financial markets, the framework. A CCP shall analyze and shall be sufficient to ensure an orderly maintaining sufficient financial monitor its financial resources coverage winding down or restructuring of its resources is a critical aspect of any in the event of defaults by conducting activities, reorganizing its operations, financial entity’s risk management at least daily stress testing using liquidating its clearing portfolio, or system, and ultimately contributes to standard and predetermined parameters transferring its clearing activities to the goal of stability in the broader and assumptions. another CCP, including in stressed financial markets. By setting specific EMIR, Art. 44 and 47(3)–(5): At all market conditions. For the purposes of standards with respect to how DCOs times, a CCP shall have access to this RTS, the prescribed time span for must access and monitor the adequacy adequate liquidity to perform its purposes of determining sufficient of their financial resources, Core services and activities and, on a daily capital to wind down or restructure a Principle B and the Commission’s basis, shall measure its potential CCP’s activities is subject to a minimum implementing regulations contribute to liquidity needs. Financial instruments of six months. a DCO’s maintenance of sound risk posted as margin or as default fund RTS–CCP, Art. 43–46 and Annex II: A management practices and further the contributions shall be deposited in a debt instrument can be considered goal of minimizing systemic risk. manner that ensures the full protection highly liquid, bearing minimal credit Comparable EU Law and Regulations: of those financial instruments. Cash and market risk if it is issued by or The following provisions of the EMIR deposits of a CCP, other than with a explicitly guaranteed by a government, Framework address financial resources. central bank, shall be executed through central bank, multilateral development EMIR, Art. 43: At all times, a CCP highly secure arrangements with bank, or the European Financial shall maintain sufficient prefunded authorized financial institutions. Where Stability Facility or the European 30 17 CFR 39.11(e)(1)(ii). a CCP deposits assets with a third party, Stability Mechanism; the CCP can 31 17 CFR 39.11(e)(3)(i). it shall ensure that the assets are demonstrate that the debt instrument 32 17 CFR 39.11(e)(3)(iii). identifiable separately by means of has low credit and market risk based 33 17 CFR 39.11(e)(3)(ii). differently titled accounts. upon an internal assessment; the

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average time-to-maturity of the CCP’s obligations to market participants, thus safeguarded in a manner which bears portfolio does not exceed two years; the contributing to the financial integrity of little to no principal risk. debt instrument is denominated in a the derivatives market as a whole. Both Accordingly, the Commission finds currency the risks of which the CCP can regimes require prefunding of financial that the provisions of the EMIR demonstrate it is able to manage or in resources sufficient to at least cover a Framework with respect to financial a currency in which the CCP clears default caused by a clearing member resources discussed above and transactions; the debt instrument is creating the largest financial exposure identified below in Table 1(a) are freely transferrable and without any for the EU-based CCP that is dually comparable to and as comprehensive as regulatory constraint or third party registered with the CFTC as a DCO the financial resource requirements of claims that impair liquidation; the debt (‘‘DCO/CCP’’) in extreme but plausible CFTC regulation 39.11, with the instrument has an active outright sale or market conditions. Both regimes also exception of 39.11(f), which requires repurchase market with a diverse group require that a DCO/CCP’s financial DCOs to submit to the Commission of buyers and sellers, including during quarterly financial resource reports that resources include dedicated resources stress conditions; and reliable price data include a quarterly financial statement. (e.g., prefunded mutualized resources) on the debt instrument is published on The Commission recognizes that a regular basis. and require frequent and regular stress European CCPs would not have Commission Determination: The testing of financial resources. Likewise, financial statements prepared in Commission finds that the provisions of both regimes require that assets in the accordance with U.S. Generally the EMIR Framework with respect to default fund have minimal credit, Accepted Accounting Principles financial resources are generally similar market, and liquidity risks, and be (‘‘GAAP’’) absent Commission to the applicable provisions of CFTC readily accessible on a same-day basis. registration. Thus, the Commission will Regulation 39.11, and set specific and Additionally, both regimes prohibit a permit CCPs to submit financial uniform standards with respect to how DCO/CCP from allocating the same statements prepared in accordance with CCPs should access and monitor the financial resources to different International Financial Reporting adequacy of their financial resources. categories of financial exposure and Standards (‘‘IFRS’’), with periodic These standards seek to ensure that both regimes require that cash balances reconciliation to assist staff in reviewing CCPs can meet their financial must be either invested or appropriately the financial statements.

TABLE 1(A)—FINANCIAL RESOURCES

Subject area CFTC regulations EMIR framework

Default financial resources (Credit risk: Cover 17 CFR 39.11(a)(1), 17 CFR 39.11(b)(1), 17 EMIR, Art 43; RTS–CCP, Art 53(1) 1). CFR 39.11(d)(2). Monthly stress-testing of default financial re- 17 CFR 39.11(c)(1) ...... RTS–CCP, Art. 51(2) and 53(1); RTS–CCP, sources. Art 30(2) and 59(5) Liquidity of default financial resources ...... 17 CFR 39.11(e)(1) ...... EMIR, Art 44 and 47(3)–(5); RTS–CCP, Chapter VIII (Art 32–34) Default fund collateral ...... 17 CFR 39.11(e)(3)(i), 17 CFR 39.11(e)(3)(iii) EMIR, Art 46 and 47 General business risks, (Allocation of financial 17 CFR 39.11(b)(3) ...... EMIR Art 16 and 47(2); RTS-Capital Require- resources). ments for CCP, Art 2(2) Cash management ...... 17 CFR 39.11(e)(3)(ii) ...... EMIR, Art 47; RTS–CCP, Art 43–46 and Annex II

B. Risk Management (Regulation 39.13) limit its exposure to potential losses addresses monitoring and managing those risks, and provides a mechanism CEA Section 7a–1(c)(2)(D) (‘‘Core from defaults by clearing members, for internal audit.34 Principle D’’) establishes general through margin requirements and other CFTC regulation 39.13 also requires a requirements for DCOs to have the risk control mechanisms, to ensure that its operations would not be disrupted DCO to appoint a chief risk officer ability to manage the risks associated (‘‘CRO’’), who must be responsible for with discharging the responsibilities of and that non-defaulting clearing members would not be exposed to implementing the DCO’s written risk the DCO through the appropriate tools management framework and for making and procedures. To implement Core losses that non-defaulting clearing members cannot anticipate or control. appropriate recommendations to the Principle D, the Commission adopted DCO’s risk management committee or regulation 39.13, which requires a DCO Finally, CFTC regulation 39.13 also requires that a DCO collect margin from board of directors.35 Given the to maintain appropriate tools and importance of the risk management procedures to manage the risks each clearing member sufficient to cover potential exposures in normal market function and the comprehensive nature associated with discharging the of the responsibilities of a DCO’s chief responsibilities of a DCO in compliance conditions and that each model and parameter used in setting such margin compliance officer (‘‘CCO’’), the with the core principles set out in Commission previously has stated that Section 5b of the CEA. requirements be risk-based and reviewed on a regular basis. it expects that a DCO’s CRO and CCO Commission Requirement: CFTC would be two different individuals.36 regulation 39.13 generally requires a CFTC regulation 39.13 requires a DCO Pursuant to CFTC regulation 39.13, DCO to measure its credit exposure to to establish, maintain, and regularly through margin requirements and other each clearing member not less than once update a written risk management risk control mechanisms, a DCO must during each business day and to framework (approved by its board of monitor such exposure periodically directors) that, at a minimum, clearly 34 17 CFR 39.13(b). during the business day. CFTC identifies and documents the range of 35 17 CFR 39.13(c). regulation 39.13 also requires a DCO to risks to which the DCO is exposed, 36 76 FR 69363.

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limit its exposure to potential losses Additionally, CFTC regulation 39.13 exposed. In developing its risk from defaults by its clearing members to provides that a DCO must back test its management framework, a CCP shall ensure that its operations would not be initial margin requirements by take an integrated and comprehensive disrupted and non-defaulting clearing comparing its initial margin view of all relevant risks. members would not be exposed to requirements with historical price RTS–CCP, Art. 3(3) and 4(6): A CCP losses that they cannot anticipate or changes to determine the extent of shall have a CRO, who shall implement control.37 actual margin coverage using an the risk management framework. The CFTC regulation 39.13 also provides appropriate time period but not less CCP shall ensure that the functions of that a DCO must establish initial margin than the previous 30 days, as follows: the CRO, CCO, and chief technology requirements that are commensurate On a daily basis, the DCO must back test officer are carried out by different with the risk of each product and products or swaps portfolios that are individuals, who shall be employees of portfolio, including any unusual experiencing significant market the CCP entrusted with the exclusive characteristics of, or risks associated volatility; and on at least a monthly responsibility of performing these with, particular products or portfolios, basis, the DCO must back test the functions. including but not limited to jump-to- adequacy of all of its initial margin EMIR, Art. 48(2): A CCP shall take default risk or other similar risk.38 Each requirements.45 prompt action to contain losses and model and parameter used in setting On a daily basis, a DCO must use liquidity pressures resulting from initial margin requirements must be prudent valuation practices to value defaults and shall ensure that the risk-based and reviewed on a regular assets posted as initial margin.46 In closing out of any clearing member’s basis.39 On a daily basis, a DCO must particular, a DCO must appropriately positions does not disrupt its operations determine the adequacy of its initial reduce its valuation of the assets that it or expose non-defaulting clearing margin requirements.40 accepts in satisfaction of its initial members to losses that they cannot The actual coverage of a DCO’s initial margin requirements, to reflect credit, anticipate or control. margin requirements must meet an market, and liquidity risks, taking into EMIR, Art. 41(2), 49(1): A CCP shall adopt models and parameters for setting established confidence level of at least account stressed market conditions, and margin requirements that capture the 99%, based on data from an appropriate must evaluate the appropriateness of risk characteristics of the products and historical time period, for each product such haircuts on at least a quarterly 47 swaps cleared and take into account the for which the DCO uses a product-based basis. interval between margin collections, margin methodology; for each spread Regulatory Objective: Core Principle D market liquidity, and the possibility of within or between products for which and the Commission’s implementing changes over the duration of the there is a defined spread margin rate; for regulations are designed to ensure that transaction. The models shall be each account held by a clearing member each DCO possesses the ability and validated by the competent authority. A at the DCO, by house origin and by each necessary tools to manage the risks CCP regularly shall review its models customer origin; and for each swap associated with discharging the and parameters for setting margin portfolio, including any portfolio responsibilities of being a DCO. The requirements and shall subject the containing futures and/or options and Commission’s regulation requiring a models to rigorous and frequent stress held in a commingled account pursuant DCO to maintain and update a written tests. A CCP also shall obtain to CFTC regulation 39.15(b)(2), by risk management framework seeks to independent validations of its models beneficial owner.41 A DCO must ensure that a DCO carefully has considered its risk management and parameters. determine the appropriate historic time RTS–CCP, Art. 24(2)(b): In period based on the characteristics, framework, and it will provide guidance to DCO management, staff, and market determining the adequate confidence including volatility patterns, of each interval for each class of product that it product, spread, account, or portfolio.42 participants. By requiring a 99% confidence level for initial margin, the clears, a CCP shall consider, among In addition, CFTC regulation 39.13 other factors, the risk characteristics of provides that on a regular basis, a Commission’s regulations seek to prevent DCOs from competing with the class of product, which can include, qualified and independent party must but are not limited to, volatility, review and validate a DCO’s systems for respect to how much risk they are willing to take on or from misjudging duration, liquidity, non-linear price generating initial margin requirements, characteristics, jump-to-default risk and including its theoretical models, and the amount of risk they would take on if they operated under lower standards. wrong-way risk. that this party must not be the person RTS–CCP, Art. 24(1): A CCP shall responsible for development or Through requiring independent validation of the DCO’s margin models, calculate the initial margins to cover the operation of the systems and models exposures arising from market 43 the Commission’s regulations seek to being tested. movements for each financial A DCO may reduce initial margin prevent bias in validating the DCO’s models. By requiring daily review and instrument that is collateralized on a requirements for related positions if the product basis, over an appropriate time price risks with respect to such back testing, the regulations seek to ensure that DCOs monitor the adequacy horizon for the liquidation of the positions are significantly and reliably position, with a confidence level of correlated—i.e., there is a theoretical of their initial margin requirements. Comparable EU Law and Regulations: 99.5% for over-the-counter derivatives basis for the correlation in addition to The following provisions of the EMIR and 99% for all other products. an exhibited statistical correlation.44 Framework address risk management. RTS–CCP, Art. CCP 25: A CCP shall RTS–CCP Art. 4: A CCP shall have a ensure that its model methodology and 37 17 CFR 39.13(f). 38 sound, written framework for the its validation process for determining 17 CFR 39.13(g)(2)(i). initial margin covers at least the latest 39 17 CFR 39.13(g)(1). comprehensive management of all 40 17 CFR 39.13(g)(6). material risks to which it is or may be 12 months and captures a full range of 41 17 CFR 39.13(g)(2)(iii). market conditions, including periods of 42 17 CFR 39.13(g)(2)(iv). 45 17 CFR 39.13(g)(7). stress. 43 17 CFR 39.13(g)(3). 46 17 CFR 39.13(g)(11). RTS–CCP, Art 47 and 59(1): At least 44 17 CFR 39.13(g)(4). 47 17 CFR 39.13(g)(12). annually, a CCP shall conduct a

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comprehensive and well-documented liquid collateral with minimal credit based and regularly reviewed and both validation of its models, their and market risk to cover its initial and regimes require that the calculation of methodologies, and the liquidity risk ongoing exposure to its clearing initial margin include factoring the risk management framework used to members. It shall apply adequate characteristics of each cleared product. quantify, aggregate, and manage the haircuts to collateral asset values that Both regimes require at least a 99% CCP’s risks. take into account the liquidity risk confidence level in determining the RTS–CCP, Art. 27 and 59(9): A CCP following the default of a market adequacy of initial margin and both may allow offsets or reductions in the participant and concentration risk, and regimes have similar proscriptions for required margin across the products and that reflect the potential for the value of back testing initial margin models. swaps that it clears if the price risk of such assets to decline over the interval Finally, both regimes require that cash one financial instrument or a set of between their last reevaluation and the balances must be either invested or products or swaps is significantly and time by which they reasonably can be appropriately safeguarded in a manner reliably correlated, or based on an assumed to be liquidated. Such haircuts that bears little or no principal risk. equivalent statistical parameter of shall consider, for each among other dependence, with the price risk of other factors, the type of asset and the credit Accordingly, the Commission finds products or swaps. The CCP shall risk associated with the financial that the provisions of the EMIR demonstrate the existence of an instrument, the maturity of the asset; the Framework with respect to risk economic rationale for the price historical and hypothetical future price management standards discussed above correlation. At least annually, a CCP volatility of the asset in stressed market and identified below in Table 1(b) are shall test offsets among products and conditions; the liquidity of the comparable to and as comprehensive as swaps and how correlations perform underlying market, including bid/ask the risk management requirements of during periods of actual and spread; the foreign exchange risks; and CFTC regulation 39.13, with the hypothetical severe market conditions. any wrong-way risk. The CCP shall test exception of 39.13(g)(8)(i) and (ii), RTS–CCP, Art. 49 and 60(2): On a its haircuts at least monthly. which respectively require FCMs to daily basis, a CCP shall assess its margin Commission Determination: The calculate initial margin for cleared coverage by back testing its margin Commission finds that the provisions of customer accounts on a gross (as coverage against expected outcomes opposed to net) basis and require DCOs derived from the use of margin models the EMIR Framework with respect to risk management are generally similar to to collect additional initial margin for to evaluate whether there are any testing non-hedge positions of FCM customers. exceptions to margin coverage. In Core Principle D and CFTC regulation 39.13, and prescribe how CCPs should Despite the importance of gross conducting such back testing, the CCP margining of customer accounts and the shall evaluate its current positions and monitor, evaluate, and manage the risks to which they are exposed. These collection of this additional initial clearing members, and take into account margin, in an effort to promote comity, possible effects from portfolio margining standards seek to ensure that CCPs can the Commission would not require and, where appropriate, interoperable meet their financial obligations to DCO/CCPs to apply either of these CCPs. The historical time horizons used market participants, thus contributing to regulations to non-FCM clearing for back tests shall include data from at the financial integrity of the derivatives minimum the most recent year or as market as a whole. member intermediaries or to the long as a CCP has been clearing the Both regimes include a broad, general customers of non-FCM clearing member relevant product or swap if that is less requirement for a DCO/CCP to manage intermediaries. Additionally, the than a year. the risk to which it is exposed and both Commission makes this finding RTS–CCP, Art. 40(2): A CCP shall regimes require the appointment of a notwithstanding that the EMIR mark-to-market its collateral on a near to CRO to perform similar functions. Both Framework’s treatment of affiliates does real-time basis, and where not possible, regimes require a DCO/CCP to use risk not shield customers from potential a CCP shall be able to demonstrate to control mechanisms, such as margin losses by affiliates of the clearing the competent authorities that it is able requirements, to limit exposure to member in the same manner as the to manage the risks. potential clearing member defaults. CFTC’s approach and in fact potentially EMIR, Art. 46(1); RTS–CCP, Art. 41(2) Similarly, both regimes require that exposes customers to proprietary and 59(10): A CCP shall accept highly margin models and parameters be risk- trading losses.

TABLE 1(B)—RISK MANAGEMENT

Subject area CFTC regulations EMIR framework

General/documentation requirement ...... 17 CFR 39.13(a)–(b) ...... RTS–CCP, Art 4 Chief risk officer ...... 17 CFR 39.13(c) ...... RTS–CCP, Art 3(3) and 4(6) Limitation of exposure to potential losses from 17 CFR 39.13(f) ...... EMIR, Art 48(2) defaults. Margin models/parameters ...... 17 CFR 39.13(g)(1) ...... EMIR, Art 41(2), 49(1) Risk factors for margin ...... 17 CFR 39.13(g)(2)(i) ...... RTS–CCP, Art 24(2)(b) Minimum confidence level ...... 17 CFR 39.13(g)(2)(iii) ...... RTS–CCP, Art 24(1) Lookback period ...... 17 CFR 39.13(g)(2)(iv) ...... RTS–CCP, Art 25 Regular independent validation ...... 17 CFR 39.13(g)(3) ...... RTS–CCP, Art 47 and 59(1) Portfolio margining ...... 17 CFR 39.13(g)(4) ...... RTS–CCP, Art 27; RTS–CCP, Art 59(9) Margin Back tests ...... 17 CFR 39.13(g)(7) ...... RTS–CCP, Art 49 and 60(2) Daily valuation of collateral posted as initial 17 CFR 39.13(g)(11) ...... RTS–CCP, Art 40(2) margin. Haircuts ...... 17 CFR 39.13(g)(12) ...... EMIR, Art 46(1); RTS–CCP, Art 41(2) and 59(10) Daily determination of initial margin adequacy .. 17 CFR 39.13(g)(6) ...... EMIR, Art 49(1)

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C. Settlement Procedures (Regulation eliminate or strictly limit such with CCPs with which it has 39.14) exposures: maintain accounts at one or interoperability arrangements, at least CEA Section 7a–1(c)(2)(E) (‘‘Core more additional settlement banks; on a daily basis. A CCP shall regularly Principle E’’) establishes general approve one or more additional monitor and, if necessary, revise its requirements for DCOs to have settlement banks that its clearing margins to reflect current market sufficient settlement procedures. To members could choose to use; impose conditions, taking into account any implement Core Principle E the concentration limits with respect to one potential procyclical effects of such Commission adopted regulation 39.14, or more of its own or its clearing revisions. A CCP shall call and collect which requires a DCO to complete members’ settlement banks; and/or take margins on an intraday basis, at a money settlements on a timely basis, but any other appropriate actions.51 minimum when predefined thresholds not less frequently than once each A DCO must maintain an accurate are exceeded. business day; employ money settlement record of the flow of funds associated EMIR, Art. 50(1): Where practical and arrangements to eliminate or strictly with each settlement.52 available, a CCP shall use central bank limit exposure to settlement bank risks; A DCO must possess the ability to money to settle its transactions. Where maintain an accurate record of the flow comply with each term and condition of a CCP cannot use central bank money, of funds associated with money any permitted netting or offset it shall take steps to strictly limit cash settlements; possess the ability to arrangement with any other clearing settlement risk. 53 RTS–CCP, Art. 4(2), 32(4)(a), and comply with the terms and conditions organization. 51(3): A CCP shall take an integrated of any permitted netting or offset For products that are settled by and comprehensive view of all relevant arrangement with another DCO; physical transfer of the underlying risk, including the risks it bears from establish rules that clearly state the instruments or commodities, a DCO and poses to, among other things, obligation of a DCO with respect to must establish rules that clearly state settlement banks. A CCP also shall physical deliveries; and ensure that a each obligation that the DCO has assess the liquidity risk it faces, DCO identifies and manages each risk assumed with respect to such physical including situations in which the CCP arising from any of its obligation with deliveries, including whether it has an or its clearing members cannot settle respect to physical deliveries. obligation to make or receive delivery of Commission Requirement: Regulation a physical instrument or commodity, or their payment obligations when due as 39.14 requires that a DCO collect margin whether it indemnifies clearing part of the clearing or settlement from its clearing members on a daily members for losses incurred in the process. Such assessment shall address basis. Specifically, a DCO must effect delivery process, and ensure that the the liquidity needs arising from the settlement with each clearing member at risks of each such obligation are CCP’s relationship with, among others, least once each business day, and must identified and properly managed.54 settlement banks. As part of its stress have the authority and operational Regulatory Objective: On a daily basis, testing procedures, a CCP should capacity to effect a settlement with each DCOs are exposed to significant inflows consider stress testing scenarios clearing member on an intraday basis, and outflows of cash and other liquid involving the technical or financial either routinely, when thresholds financial instruments. Core Principle E failure of, among others, its settlement specified by the DCO are breached, or in and the Commission’s implementing banks. RTS–CCP, Art. 13 and Art. 14(3): A times of extreme market volatility.48 regulations are designed to ensure that CFTC regulation 39.14 provides that a a DCO has the authority and operational CCP shall maintain records of all DCO must employ settlement capacity to effect settlement with each transactions in all contracts it clears and arrangements that eliminate or strictly clearing member, on an intraday basis shall ensure that its records include all limit its exposure to settlement bank and to also monitor, eliminate, or information necessary to conduct a risk, by among other things, having strictly limit the settlement risks to comprehensive and accurate documented criteria with respect to which a DCO is exposed. reconstruction of the clearing process. A those banks that are acceptable Comparable EU Law and Regulations: CCP shall make, and keep updated, a settlement banks for the DCO and its The following provisions of the EMIR record of the amounts of margin, default clearing members, including criteria Framework address settlement fund contributions, and other financial addressing the capitalization, procedures. resources, with respect to each single creditworthiness, access to liquidity, EMIR, Art. 41(1) and (3): A CCP shall clearing member and client account, if operational reliability, and regulation or impose, call, and collect margins to known to the CCP. supervision of such banks.49 A DCO limit its exposures from its clearing EMIR, Art. 50(2)–(3): A CCP shall further must monitor each approved members, and where relevant, from clearly state its obligations with respect settlement bank on an ongoing basis to CCPs with which it has interoperability to deliveries of financial instruments, ensure that such bank continues to meet arrangements. Such margins shall be including whether it has any obligation the DCO’s established criteria.50 sufficient to cover potential exposures to make or receive delivery of a A DCO must monitor the full range of that the CCP estimates will occur until financial instrument or whether it and concentration of its exposure to its the liquidation of the relevant positions. indemnifies participants for losses own and its clearing members’ Such margins also shall be sufficient to incurred in the delivery process. Where settlement bank(s) and assess its own cover losses that result from at least a CCP has an obligation to make or and its clearing members’ potential 99% of the exposures’ movements over receive deliveries of financial losses and liquidity in the event that the an appropriate time horizon and they instruments, it shall eliminate principal settlement bank with the largest share of shall ensure that a CCP fully risk by using delivery-versus-payment settlement activity were to fail. A DCO collateralizes its exposures with all its mechanisms, to the extent possible. must take any one or more of the clearing members, and, where relevant, Commission Determination: The following actions, as needed, to Commission finds that the provisions of 51 17 CFR 39.14(c)(3). the EMIR Framework with respect to 48 17 CFR 39.14(b). 52 17 CFR 39.14(e). settlement procedures are generally 49 17 CFR 39.14(c)(1). 53 17 CFR 39.14(f). similar to Core Principle E and CFTC 50 17 CFR 39.14(c)(2). 54 17 CFR 39.14(g). regulation 39.14, and eliminate or

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strictly limit a CCP’s exposure to instrument or commodity, and to comparability determination only settlement risk. Both regimes require the identify and manage the risks associated applies with regard to certain provisions daily collection of margin and both with the physical delivery of such of regulation 39.14 (i.e., § 39.14(b), require a DCO/CCP to employ instruments. § 39.14(c), § 39.14(e), § 39.14(f), and settlement arrangements that limit Accordingly, the Commission finds § 39.14(g)). No comparability finding is exposure to various risks, including that the provisions of the EMIR made regarding § 39.14(d), which exposure to settlement banks, Framework with respect to settlement requires a DCO to ensure that concentration risk, and physical procedures discussed above and settlements are final when effected by delivery of instruments. Both regimes identified below in Table 1(c) are ensuring that it has entered into legal comparable to and as comprehensive as have similar recordkeeping agreements that state that settlement the default rules and procedures of requirements. Finally, both regimes fund transfers are irrevocable and CFTC regulation 39.14. require a DCO/CCP to have rules with For the avoidance of doubt, the unconditional no later than when the respect to the physical delivery of an Commission notes that the foregoing DCO’s accounts are debited or credited.

TABLE 1(C)—SETTLEMENT PROCEDURES

Subject area CFTC regulations EMIR framework

Settlement procedures ...... 17 CFR 39.14(b), (c), (e)–(g) ...... EMIR, Art. 41(1) and (3); EMIR, Art 50(1); RTS–CCP, Art 4(2), 32(4)(a) and 51(3); RTS–CCP, Art 13 and 14(3); EMIR, Art 50(2)-(3).

D. Default Rules and Procedures other clearing members; any obligations clearing member’s positions does not (Regulation 39.16) that the DCO imposes on its clearing disrupt its operations or expose the non- CEA Section 7a-1(c)(2)(G) (‘‘Core members to participate in auctions or to defaulting clearing members to losses Principle G’’) establishes general accept allocations, of the customer or that they cannot anticipate or control. requirements for DCOs to have adequate house positions of a defaulting clearing EMIR, Art. 37(6): A CCP may impose default rules and procedures. To member, subject to certain limitations; specific additional obligations on implement Core Principle G the the default waterfall—i.e., the sequence clearing members, including the Commission adopted regulation 39.16, in which the funds and assets of the participation in auctions of a defaulting which requires a DCO to have rules and defaulting clearing member and its member’s positions. Such obligations procedures designed to allow for the customers and the financial resources shall be proportional to the risk brought efficient, fair, and safe management of maintained by the DCO would be by the clearing member and shall not events during which members or applied in the event of a default; and a restrict participation to certain participants become insolvent or provision that the funds and assets of a categories of clearing members. otherwise default on the obligations of defaulting clearing member must be EMIR, Art. 45: A CCP shall use a the members or participants to the DCO. applied to cover losses with respect to defaulting clearing member’s margins Commission Requirement: CFTC a customer default, if the relevant before using other financial resources to regulation 39.16 provides requirements customer funds and assets are cover losses. Where the margins posted by which a DCO must adopt rules and insufficient to cover the shortfall.57 The by the defaulting clearing member are procedures designed to allow DCOs to DCO must make its default rules insufficient to cover the losses covered effectively manage events during which publicly available.58 by the CCP, the CCP shall use the clearing members become insolvent or Regulatory Objective: Core Principle G default fund contribution of the default on the obligations of such and the Commission’s implementing defaulting member to cover the loss. A clearing members to the DCO.55 regulations are designed to ensure that CCP shall use contributions to the Pursuant to CFTC regulation 39.16, a each DCO clearly states its default default fund of the non-defaulting DCO must adopt procedures that would procedures, makes its default rules clearing members and any other permit the DCO to timely take action to publicly available, and has rules and financial resources only after having contain losses and liquidity pressures procedures that allow it to take timely exhausted the defaulting clearing and to continue meeting its obligations action to contain losses and liquidity member’s contributions. A CCP further in the event of a default on the pressures and to continue meeting its shall use its own dedicated financial obligations of a clearing member to the obligations. resources before using the default fund DCO.56 Further, a DCO must adopt rules Comparable EU Law and Regulations: contributions of non-defaulting clearing setting forth its default procedures; The following provisions of the EMIR members. A CCP shall not use the including the DCO’s definition of Framework address default rules and margins posted by non-defaulting default, the actions that the DCO may procedures. clearing members to cover losses take upon default, which must include EMIR, Art. 48: A CCP shall have resulting from the default of another the prompt transfer, liquidation, or written procedures to be followed in the clearing member. hedging of the customer or house event of the default of a clearing RTS–CCP, Art. 58 and 59(12): At least positions of the defaulting clearing member. The CCP shall take prompt on a quarterly basis, a CCP shall test and member, as applicable, and which may action to contain losses and liquidity review its default procedures to ensure include, in the DCO’s discretion, the pressures resulting from defaults and they are both practical and effective. At auctioning or allocation of positions to shall ensure that the closing out of any least annually, a CCP shall perform simulation exercises as part of the 55 17 CFR 39.16(a). 57 17 CFR 39.16(c)(2)(i)–(v). testing of its default procedures. It also 56 17 CFR 39.16(c)(1). 58 17 CFR 39.16(c)(3). shall perform simulation exercises

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following any material change to its proprietary and client positions, funds Accordingly, the Commission finds default procedures. and assets), and the mechanisms for that the EMIR Framework with respect ESMA Q&A CCP Question 8(f)(1): A addressing a CCP’s obligations to non- to default rules and procedures CCP shall use the margins posted by a defaulting clearing members. discussed above and identified below in defaulting clearing member prior to Commission Determination: The Table 1(d) are comparable to and as other financial resources when covering Commission finds that the provisions of comprehensive as the default rules and losses and may have rules which allow the EMIR Framework with respect to procedures of CFTC regulation 39.16. it to use surplus margin on a defaulted default rules and procedures are clearing member’s house account to generally similar to CFTC regulation For the avoidance of doubt, the meet any obligation of the clearing 39.16, and prescribe how CCPs should Commission notes that the foregoing member with respect to losses on a clearly state their default procedures. comparability determination only client account of that clearing member. Both regimes require a DCO/CCP to applies with regard to the above For the avoidance of doubt, surplus have detailed procedures to follow in mentioned provisions of CFTC margin on a client account of a default the event of a default, including regulation 39.16 (i.e., § 39.16(a), clearing member cannot be used to meet requirements for the orderly transfer § 39.16(c)(1), § 39.16(c)(2)(i)-(v), and any losses on the defaulted clearing and/or liquidation of customer or § 39.16(c)(3)). No comparability finding member’s house account(s).59 proprietary positions, participation in is made regarding the other provisions RTS–CCP, Art. 61(2): A CCP shall auctions, the sequence of the default of § 39.16, namely § 39.16(b), which make publicly available key aspects of waterfall, and public disclosure of the requires a DCO to maintain a written its default procedures, including the default procedures. These standards default management plan, and circumstances in which action may be seek to ensure that CCPs may take § 39.16(d), which requires a DCO to taken, who may take action, the scope timely action to contain losses and have certain rules in place regarding the of the actions that may be taken liquidity pressures and to continue insolvency of clearing members. (including the treatment of both meeting their obligations.

TABLE 1(D)—DEFAULT RULES AND PROCEDURES

Subject area CFTC regulations EMIR framework

Default rules & procedures ...... 17 CFR 39.16(a), ...... EMIR, Art 48, 37(6) and 45; RTS–CCP, Art 17 CFR 39.16(c)(1), 17 CFR 39.16(c)(2)(i)– 58, 59(12) and 61(2); ESMA Q&A CCP (v), 17 CFR 39.16(c)(3). Question 8(f)1.

VI. DCO/CCP Registration automatically to all current DCO/CCPs • Exhibit A–8: articles of registrants. incorporation or similar corporate Section 5b(a) of the CEA and Moreover, to streamline the documents; Commission Regulations 39.1 and 39.3 • registration process, an EU CCP Exhibit A–10: outside service require a DCO to register with the provider agreements; Commission in the format and manner applicant may, instead of submitting the • exhibits required under the CFTC Form Exhibit E–1(4): settlement bank specified by the Commission. In agreements; DCO regulation, use existing materials particular, Regulation 39.3 specifies that • Exhibit F(a)(2): depository that it has submitted to its NCA for its a DCO seeking registration from the agreements; and EMIR authorization or other relevant Commission must file a Form DCO and • Exhibit M(a): information-sharing documents produced by its NCA that various supporting exhibits. agreements. demonstrate compliance with EMIR In the interest of comity, the If these documents are not in English, Commission generally will tailor its provisions for which substituted and an English translation is available, registration process both in terms of compliance is available (e.g., the EU CCP applying for registration administration and substantive review supervisory examination reports or should provide the English translation. to reflect the availability of substituted reports from its NCA). The positive If an English translation is not available, compliance for EU CCPs. Accordingly, opinion of the CCP supervisory college the EU CCP applying for registration consistent with Regulation 39.3, EU should also be submitted to the should inform the Commission in CCPs seeking registration must complete Commission by way of supporting writing but need not provide a Form DCO. However, with respect to evidence. The Commission will not translated version unless requested by questions and information requirements require an EU CCP to obtain the CFTC. in areas where compliance with the certification from its NCA, certifying The Commission will review the EMIR Framework is substituted for that it has complied with the EMIR documentation received to determine if compliance with part 39, the EU CCP Framework. it is complete and comprehensive. In may evidence its compliance with the In addition, for the Form DCO the case that information evidencing EMIR Framework in lieu of its documents listed below, the compliance with the EMIR Framework compliance with part 39. DCO/CCPs Commission will accept a copy of the is incomplete, the Commission will seek that are already dually registered need original document filed by the EU CCP to obtain further evidence from the not take any further action to take relevant NCA evidencing its assessment with its NCA with an attestation by that advantage of the substituted compliance of compliance. If the documentation is authority that they are acceptable to that determinations made under this Notice. still not sufficient for the Commission to These determinations will be applied authority: review compliance with the terms of the

59 Questions and Answers: Implementation of the central counterparties and trade repositories (EMIR) library/2016–293_qa_xvi_on_emir_ Regulation (EU) No 648/2012 on OTC derivatives, https://www.esma.europa.eu/system/files_force/ implementation.pdf?download=1.

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EMIR Framework, the Commission will through-processing’’ of swaps submitted respect to CFTC regulations for which request additional evidence from the for clearing will not apply to trades that there would be substituted compliance, CCP and notify the NCA of the request are not executed on or subject to the the Commission generally believes that made. rules of a DCM or a swap execution there should be joint examinations. By The Commission will seek to obtain facility and for which neither clearing way of example, Commission staff any other missing information from the member is an FCM, a swap dealer, or a already has participated in joint relevant EU CCP. The Commission also major swap participant; examinations with the Bank of England, will provide the relevant NCA with the (7) Regulation 39.13(h)(5)’s and the Commission believes that joint opportunity to be consulted with requirement that DCOs must require examinations can be an efficient means respect to any questions if so requested their clearing members to maintain for effective, in-depth review of a DCO/ at the outset by that authority. written risk management policies and CCP’s regulatory compliance. procedures and that DCOs must have However, depending on the VII. Limited Application of Certain the authority to obtain information and CFTC Regulations individual circumstances, it may be documents from clearing members appropriate for the home country As a general matter, the Commission regarding their risk will still apply; regulator(s) to assume greater acknowledges that CCPs registered in however, DCO/CCPs may implement responsibility for conducting the foreign jurisdictions operate under different oversight programs for U.S./ examinations. The Commission expects different regulatory regimes, and that FCM clearing members and non-U.S. that its staff would be flexible in the differences between these various clearing members; and determining their approach to a given regimes may lead to regulatory arbitrage. (8) Regulation 39.11(f)’s and examination based on the nature and The Commission also understands that Regulation 39.19(c)(3)(ii)’s implicit scope of the examination. Therefore, the CFTC staff intends to provide requirements that DCOs submit to the with the overall goal of applying limited no-action relief for DCO/CCPs CFTC quarterly financial resource uniform principles in a consistent yet from the application of Commission reports and an audited year-end flexible way, the Commission intends to regulations to discrete aspects of a DCO/ financial statement that are prepared in address supervisory matters, including CCP’s non-U.S. clearing activities as set accordance with GAAP will not apply; examinations, on a case-by-case basis forth below when this Notice becomes rather, the DCO/CCPs may submit for each individual DCO/CCP in close effective. financial statements prepared in consultation with the relevant home (1) CFTC Regulation 39.12(b)(6)’s accordance with IFRS, with periodic country regulator(s). requirement that, upon a DCO’s reconciliation to assist staff in reviewing acceptance of a swap for clearing, the the financial statements. IX. Conclusion original swap is extinguished and it is As noted above, the Commission finds VIII. Supervisory Arrangement replaced by an equal and opposite swap that each provision of the EMIR between the DCO and each clearing As noted above, with respect to Framework discussed above, is member acting as a principal for a house dually-registered DCO/CCPs, the comparable to and comprehensive as trade or an agent for a customer trade Commission retains its examination the Commission requirements identified will not apply where neither party is a authority with respect to DCO/CCPs and above and thus a CCP’s compliance with U.S. clearing member or an FCM requires that home country regulator(s) the identified provisions of the EMIR clearing member; enter into an MOU that addresses how Framework will satisfy compliance with (2) Part 22 of CFTC Regulations and the regulator(s) will cooperate and share the corresponding Commission its ‘‘legally segregated but operationally information with respect to supervision requirements. commingled’’ (‘‘LSOC’’) account model of the DCO/CCP. Thus, the Commission Issued in Washington, DC, on March 16, for cleared swaps customer accounts has entered into a supervisory MOU 2016, by the Commission. will not apply to clearing members that with the home country regulator(s) of a Christopher J. Kirkpatrick, are not FCMs; DCO/CCP.60 For dual registrants in the Secretary of the Commission. (3) CFTC Regulation 39.13(g)(8)(i)’s future, the Commission similarly requirement that initial margin for expects that an MOU will establish Appendices to Comparability customer accounts cleared by an FCM procedures for ongoing cooperation, Determination for the European Union: be calculated and collected on a gross address direct access to information, Dually-Registered Derivatives Clearing basis would not apply to non-FCM provide for notification upon the Organizations and Central clearing member intermediaries; occurrence of specified events, Counterparties—Commission Voting (4) CFTC Regulation 39.13(g)(8)(ii)’s memorialize understandings related to Summary, Chairman’s Statement, and requirement that a DCO collect initial on-site visits, and include protections Commissioner’s Statement margin at a level that is greater than related to the use and confidentiality of 100% of the DCO’s initial margin Appendix 1—Commission Voting non-public information shared pursuant Summary requirements for the non-hedge to the MOU. positions of FCM customers will not While certain principles of On this matter, Chairman Massad and apply to non-FCM clearing member supervision are universal, based on its Commissioners Bowen and Giancarlo voted intermediaries; experience supervising DCO/CCPs, the in the affirmative. No Commissioner voted in (5) CFTC Regulation 39.12(a)(2)(iii)’s Commission recognizes the benefits of the negative. prohibition that a DCO not set a tailoring a joint supervisory regime to Appendix 2—Statement of Chairman minimum capital requirement of more (1) the unique legal and regulatory Timothy G. Massad than $50 million for any person that framework in which each regulator seeks to become a clearing member to Today, the CFTC has taken action to operates and (2) the unique financial, implement our agreement with the European clear swaps will not apply to non-U.S. operational, and organizational Commission regarding requirements for clearing members or non-FCM clearing characteristics of each DCO/CCP. With central clearing counterparties (CCPs). Our members; unanimous action today means that (6) CFTC Regulation 39.12(b)(7)’s 60 The Commission also requires an MOU with European CCPs registered with the CFTC can requirement that DCOs utilize ‘‘straight- respect to exempt DCOs. comply with many of our rules by meeting

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the corresponding European Market made needlessly complex because both the following link: http://www.regulations. Infrastructure Regulation (EMIR) EC and the CFTC insisted on a line-by-line gov/#!docketDetail;D=DOD-2015-OS- requirements. rule analysis contrary to the flexible, 0099. The equivalence agreement announced by outcomes-based approach advocated by the European Commissioner Jonathan Hill and OTC Derivatives Regulators Group. While the Background myself is an important step in achieving end result is a good one, the approach taken cross-border harmonization of derivatives to get here was needlessly circuitous and On October 19, 2015 (80 FR 63204– regulation. It provides a foundation for uncertain. 63212), the JSC published a Notice of cooperation among regulators in the The CFTC and its global counterparts must Proposed Amendments concerning the oversight of the global clearinghouses that are now recommit themselves to work together to rules of procedure and evidence and the so important in our financial system today. implement an equivalence and substituted punitive articles applicable in trials by It resolves the issues that were standing in compliance process, particularly for swaps courts-martial and a Notice of Public the way of Europe recognizing U.S. CCPs. execution and the cross-border activities of Meeting to receive comments on these And it helps make sure that the U.S. and swap dealers and major swaps participants, European derivatives markets can continue to based on common principles in order to proposals. The public meeting was held be dynamic, with robust competition and increase regulatory harmonization and on November 5, 2015. No comments liquidity across borders. reduce market balkanization.1 The future of were received at the public meeting. The action we have taken today is an the global swaps marketplace depends on it. The 60-day public comment period for important component of that agreement. The [FR Doc. 2016–06261 Filed 3–21–16; 8:45 am] the notice closed on December 18, 2015. notice identifies the rules for which the BILLING CODE 6351–01–P One public comment was received. CFTC will grant substituted compliance. The JSC considered the public These include rules related to CCP financial comments and after conducting resources, risk management, settlement procedures, and default management. We DEPARTMENT OF DEFENSE deliberations, made no modifications to have also streamlined the process for the proposed amendments to the MCM registration, which will further harmonize Office of the Secretary as a result of the public comments. The our regimes. JSC conducted additional internal Finally, CFTC staff today are also [Docket ID: DOD–2015–OS–0099] deliberations and made some providing no-action relief from the modifications to the proposed application of Commission regulations to Manual for Courts-Martial; Proposed Amendments amendments to the MCM accordingly. discrete aspects of a clearinghouse’s non-U.S. Comments that were submitted that are clearing activities. AGENCY: Joint Service Committee on The Commission is working with U.S. outside the scope of the originally- clearinghouses seeking recognition by the Military Justice (JSC), Department of proposed changes will be considered as European Securities and Market Authority Defense. part of the JSC 2016 annual review of (ESMA) to ensure ESMA has all necessary ACTION: Notice of response to public the MCM. information to review their applications in a comments on proposed amendments to timely manner. I look forward to ESMA Proposed Amendments After Period for the Manual for Courts-Martial, United Public Comment completing the recognition process in a States (2012 ed.) (MCM). manner that ensures the global derivatives The proposed recommended markets can continue to function efficiently SUMMARY: The JSC is publishing final amendments to the MCM that have been and without disruption. proposed amendments to the MCM. The forwarded through the DoD for action by Appendix 3—Statement of proposed changes concern the Rules for Executive Order of the President of the Commissioner J. Christopher Giancarlo Courts-Martial, the Military Rules of United States are as follows: Evidence, and the punitive articles Section 1. Part II of the Manual for I support the comparability determinations applicable in trials by courts-martial. issued by the Commodity Futures Trading Courts-Martial, United States, is Commission (‘‘CFTC’’). These proposed changes have not been amended as follows: Today’s action furthers the commitment to coordinated within the Department of (a) The title of R.C.M. 104(b)(1) is a common approach for transatlantic central Defense under DoD Directive 5500.1, amended to read as follows: clearing counterparties (CCPs) announced on ‘‘Preparation, Processing and ‘‘(1) Evaluation of member, defense February 10, 2016 by my colleague, CFTC Coordinating Legislation, Executive counsel, or special victims’ counsel.’’ Chairman Timothy Massad, and Orders, Proclamations, Views Letters Commissioner Jonathan Hill of the European (b) R.C.M. 104(b)(1)(B) is amended to and Testimony,’’ June 15, 2007, and do read as follows: Commission (EC). Under the comparability not constitute the official position of the determinations, CCPs that are authorized in ‘‘(B) Give a less favorable rating or Department of Defense, the Military the European Union (EU) under the European evaluation of any defense counsel or Market Infrastructure Regulation (EMIR) and Departments, or any other Government special victims’ counsel because of the registered with the CFTC may comply with agency. zeal with which such counsel certain CFTC requirements for financial FOR FURTHER INFORMATION CONTACT: represented any client. As used in this resources, risk management, settlement Major Harlye Carlton, USMC, JSC rule, ‘‘special victims’ counsel’’ are procedures, and default rules and procedures Executive Secretary, at harlye.carlton@ by complying with corresponding judge advocates who, in accordance usmc.mil. The JSC public Web site is with 10 U.S.C. 1044e, are designated as requirements under the EMIR framework. located at http://jsc.defense.gov. Today’s notice also provides for a Special Victims’ Counsel by the Judge streamlined approach for EU CCPs that may SUPPLEMENTARY INFORMATION: Advocate General of the armed force in wish to register with the CFTC in the future. Public Comments: Comments and which the judge advocates are members, As I said when it was announced, the materials received from the public are and within the Marine Corps, by the agreement reached between the EC and the available under Docket ID Number Staff Judge Advocate to the CFTC avoids unacceptable changes to four DOD–2015–OS–0099, Federal Register Commandant of the Marine Corps.’’ decades of U.S. clearinghouse margin policy Number 2015–26485, and at the (c) R.C.M. 305(h)(2)(B)(iii)(a) is and higher costs of hedging risk for amended to read as follows: America’s farmers, ranchers, financial 1 See, e.g., IOSCO Task Force on Cross-Border institutions, energy firms and manufacturers. Regulation, Final Report (Sept. 2015) (advocating ‘‘(a) The prisoner will not appear at Yet, as I have observed, the protracted for an outcomes-based approach as opposed to a trial, pretrial hearing, preliminary process for reaching this compromise was line-by-line comparison of rules). hearing, or investigation, or’’

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(d) R.C.M. 305(i)(2)(A)(iv) is amended ‘‘(5) Unless otherwise prescribed by pretrial agreement, the agreement shall to read as follows: the Secretary concerned, direct a be signed by the convening authority or ‘‘(iv) Victim’s right to be reasonably preliminary hearing under R.C.M. 405, by a person, such as the staff judge heard. A victim of an alleged offense and, if appropriate, forward the report of advocate or trial counsel, who has been committed by the prisoner has the right preliminary hearing with the charges to authorized by the convening authority to reasonable, accurate, and timely a superior commander for disposition.’’ to sign. notice of the 7-day review; the right to (g) R.C.M. 405(i)(2)(A) is amended to (B) Victim consultation. Whenever confer with the representative of the read as follows: practicable, prior to the convening command and counsel for the ‘‘(2) Notice to and presence of the authority accepting a pretrial agreement government, if any; and the right to be victim(s). the victim shall be provided an reasonably heard during the review. (A) The victim(s) of an offense under opportunity to express views However, the hearing may not be the UCMJ has the right to reasonable, concerning the pretrial agreement terms unduly delayed for this purpose. The accurate, and timely notice of a and conditions in accordance with right to be heard under this rule preliminary hearing relating to the regulations prescribed by the Secretary includes the right to be heard through alleged offense, the right to be concerned. The convening authority counsel and the right to be reasonably reasonably protected from the accused, shall consider any such views provided protected from the prisoner during the and the reasonable right to confer with prior to accepting a pretrial agreement. 7-day review. The victim of an alleged counsel for the government during the For purposes of this rule, a ‘‘victim’’ is offense shall be notified of these rights preliminary hearing. For the purposes of an individual who is alleged to have in accordance with regulations of the this rule, a ‘‘victim’’ is a person who is suffered direct physical, emotional, or Secretary concerned.’’ alleged to have suffered a direct pecuniary harm as a result of the (e) A new R.C.M. 306(e) is inserted physical, emotional, or pecuniary harm matters set forth in a charge or and reads as follows: as a result of the matters set forth in a specification under consideration and is ‘‘(e) Sex-related offenses. charge or specification under named in one of the specifications (1) For purposes of this subsection, a consideration and is named in one of under consideration.’’ ‘‘sex-related offense’’ means any the specifications under consideration.’’ (o) A new R.C.M. 806(b)(2) is inserted allegation of a violation of Article 120, (h) R.C.M. 407(a)(5) is amended to and reads as follows: 120a, 120b, 120c, or 125 or any attempt read as follows: ‘‘(2) Right of victim to notice. A victim thereof under Article 80, UCMJ. ‘‘(5) Unless otherwise prescribed by of an alleged offense committed by the (2) Under such regulations as the the Secretary concerned, direct a accused has the right to reasonable, Secretary concerned may prescribe, for preliminary hearing under R.C.M. 405, accurate, and timely notice of court- alleged sex-related offenses committed after which additional action under this martial proceedings relating to the in the United States, the victim of the rule may be taken;’’ offense.’’ sex-related offense shall be provided an (i) R.C.M. 502(d)(4)(B) is amended to (p) R.C.M. 806(b)(2) is renumbered as opportunity to express views as to read as follows: R.C.M. 806(b)(3). whether the offense should be ‘‘(B) An investigating or preliminary (q) R.C.M. 806(b)(3) is renumbered as prosecuted by court-martial or in a hearing officer;’’ R.C.M. 806(b)(4). civilian court with jurisdiction over the (j) RCM 502(e)(2)(C) is amended to (r) R.C.M. 806(b)(4) is renumbered as offense. The commander, and if charges read as follows: R.C.M. 806(b)(5). are preferred, the convening authority, ‘‘(C) An investigating or preliminary (s) A new R.C.M. 806(b)(6) is inserted shall consider such views as to the hearing officer;’’ and reads as follows: victim’s preference for jurisdiction, if (k) R.C.M. 506(b)(2) is amended by ‘‘(6) Right of victim to be reasonably available, prior to making an initial replacing ‘‘investigation’’ with protected from the accused. A victim of disposition decision. For purposes of ‘‘preliminary hearing.’’ an alleged offense committed by the this rule, ‘‘victim’’ is defined as an (l) R.C.M 601(d)(2)(A) is amended to accused has the right to be reasonably individual who has suffered direct read as follows: protected from the accused.’’ physical, emotional, or pecuniary harm ‘‘(A) There has been substantial (t) R.C.M. 902(b)(2) is amended to as a result of the commission of an compliance with the preliminary read as follows: alleged sex-related offense as defined in hearing requirements of R.C.M. 405; ‘‘(2) Where the military judge has subparagraph (A) of this rule. and’’ acted as counsel, preliminary hearing (3) Under such regulations as the (m) R.C.M. 705(c)(2)(A) is amended to officer, investigating officer, legal Secretary concerned may prescribe, if read as follows: officer, staff judge advocate, or the victim of an alleged sex-related ‘‘(A) A promise to enter into a convening authority as to any offense offense expresses a preference for stipulation of fact concerning offenses to charged or in the same case generally.’’ prosecution of the offense in a civilian which a plea of guilty or a confessional (u) R.C.M. 905(b)(1) is amended to court, the commander, and if charges stipulation will be entered;’’ read as follows: are preferred, the convening authority, (n) R.C.M. 705(d)(3) is amended to ‘‘(1) Defenses or objections based on shall ensure that the civilian authority read as follows: defects (other than jurisdictional with jurisdiction over the offense is ‘‘(3) Acceptance. defects) in the preferral, forwarding, or notified of the victim’s preference for (A) In general. The convening referral of charges, or in the preliminary civilian prosecution. If the commander, authority may either accept or reject an hearing;’’ and if charges are preferred, the offer of the accused to enter into a (v) R.C.M. 907(b)(1) is amended to convening authority learns of any pretrial agreement or may propose by read as follows: decision by the civilian authority to counteroffer any terms or conditions not ‘‘(1) Nonwaivable grounds. A charge prosecute or not prosecute the offense in prohibited by law or public policy. The or specification shall be dismissed at civilian court, the convening authority decision whether to accept or reject an any stage of the proceedings if the court- shall ensure the victim is notified.’’ offer is within the sole discretion of the martial lacks jurisdiction to try the (f) R.C.M. 403(b)(5) is amended to convening authority. When the accused for the offense.’’ read as follows: convening authority has accepted a (w) R.C.M. 907(b)(1)(A)–(B) is deleted.

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(x) A new R.C.M. 907(b)(2)(E) is (ee) R.C.M. 1107(c) is amended to reduction in pay grade, forfeitures of inserted and reads as follows: read as follows: pay and allowances, fines, reprimands, ‘‘(E) The specification fails to state an ‘‘(c) Action on findings. Action on the restrictions, and hard labor without offense.’’ findings is not required. However, the confinement. (y) R.C.M. 912(a)(1)(K) is amended to convening authority may take action (B) Except as provided in read as follows: subject to the following limitations: subparagraph (d)(1)(C) of this rule, the ‘‘(K) Whether the member has acted as (1) Where a court-martial includes a convening authority may not accuser, counsel, preliminary hearing finding of guilty for an offense listed in disapprove, commute, or suspend, in officer, investigating officer, convening subparagraph (c)(1)(A) of this rule, the whole or in part, that portion of an authority, or legal officer or staff judge convening authority may not take the adjudged sentence that includes: advocate for the convening authority in actions listed in subparagraph (c)(1)(B) (i) confinement for more than six the case, or has forwarded the charges of this rule: months; or with a recommendation as to (A) Offenses (ii) dismissal, dishonorable discharge, disposition.’’ (i) Article 120(a) or (b), Article 120b, or bad-conduct discharge. (z) R.C.M. 912(f)(1)(F) is amended to or Article 125; (C) Exceptions read as follows: (ii) Offenses for which the maximum (i) Trial counsel recommendation. ‘‘(F) Has been an investigating or sentence of confinement that may be Upon the recommendation of the trial preliminary hearing officer as to any adjudged exceeds two years without counsel, in recognition of the offense charged;’’ regard to the jurisdictional limits of the substantial assistance by the accused in (aa) R.C.M. 1002 is amended to read court; or the investigation or prosecution of as follows: (iii) Offenses where the adjudged another person who has committed an ‘‘(a) Generally. Subject to limitations sentence for the case includes dismissal, offense, the convening authority or in this Manual, the sentence to be dishonorable discharge, bad-conduct another person authorized to act under adjudged is a matter within the discharge, or confinement for more than this rule shall have the authority to discretion of the court-martial; except six months. disapprove, commute, or suspend the when a mandatory minimum sentence (B) Prohibited actions adjudged sentence, in whole or in part, is prescribed by the code, a court- (i) Dismiss a charge or specification even with respect to an offense for martial may adjudge any punishment by setting aside a finding of guilty which a mandatory minimum sentence authorized in this Manual, including the thereto; or exists. maximum punishment or any lesser (ii) Change a finding of guilty to a (ii) Pretrial agreement. If a pretrial punishment, or may adjudge a sentence charge or specification to a finding of agreement has been entered into by the of no punishment. guilty to an offense that is a lesser convening authority and the accused, as (b) Unitary Sentencing. Sentencing by included offense of the offense stated in authorized by R.C.M. 705, the a court-martial is unitary. The court- the charge or specification. convening authority or another person martial will adjudge a single sentence (2) The convening authority may authorized to act under this rule shall for all the offenses of which the accused direct a rehearing in accordance with have the authority to approve, was found guilty. A court-martial may subsection (e) of this rule. disapprove, commute, or suspend a not impose separate sentences for each (3) For offenses other than those listed sentence, in whole or in part, pursuant finding of guilty, but may impose only in subparagraph (c)(1)(A) of this rule: to the terms of the pretrial agreement. a single, unitary sentence covering all of (A) The convening authority may However, if a mandatory minimum the guilty findings in their entirety.’’ change a finding of guilty to a charge or sentence of a dishonorable discharge (bb) R.C.M. 1103(b)(2)(B)(i) is specification to a finding of guilty to an applies to an offense for which an amended to read as follows: offense that is a lesser included offense accused has been convicted, the ‘‘(i) The sentence adjudged includes of the offense stated in the charge or convening authority or another person confinement for twelve months or more specification; or authorized to act under this rule may or any punishment that may not be (B) Set aside any finding of guilty and: commute the dishonorable discharge to adjudged by a special court-martial; or’’ (i) Dismiss the specification and, if a bad-conduct discharge pursuant to the (cc) The Note currently located appropriate, the charge; or terms of the pretrial agreement. immediately following the title of (ii) Direct a rehearing in accordance (D) If the convening authority acts to R.C.M. 1107 and prior to R.C.M. 1107(a) with subsection (e) of this rule. disapprove, commute, or suspend, in is amended to read as follows: (4) If the convening authority acts to whole or in part, the sentence of the ‘‘[Note: R.C.M. 1107(b)–(f) apply to dismiss or change any charge or court-martial for an offense listed in offenses committed on or after 24 June specification for an offense, the subparagraph (c)(1)(A) of this rule, the 2014; however, if at least one offense convening authority shall provide, at convening authority shall provide, at resulting in a finding of guilty in a case the same time, a written explanation of the same time, a written explanation of occurred prior to 24 June 2014, or the reasons for such action. The written the reasons for such action. The written includes a date range where the earliest explanation shall be made a part of the explanation shall be made a part of the date in the range for that offense is record of trial and action thereon.’’ record of trial and action thereon.’’ before 24 June 2014, then the prior (ff) R.C.M. 1107(d) is amended to read (gg) R.C.M. 1107(e) is amended to version of R.C.M. 1107 applies to all as follows: read as follows: offenses in the case, except that ‘‘(d) Action on the sentence. ‘‘(e) Ordering rehearing or other trial. mandatory minimum sentences under (1) The convening authority shall take (1) Rehearings not permitted. A Article 56(b) and applicable rules under action on the sentence subject to the rehearing may not be ordered by the R.C.M. 1107(d)(1)(D)–(E) still apply.]’’ following: convening authority where the adjudged (dd) R.C.M. 1107(b)(5) is amended to (A) The convening authority may sentence for the case includes a delete the sentence, ‘‘Nothing in this disapprove, commute, or suspend, in sentence of dismissal, dishonorable subsection shall prohibit the convening whole or in part, any portion of an discharge, or bad-conduct discharge or authority from disapproving the adjudged sentence not explicitly confinement for more than six months. findings of guilty and sentence.’’ prohibited by this rule, to include (2) Rehearings permitted.

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(A) In general. Subject to paragraph martial from that which made the to believe that the probationer violated (e)(1) and subparagraphs (e)(2)(B) original findings. If the convening a condition of suspension, the hearing through (e)(2)(E) of this rule, the authority determines a rehearing on officer shall set forth this determination convening authority may in the sentence is impracticable, the convening in a written memorandum that details convening authority’s discretion order a authority may approve a sentence of no therein the evidence relied upon and rehearing. A rehearing may be ordered punishment without conducting a reasons for making the decision. The as to some or all offenses of which rehearing. hearing officer shall forward the original findings of guilty were entered and the (D) Additional charges. Additional memorandum or release order to the sentence, or as to sentence only. charges may be referred for trial together probationer’s commander and forward a (B) When the convening authority with charges as to which a rehearing has copy to the probationer and the officer may order a rehearing. The convening been directed. in charge of the confinement facility.’’ authority may order a rehearing: (E) Lesser included offenses. If at a (ll) A new sentence is added to the (i) When taking action on the court- previous trial the accused was convicted end of R.C.M. 1109(d)(1)(A) and reads as martial under this rule. Prior to ordering of a lesser included offense, a rehearing follows: a rehearing on a finding, the convening may be ordered only as to that included ‘‘The purpose of the hearing is for the authority must disapprove the offense or as to an offense included in hearing officer to determine whether applicable finding and the sentence and that found. If, however, a rehearing is there is probable cause to believe that state the reasons for disapproval of said ordered improperly on the original the probationer violated a condition of finding. Prior to ordering a rehearing on offense charged and the accused is the probationer’s suspension.’’ the sentence, the convening authority convicted of that offense at the (mm) R.C.M. 1109(d)(1)(C) is must disapprove the sentence. rehearing, the finding as to the lesser amended to read as follows: (ii) When authorized to do so by included offense of which the accused ‘‘(C) Hearing. The procedure for the superior competent authority. If the was convicted at the original trial may vacation hearing shall follow that convening authority finds a rehearing as nevertheless be approved. prescribed in subsection (h) of this to any offenses impracticable, the (3) ‘‘Other’’ trial. The convening or rule.’’ convening authority may dismiss those higher authority may order an ‘‘other’’ (nn) A new sentence is added to the specifications and, when appropriate, trial if the original proceedings were end of R.C.M. 1109(d)(1)(D) and reads as charges. invalid because of lack of jurisdiction or follows: (iii) Sentence reassessment. If a failure of a specification to state an ‘‘This record shall include the superior competent authority has offense. The authority ordering an recommendation, the evidence relied approved some of the findings of guilty ‘‘other’’ trial shall state in the action the upon, and reasons for making the and has authorized a rehearing as to basis for declaring the proceedings decision.’’ other offenses and the sentence, the invalid.’’ (oo) R.C.M. 1109(d)(2)(A) is amended convening authority may, unless (hh) The Note currently located to read as follows: otherwise directed, reassess the immediately following the title of ‘‘(A) In general. The officer exercising sentence based on the approved R.C.M. 1108(b) and prior to the first general court-martial jurisdiction over findings of guilty and dismiss the line, ‘‘The convening authority may the probationer shall review the record remaining charges. Reassessment is . . .’’, is amended to read as follows: produced by and the recommendation appropriate only where the convening ‘‘[Note: R.C.M. 1108(b) applies to of the officer exercising special court- authority determines that the accused’s offenses committed on or after 24 June martial jurisdiction over the sentence would have been at least of a 2014; however, if at least one offense in probationer, decide whether there is certain magnitude had the prejudicial a case occurred prior to 24 June 2014, probable cause to believe that the error not been committed and the then the prior version of R.C.M. 1108(b) probationer violated a condition of the reassessed sentence is appropriate in applies to all offenses in the case.]’’ probationer’s suspension, and, if so, relation to the affirmed findings of (ii) R.C.M. 1109(a) is amended to read decide whether to vacate the suspended guilty.’’ as follows: sentence. If the officer exercising (C) Limitations. ‘‘(a) In general. Suspension of general court-martial jurisdiction (i) Sentence approved. A rehearing execution of the sentence of a court- decides to vacate the suspended shall not be ordered if, in the same martial may be vacated for violation of sentence, that officer shall prepare a action, a sentence is approved. any condition of the suspension as written statement of the evidence relied (ii) Lack of sufficient evidence. A provided in this rule.’’ on and the reasons for vacating the rehearing may not be ordered as to (jj) R.C.M. 1109(c)(4)(A) is amended to suspended sentence.’’ findings of guilty when there is a lack read as follows: (pp) A new sentence is added to the of sufficient evidence in the record to ‘‘(A) Rights of probationer. Before the end of R.C.M. 1109(e)(1) and reads as support the findings of guilty of the preliminary hearing, the probationer follows: offense charged or of any lesser shall be notified in writing of:’’ ‘‘The purpose of the hearing is for the included offense. A rehearing may be (kk) R.C.M. 1109(c)(4)(C) is amended hearing officer to determine whether ordered, however, if the proof of guilt to read as follows: there is probable cause to believe that consisted of inadmissible evidence for ‘‘(C) Decision. The hearing officer the probationer violated the conditions which there is available an admissible shall determine whether there is of the probationer’s suspension.’’ substitute. A rehearing may be ordered probable cause to believe that the (qq) R.C.M. 1109(e)(3) is amended to as to any lesser offense included in an probationer violated the conditions of read as follows: offense of which the accused was found the probationer’s suspension. If the ‘‘(3) Hearing. The procedure for the guilty, provided there is sufficient hearing officer determines that probable vacation hearing shall follow that evidence in the record to support the cause is lacking, the hearing officer shall prescribed in subsection (h) of this lesser included offense. issue a written order directing that the rule.’’ (iii) Rehearing on sentence only. A probationer be released from (rr) A new sentence is added to the rehearing on sentence only shall not be confinement. If the hearing officer end of R.C.M. 1109(e)(5) and reads as referred to a different kind of court- determines that there is probable cause follows:

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‘‘This record shall include the government’s presentation of evidence, the hearing officer. The hearing officer recommendation, the evidence relied the probationer may present evidence. shall include a record of all objections upon, and reasons for making the The probationer shall have full in the written recommendations to the decision.’’ opportunity to present any matters in convening authority. (ss) R.C.M. 1109(e)(6) is amended to defense, extenuation, or mitigation. (8) Access by spectators. Vacation read as follows: Both the government and probationer hearings are public proceedings and ‘‘(6) Decision. The special court- shall be afforded an opportunity to should remain open to the public martial convening authority shall cross-examine adverse witnesses. The whenever possible. The convening review the record produced by and the hearing officer may also question authority who directed the hearing or recommendation of the person who witnesses called by the parties. the hearing officer may restrict or conducted the vacation proceeding, (2) Rules of evidence. The Military foreclose access by spectators to all or decide whether there is probable cause Rules of Evidence—other than Mil. R. part of the proceedings if an overriding to believe that the probationer violated Evid. 301, 302, 303, 305, 412, and interest exists that outweighs the value a condition of the probationer’s Section V—shall not apply. Nor shall of an open hearing. Examples of suspension, and, if so, decide whether Mil. R. Evid. 412(b)(1)(C) apply. In overriding interests may include: to vacate the suspended sentence. If the applying these rules to a vacation Preventing psychological harm or officer exercising jurisdiction decides to hearing, the term ‘‘military judge,’’ as trauma to a child witness or an alleged vacate the suspended sentence, that used in these rules, shall mean the victim of a sexual crime, protecting the officer shall prepare a written statement hearing officer, who shall assume the safety or privacy of a witness or alleged of the evidence relied on and the military judge’s authority to exclude victim, protecting classified material, reasons for vacating the suspended evidence from the hearing, and who and receiving evidence where a witness sentence.’’ shall, in discharging this duty, follow is incapable of testifying in an open (tt) A new sentence is added to the the procedures set forth in these rules. setting. Any closure must be narrowly end of R.C.M. 1109(g)(1) and reads as However, the hearing officer is not tailored to achieve the overriding follows: authorized to order production of interest that justified the closure. ‘‘The purpose of the hearing is for the communications covered by Mil. R. Convening authorities or hearing hearing officer to determine whether Evid. 513 or 514. officers must conclude that no lesser there is probable cause to believe that (3) Production of witnesses and other methods short of closing the hearing can the probationer violated the conditions evidence. The procedure for the be used to protect the overriding interest of the probationer’s suspension.’’ production of witnesses and other in the case. Convening authorities or (uu) R.C.M. 1109(g)(3) is amended to evidence shall follow that prescribed in hearing officers must conduct a case-by- read as follows: R.C.M. 405(g), except that R.C.M. case, witness-by-witness, circumstance- ‘‘(3) Hearing. The procedure for the 405(g)(3)(B) shall not apply. The hearing by-circumstance analysis of whether vacation hearing shall follow that officer shall only consider testimony closure is necessary. If a convening prescribed in subsection (h) of this and other evidence that is relevant to authority or hearing officer believes rule.’’ the limited purpose of the hearing. closing the hearing is necessary, the (vv) A new sentence is added to the (4) Presentation of testimony. Witness convening authority or hearing officer end of R.C.M. 1109(g)(5) and reads as testimony may be provided in person, must make specific findings of fact in follows: by video teleconference, by telephone, writing that support the closure. The ‘‘This record shall include the or by similar means of remote written findings of fact must be recommendation, the evidence relied testimony. All testimony shall be taken included in the record. upon, and reasons for making the under oath, except that the probationer (9) Victim’s rights. Any victim of the decision.’’ may make an unsworn statement. underlying offense for which the (ww) R.C.M. 1109(g)(6) is amended to (5) Other evidence. If relevant to the probationer received the suspended read as follows: limited purpose of the hearing, and not sentence, or any victim of the alleged ‘‘(6) Decision. A commander with cumulative, a hearing officer may offense that is the subject of the vacation authority to vacate the suspension shall consider other evidence, in addition to hearing, has the right to reasonable, review the record produced by and the or in lieu of witness testimony, accurate, and timely notice of the recommendation of the person who including statements, tangible evidence, vacation hearing. For purposes of this conducted the vacation proceeding, or reproductions thereof, offered by rule, the term ‘‘victim’’ is defined as an decide whether there is probable cause either side, that the hearing officer individual who has suffered direct to believe that the probationer violated determines is reliable. This other physical, emotional, or pecuniary harm a condition of the probationer’s evidence need not be sworn. as a result of the commission of an suspension, and, if so, decide whether (6) Presence of probationer. The offense.’’ to vacate the suspended sentence. If the taking of evidence shall not be (yy) A new R.C.M. 1203(g) is inserted officer exercising jurisdiction decides to prevented and the probationer shall be and reads as follows: vacate the suspended sentence, that considered to have waived the right to ‘‘(g) Article 6b(e) petition for writ of officer shall prepare a written statement be present whenever the probationer: mandamus. The Judge Advocates of the evidence relied on and the (A) After being notified of the time General shall establish the means by reasons for vacating the suspended and place of the proceeding is which the petitions for writs of sentence.’’ voluntarily absent; or mandamus described in Article 6b(e) are (xx) A new R.C.M. 1109(h) is inserted (B) After being warned by the hearing forwarded to the Courts of Criminal and reads as follows: officer that disruptive conduct will Appeals in accordance with their rule- ‘‘(h) Hearing procedure. cause removal from the proceeding, making functions of Article 66(f).’’ (1) Generally. The hearing shall begin persists in conduct that is such as to Sec. 2. Part III of the Manual for with the hearing officer informing the justify exclusion from the proceeding. Courts-Martial, United States, is probationer of the probationer’s rights. (7) Objections. Any objection alleging amended as follows: The government will then present failure to comply with these rules shall (a) Mil. R. Evid. 304(c) is amended to evidence. Upon the conclusion of the be made to the convening authority via read as follows:

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‘‘(c) Corroboration of a Confession or place or property searched; the accused the spouse of the person while they Admission. had a legitimate interest in the property were married and not separated as (1) An admission or a confession of or evidence seized when challenging a provided by law. the accused may be considered as seizure; or the accused would otherwise (2) Who May Claim the Privilege. The evidence against the accused on the have grounds to object to the search or privilege may be claimed by the spouse question of guilt or innocence only if seizure under the Constitution of the who made the communication or by the independent evidence, either direct or United States as applied to members of other spouse on his or her behalf. The circumstantial, has been admitted into the Armed Forces; and authority of the latter spouse to do so is evidence that would tend to establish (3) exclusion of the evidence results presumed in the absence of evidence of the trustworthiness of the admission or in appreciable deterrence of future a waiver. The privilege will not prevent confession. unlawful searches or seizures and the disclosure of the communication at the (2) Other uncorroborated confessions benefits of such deterrence outweigh the request of the spouse to whom the or admissions of the accused that would costs to the justice system.’’ communication was made if that spouse themselves require corroboration may (c) A new Mil. R. Evid. 311(c)(4) is is an accused regardless of whether the not be used to supply this independent inserted and reads as follows: spouse who made the communication evidence. If the independent evidence ‘‘(4) Reliance on Statute. Evidence objects to its disclosure. raises an inference of the truth of the that was obtained as a result of an (c) Exceptions. admission or confession, then it may be unlawful search or seizure may be used (1) To Confidential Communications considered as evidence against the when the official seeking the evidence Only. Where both parties have been accused. Not every element or fact acts in objectively reasonable reliance substantial participants in illegal contained in the confession or on a statute later held violative of the activity, those communications between admission must be independently Fourth Amendment.’’ the spouses during the marriage proven for the confession or admission (d) Mil. R. Evid. 311(d)(5)(A) is regarding the illegal activity in which to be admitted into evidence in its amended to read as follows: they have jointly participated are not entirety. ‘‘(A) In general. When the defense marital communications for purposes of (3) Corroboration is not required for a makes an appropriate motion or the privilege in subdivision (b) and are statement made by the accused before objection under subdivision (d), the not entitled to protection under the the court by which the accused is being prosecution has the burden of proving privilege in subdivision (b). tried, for statements made prior to or by a preponderance of the evidence that (2) To Spousal Incapacity and contemporaneously with the act, or for the evidence was not obtained as a Confidential Communications. There is statements offered under a rule of result of an unlawful search or seizure, no privilege under subdivisions (a) or evidence other than that pertaining to that the evidence would have been (b): the admissibility of admissions or obtained even if the unlawful search or (A) In proceedings in which one confessions. seizure had not been made, that the spouse is charged with a crime against (4) Quantum of Evidence Needed. The evidence was obtained by officials who the person or property of the other independent evidence necessary to reasonably and with good faith relied on spouse or a child of either, or with a establish corroboration need not be the issuance of an authorization to crime against the person or property of sufficient of itself to establish beyond a search, seize, or apprehend or a search a third person committed in the course reasonable doubt the truth of facts stated warrant or an arrest warrant; that the of committing a crime against the other in the admission or confession. The evidence was obtained by officials in spouse; independent evidence need raise only objectively reasonable reliance on a (B) When the marital relationship was an inference of the truth of the statute later held violative of the Fourth entered into with no intention of the admission or confession. The amount Amendment; or that the deterrence of parties to live together as spouses, but and type of evidence introduced as future unlawful searches or seizures is only for the purpose of using the corroboration is a factor to be not appreciable or such deterrence does purported marital relationship as a considered by the trier of fact in not outweigh the costs to the justice sham, and with respect to the privilege determining the weight, if any, to be system of excluding the evidence.’’ in subdivision (a), the relationship given to the admission or confession. (e) Mil. R. Evid. 414(d)(2)(A) is remains a sham at the time the (5) Procedure. The military judge amended to read as follows: testimony or statement of one of the alone is to determine when adequate ‘‘(A) any conduct prohibited by parties is to be introduced against the evidence of corroboration has been Article 120 and committed with a child, other; or with respect to the privilege in received. Corroborating evidence must or prohibited by Article 120b.’’ subdivision (b), the relationship was a be introduced before the admission or (f) Mil. R. Evid. 504 is amended to sham at the time of the communication; confession is introduced unless the read as follows: or military judge allows submission of ‘‘Rule 504. Marital privilege (C) In proceedings in which a spouse such evidence subject to later (a) Spousal Incapacity. A person has is charged, in accordance with Article corroboration.’’ a privilege to refuse to testify against his 133 or 134, with importing the other (b) Mil. R. Evid. 311(a) is amended to or her spouse. There is no privilege spouse as an alien for prostitution or read as follows: under subdivision (a) when, at the time other immoral purpose in violation of 8 ‘‘(a) General rule. Evidence obtained of the testimony, the parties are U.S.C. 1328; with transporting the other as a result of an unlawful search or divorced, or the marriage has been spouse in interstate commerce for seizure made by a person acting in a annulled. prostitution, immoral purposes, or governmental capacity is inadmissible (b) Confidential Communication another offense in violation of 18 U.S.C. against the accused if: Made During the Marriage. 2421–2424; or with violation of such (1) the accused makes a timely motion (1) General Rule. A person has a other similar statutes under which such to suppress or an objection to the privilege during and after the marital privilege may not be claimed in the trial evidence under this rule; relationship to refuse to disclose, and to of criminal cases in the United States (2) the accused had a reasonable prevent another from disclosing, any district courts. expectation of privacy in the person, confidential communication made to (d) Definitions. As used in this rule:

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(1) ‘‘A child of either’’ means a ‘‘(B) a counsel for the government [communicating to the said lla threat biological child, adopted child, or ward who intends to offer a certification to ll] [ll], (if) (unless) he/she, the of one of the spouses and includes a provides written notice of that intent at said ll, would [recommend dismissal child who is under the permanent or least 14 days before trial, and the of the charges against said ll] temporary physical custody of one of accused does not object in writing [(wrongfully refuse to testify) (testify the spouses, regardless of the existence within 7 days of receiving the notice— falsely concerning ll) (ll)] [(at such of a legal parent-child relationship. For unless the military judge sets a different trial) (before such investigating officer) purposes of this rule only, a child is: time for the notice or the objection.’’ (before such preliminary hearing (A) An individual under the age of 18; (m) Mil. R. Evid. 804(b)(1)(B) is officer)] [ll].’’ or amended by replacing ‘‘pretrial (e) Paragraph 108, Testify: Wrongful (B) an individual with a mental investigation’’ with ‘‘preliminary refusal, subparagraph f. is amended by handicap who functions under the age hearing.’’ replacing ‘‘officer conducting an of 18. (n) Mil. R. Evid. 1101(d)(2) is investigation under Article 32, Uniform (2) ‘‘Temporary physical custody’’ amended by replacing ‘‘pretrial Code of Military Justice’’ with ‘‘officer means a parent has entrusted his or her investigations’’ with ‘‘preliminary conducting a preliminary hearing under child with another. There is no hearings.’’ Article 32, Uniform Code of Military minimum amount of time necessary to Sec. 3. Part IV of the Manual for Justice.’’ establish temporary physical custody, Courts-Martial, United States, is (f) Paragraph 110, Article 134— nor is a written agreement required. amended as follows: Threat, communicating, subparagraph c. Rather, the focus is on the parent’s (a) Paragraph 4, Article 80—Attempts, is amended to read as follows: agreement with another for assuming subparagraph e. is amended to read as ‘‘c. Explanation. For purposes of this parental responsibility for the child. For follows: paragraph, to establish that the example, temporary physical custody ‘‘e. Maximum punishment. Any communication was wrongful it is may include instances where a parent person subject to the code who is found necessary that the accused transmitted entrusts another with the care of his or guilty of an attempt under Article 80 to the communication for the purpose of her child for recurring care or during commit any offense punishable by the issuing a threat, with the knowledge absences due to temporary duty or code shall be subject to the same that the communication would be deployments. maximum punishment authorized for viewed as a threat, or acted recklessly (3) As used in this rule, a the commission of the offense with regard to whether the communication is ‘‘confidential’’ if attempted, except that in no case shall communication would be viewed as a made privately by any person to the the death penalty be adjudged, and in threat. However, it is not necessary to spouse of the person and is not intended no case, other than attempted murder, establish that the accused actually to be disclosed to third persons other shall confinement exceeding 20 years be intended to do the injury threatened. than those reasonably necessary for adjudged. Except in the cases of Nor is the offense committed by the transmission of the communication.’’ attempts of Article 120(a) or (b), rape or mere statement of intent to commit an (g) Mil. R. Evid. 505(e)(2) is amended sexual assault of a child under Article unlawful act not involving injury to by replacing ‘‘investigating officer’’ with 120b(a) or (b), and forcible sodomy another. See also paragraph 109, Threat ‘‘preliminary hearing officer.’’ under Article 125, mandatory minimum (h) Mil. R. Evid. 801(d)(1)(B) is or hoax designed or intended to cause punishment provisions shall not apply.’’ panic or public fear.’’ amended to read as follows: (b) Paragraph 57, Article 131— ‘‘(B) is consistent with the declarant’s Perjury, subparagraph c.(1) is amended Dated: March 17, 2016. testimony and is offered: by replacing ‘‘an investigation’’ with ‘‘a Aaron Siegel, (i) to rebut an express or implied preliminary hearing.’’ Alternate OSD Federal Register Liaison charge that the declarant recently (c) Paragraph 57, Article 131— Officer, Department of Defense. fabricated it or acted from a recent Perjury, subparagraph c.(3) is amended [FR Doc. 2016–06393 Filed 3–21–16; 8:45 am] improper influence or motive in so by replacing ‘‘investigation’’ with BILLING CODE 5001–06–P testifying; or ‘‘preliminary hearing.’’ (ii) to rehabilitate the declarant’s (d) Paragraph 96, Article 134— credibility as a witness when attacked Obstructing justice, subparagraph f. is DEPARTMENT OF DEFENSE on another ground; or’’ amended to read as follows: (i) The first sentence of Mil. R. Evid. ‘‘f. Sample specification. In that Office of the Secretary 803(6)(E) is amended to read as follows: (personal jurisdiction data), did, (at/on ‘‘(E) the opponent does not show that board—location) (subject-matter Manual for Courts-Martial; the source of information or the method jurisdiction data, if required), on or Amendments to Appendix 22 or circumstance of preparation indicate about 20, wrongfully (endeavor to) a lack of trustworthiness.’’ AGENCY: Joint Service Committee on (j) Mil. R. Evid. 803(7)(C) is amended (impede (a trial by court-martial) (an Military Justice (JSC), Department of to read as follows: investigation) (a preliminary hearing) Defense. ‘‘(C) the opponent does not show that (ll)) [influence the actions of ll, (a ACTION: Publication of Discussion and the possible source of the information or trial counsel of the court-martial) (a Analysis (Supplementary Materials) other circumstances indicate a lack of defense counsel of the court-martial) (an accompanying the Manual for Courts- trustworthiness.’’ officer responsible for making a Martial, United States (2012 ed.) (MCM). (k) The first sentence of Mil. R. Evid. recommendation concerning disposition 803(8)(B) is amended to read as follows: of charges) (ll)] [(influence) (alter) the SUMMARY: The JSC hereby publishes ‘‘(B) the opponent does not show that testimony of llas a witness before a Supplementary Materials accompanying the source of information or other (court-martial) (an investigating officer) the MCM as amended by Executive circumstances indicate a lack of (a preliminary hearing) (ll)] in the Orders 13643, 13669, and 13696. These trustworthiness.’’ case of llby [(promising) (offering) changes have not been coordinated (l) Mil. R. Evid. 803(10)(B) is amended (giving) to the said, (the sum of $) within the Department of Defense under to read as follows: (ll, of a value of about $)] DoD Directive 5500.1, ‘‘Preparation,

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Processing and Coordinating Evidence (Mil. R. Evid.) were The discussion sections do not have Legislation, Executive Orders, implemented by Executive Order 13643, the force of law and may be changed Proclamations, Views Letters and dated May 15, 2013. In addition to without an Executive Order, as Testimony,’’ June 15, 2007, and do not stylistic changes that harmonize the Mil. warranted by changes in applicable case constitute the official position of the R. Evid. with the Federal Rules, the law. The discussion sections should be Department of Defense, the Military changes also ensure that the rules considered treatise material and are Departments, or any other Government address the admissibility of evidence, non-binding on the practitioner. agency. These Supplementary Materials rather than the conduct of the This revision is stylistic and aligns have been approved by the JSC and the individual actors. Like the Federal Rules this rule with the Federal Rules of Acting General Counsel of the of Evidence, these rules ultimately Evidence. The drafters did not intend to Department of Defense. dictate whether evidence is admissible change any result in any ruling on DATES: The Supplementary Materials are and, therefore, it is appropriate to evidence admissibility.’’ effective as of March 22, 2016. phrase the rules with admissibility as (d) The analysis following Mil. R. the focus, rather than a focus on the FOR FURTHER INFORMATION CONTACT: Evid. 103 is amended by adding the actor (i.e., the commanding officer, Major Harlye S.M. Carlton, USMC, (703) following language after the final military judge, accused, etc.). 963–9299 or [email protected]. paragraph: The rules were also reformatted, and ‘‘2013 Amendment. This revision is The JSC Web site is located at: http:// the new format achieves a clearer jsc.defense.gov. stylistic and aligns this rule with the presentation. This was accomplished by Federal Rules of Evidence. The drafters SUPPLEMENTARY INFORMATION: indenting paragraphs with headings and did not intend to change any result in hanging indents to allow the Annex any ruling on evidence admissibility.’’ practitioner to distinguish between (e) The analysis following Mil. R. Section 1: The Discussion to Part IV different subsections of the rules. The Evid. 104 is amended by adding the of the Manual for Courts-Martial, United restyled rules also reduce the use of following language after the final States, is amended as follows: inconsistent terms that are intended to paragraph: (a) A new Discussion is inserted mean the same thing but may, because immediately after Paragraph 40.c.1. and ‘‘2013 Amendment. This revision is of the inconsistent use, be misconstrued stylistic and aligns this rule with the reads as follows: by the practitioner to mean something ‘‘Bona fide suicide attempts should Federal Rules of Evidence. The drafters different. did not intend to change any result in not be charged as criminal offenses. While most of the changes avoid any any ruling on evidence admissibility.’’ When making a determination whether style improvement that might result in the injury by the service member was a a substantive change in the application (f) The title of the analysis section of bona fide suicide attempt, the of the rule, some of those changes to the Mil. R. Evid. 105 is changed to convening authority should consider rules were proposed with the express ‘‘Limiting evidence that is not factors including, but not limited to, purpose of changing the substantive admissible against other parties or for health conditions, personal stressors, content of the rule in order to affect the other purposes.’’ and DoD policy related to suicide application of the rule in practice. The (g) The analysis following Mil. R. prevention.’’ analysis of each rule clearly indicates Evid. 105 is amended by adding the (b) A new Discussion is inserted whether the drafters intended the following language after the final immediately after Paragraph 103a.c.1. changes to be substantive or merely paragraph: and reads as follows: stylistic. The reader is encouraged to ‘‘2013 Amendment. This revision is ‘‘Bona fide suicide attempts should consult the analysis of each rule if he or stylistic and aligns this rule with the not be charged as criminal offenses. she has questions as to whether the Federal Rules of Evidence. The drafters When making a determination whether drafters intended a change to the rule to did not intend to change any result in the injury by the service member was a have an effect on a ruling of any ruling on evidence admissibility.’’ bona fide suicide attempt, the admissibility.’’ (h) The analysis following Mil. R. convening authority should consider (c) The analysis following Mil. R. Evid. 106 is amended by adding the factors including, but not limited to, Evid. 101 is amended by adding the following language after the final health conditions, personal stressors, following language after the final paragraph: and DoD policy related to suicide paragraph: ‘‘2013 Amendment. This revision is prevention.’’ ‘‘2013 Amendment. In subsection (a), stylistic and aligns this rule with the Sec. 2: Appendix 22 of the Manual for the phrase ‘‘including summary courts- Federal Rules of Evidence. The drafters Courts-Martial, United States, is martial’’ was removed. The drafters did not intend to change any result in amended as follows: recommended removing this phrase any ruling on evidence admissibility.’’ (a) The Note at the beginning of the because Rule 1101 already addresses the (i) The analysis following Mil. R. first paragraph, Section I, General applicability of these rules to summary Evid. 201 is amended by adding the Provisions, is deleted. courts-martial. In subsection (b), the following language after the final (b) Section I, General Provisions, is word ‘‘shall’’ was changed to ‘‘will’’ in paragraph: amended by adding the following after accordance with the approach of the ‘‘2013 Amendment. This revision is the final paragraph: Advisory Committee on Evidence Rules stylistic and aligns this rule with the ‘‘2013 Amendment. On December 1, to minimize the use of words such as Federal Rules of Evidence. Former 2011, the Federal Rules of Evidence ‘‘shall’’ and ‘‘should’’ because of the subsection (d) was subsumed into were amended by restyling the rules, potential disparity in application and subsection (c) and the remaining making them simpler to understand and interpretation of whether the word is subsections were renumbered use, without changing the substantive precatory or prescriptive. See Fed. R. accordingly. The drafters did not intend meaning of any rule. Evid. 101, Restyled Rules Committee to change any result in any ruling on In light of the amendments to the Note. The drafters did not intend this evidence admissibility.’’ Federal Rules of Evidence, significant amendment to change any result in any (j) The numbering and title of the changes to the Military Rules of ruling on evidence admissibility. analysis section of Mil. R. Evid. 201A is

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changed to ‘‘Rule 202 Judicial notice of In subsection (e), the phrase issues might arise at trial. The drafters law.’’ ‘‘concerning the issue of guilt or did not intend to change any result in (k) The analysis following Mil. R. innocence’’ was removed; the drafters any ruling on evidence admissibility. Evid. 202 is amended by adding the recommended this change because this In subsection (b), the term ‘‘allegedly’’ following language after the final subsection applies to the presentencing was added. The term references paragraph: phase of the trial as well as the merits derivative evidence and clarifies that ‘‘2013 Amendment. Former Rule phase. The use of the term ‘‘concerning evidence is not derivative unless a 201A was renumbered so that it now the issue of guilt or innocence’’ military judge finds, by a preponderance appears as Rule 202. In previous incorrectly implied that the subsection of the evidence, that it is derivative. editions, Rule 202 did not exist and only referred to the merits phase. The In subsections (c)(5), (d), (f)(3)(A), and therefore no other rules were rule was renamed ‘‘Limited Waiver,’’ (f)(7), the word ‘‘shall’’ was replaced renumbered as a result of this change. changed from ‘‘Waiver by the accused’’; with ‘‘will’’ or ‘‘must.’’ The drafters The phrase ‘‘in accordance with Mil. R. the drafters recommended this change agree with the approach of the Advisory Evid. 104’’ was added to subsection (b). to indicate that when an accused who Committee on Evidence Rules to This amendment clarifies that Rule 104 is on trial for two or more offenses minimize the use of words such as controls the military judge’s relevancy testifies on direct as to only one of the ‘‘shall’’ because of the potential determination. offenses, he or she has only waived his disparity in application and This revision is stylistic and aligns or her rights with respect to that offense interpretation of whether the word is this rule with the Federal Rules of and no other. This subsection was precatory or prescriptive. This revision is stylistic and Evidence. The drafters did not intend to moved earlier in the rule and addresses admissibility rather than change any result in any ruling on renumbered; the drafters recommended conduct. See supra, General Provisions evidence admissibility.’’ this change to address the issue of limited waivers earlier because of the Analysis. The drafters did not intend to (l) The analysis following Mil. R. change any result in any ruling on Evid. 301 is amended by adding the importance of preserving the accused’s right against self-incrimination. evidence admissibility.’’ following language after the final (p) The analysis following Mil. R. paragraph: The remaining subsections were renumbered as appropriate. This Evid. 305 is amended by adding the ‘‘2013 Amendment. In subsection (d), revision is stylistic and aligns this rule following language after the final the word ‘‘answer’’ should be defined as with the Federal Rules of Evidence. The paragraph: ‘‘a witness’s . . . response to a question drafters did not intend to change any ‘‘2013 Amendment. The definition of posed.’’ Black’s Law Dictionary 100 (8th result in any ruling on evidence ‘‘person subject to the code’’ was ed. 2004). Subsection (d) only applies admissibility.’’ revised. The change clarifies that the when the witness’s response to the (m) The analysis following Mil. R. rule includes a person acting as a question posed may be incriminating. It Evid. 302 is amended by adding the knowing agent only in subsection (c). does not apply when the witness desires following language after the final Subsection (c) covers the situation to make a statement that is unresponsive paragraph: where a person subject to the code is to the question asked for the purpose of ‘‘2013 Amendment. This revision is interrogating an accused, and therefore gaining protection from the privilege. stylistic. The drafters did not intend to an interrogator would include a Former subsections (d) and (f)(2) were change any result in any ruling on knowing agent of a person subject to the combined; this change makes the rule evidence admissibility.’’ code, such as local law enforcement easier to use. The issues typically arise (n) The analysis following Mil. R. acting at the behest of a military chronologically in the course of a trial, Evid. 303 is amended by adding the investigator. The term ‘‘person subject because a witness often testifies on following language after the final to the code’’ is also used in subsection direct without asserting the privilege paragraph: (f), which discusses a situation in which and then, during the ensuing cross- ‘‘2013 Amendment. This revision is a person subject to the code is being examination, asserts the privilege. stylistic and addresses admissibility interrogated. If an agent of a person Former subsection (b)(2) was moved rather than conduct. See supra, General subject to the code is being interrogated, to a discussion section; the drafters Provisions Analysis. The drafters did subsection (f) is inapplicable, unless recommended this change because not intend to change any result in any that agent himself or herself is subject subsection (b)(2) addresses conduct ruling on evidence admissibility.’’ to the code and is suspected of an rather than the admissibility of (o) The analysis following Mil. R. offense. evidence. See supra, General Provisions Evid. 304 is amended by adding the The definition of ‘‘custodial Analysis. The word ‘‘should’’ was following language after the final interrogation’’ was moved to subsection changed to ‘‘may;’’ the drafters proposed paragraph: (b) from subsection (d) and the this recommendation in light of CAAF’s ‘‘2013 Amendment. Former definitions are now co-located. The holding in United States v. Bell, 44 M.J. subsection (c), which contains definition is derived from Miranda v. 403 (C.A.A.F. 1996). In that case, CAAF definitions of words used throughout Arizona, 384 U.S. 436, 444–45 (1966), held that Congress did not intend for the rule, was moved; it now and Berkemer v. McCarty, 468 U.S. 420, Article 31(b) warnings to apply at trial, immediately follows subsection (a) and 442 (1984). and noted that courts have the is highly visible to the practitioner. ‘‘Accused’’ is defined as ‘‘[a] person discretion, but not an obligation, to Former subsection (h)(3), which against whom legal proceedings have warn witnesses on the stand. Id. at 405– discusses denials, was moved to been initiated.’’ Black’s Law Dictionary 06. If a member testifies at an Article 32 subsection (a)(2); it is now included 23 (8th ed. 2004). ‘‘Suspect’’ is defined hearing or court-martial without near the beginning of the rule and as ‘‘[a] person believed to have receiving Article 31(b) warnings, his or highlights the importance of an committed a crime or offense.’’ Id. at her Fifth Amendment rights have not accused’s right to remain silent. The 1486. In subsection (c)(1), the drafters been violated and those statements can remaining subsections were moved and recommended using the word be used against him or her at subsequent renumbered; the rule now generally ‘‘accused’’ in the first sentence because proceedings. Id. follows the chronology of how the the rule generally addresses the

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admissibility of a statement at a court- need not affirmatively request counsel. than is required under the Berghuis martial at which legal proceedings have Under the Supreme Court’s holding in holding. been initiated against the individual. Montejo, the detailing of defense In subsection (f)(2), the word Throughout the remainder of the rule, counsel would not bar law enforcement ‘‘abroad’’ was replaced with ‘‘outside of the drafters recommended using from initiating an interrogation with the a state, district, commonwealth, ‘‘accused’’ and ‘‘suspect’’ together to accused and seeking a waiver of the territory, or possession of the United elucidate that an interrogation that right to have counsel present. However, States.’’ This change clearly defines triggers the need for Article 31 warnings subsection (c)(3) provides more where the rule regarding foreign will often take place before the protection than the Supreme Court interrogations applies. individual has become an accused and requires. Under this subsection, if an This revision is stylistic and is still considered only a suspect. accused is represented by counsel, addresses admissibility rather than Although not specifically outlined in either detailed or retained, he or she conduct. See supra, General Provisions subsection (c), interrogators and may not be interrogated without the Analysis. The drafters did not intend to investigators should fully comply with presence of counsel. This is true even if, change any result in any ruling on the requirements of Miranda. When a during the interrogation, the accused evidence admissibility.’’ suspect is subjected to custodial waives his or her right to have counsel (q) The analysis following Mil. R. interrogation, the prosecution may not present. If charges have been preferred Evid. 311 is amended by adding the use statements stemming from that but counsel has not yet been detailed or following language after the final custodial interrogation unless it retained, the accused may be paragraph: ‘‘2013 Amendment. The definition of demonstrates that the suspect was interrogated if he or she voluntarily ‘‘unlawful’’ was moved from subsection warned of his or her rights. 384 U.S. at waives his or her right to have counsel (c) to subsection (b) and now 444. At a minimum, Miranda requires present. that ‘‘the person must be warned that he immediately precedes the subsection in The words ‘‘after such request’’ were which the term is first used in the rule. has a right to remain silent, that any added to subsection (c)(2) and elucidate statement he does make may be used as Other subsections were moved and now that any statements made prior to a generally follow the order in which the evidence against him, and that he has a request for counsel are admissible, right to the presence of an attorney, issues described in the subsections arise assuming, of course, that Article 31(b) at trial. The subsections were either retained or appointed. The rights were given. Without that phrase, defendant may waive effectuation of renumbered and titled; this change the rule could be read to indicate that makes it easier for the practitioner to these rights, provided the waiver is all statements made during the made voluntarily, knowingly and find the relevant part of the rule. Former interview, even those made prior to the subsection (d)(2)(c), addressing a motion intelligently.’’ Id. A person subject to request, were inadmissible. The drafters the code who is being interrogated may to suppress derivative evidence, was did not intend such a meaning, leading be entitled to both Miranda warnings subsumed into subsection (d)(1). This to this recommended change. and Article 31(b) warnings, depending change reflects how a motion to on the circumstances. The drafters recommended changing suppress seized evidence must follow The titles of subsections (c)(2) and the word ‘‘shall’’ to ‘‘will’’ in the same procedural requirements as a (c)(3) were changed to ‘‘Fifth subsections (a), (d), and (f). The drafters motion to suppress derivative evidence. Amendment Right to Counsel’’ and agree with the approach of the Advisory This revision is stylistic and ‘‘Sixth Amendment Right to Counsel’’ Committee on Evidence Rules to addresses admissibility rather than respectively; the drafters recommended minimize the use of ‘‘shall’’ because of conduct. See supra, General Provisions this change because practitioners are the potential disparity in application Analysis. The drafters did not intend to more familiar with those terms. In and interpretation of whether the word change any result in any ruling on previous editions, the subsections did is precatory or prescriptive. evidence admissibility.’’ not expressly state which right was In subsection (e)(1), the requirement (r) The analysis following Mil. R. implicated. Although the rights were that the accused’s waiver of the Evid. 312 is amended by adding the clear from the text of the former rules, privilege against self-incrimination and following language after the final the new titles will allow practitioners to the waiver of the right to counsel must paragraph: quickly find the desired rule. be affirmative was retained. This rule ‘‘2013 Amendment. The last sentence Subsection (c)(3) is entitled ‘‘Sixth exceeds the minimal constitutional of former subsection (b)(2) was moved Amendment Right to Counsel’’ even requirement. In Berghuis v. Thompkins, to a discussion paragraph; the drafters though the protections of subsection 560 U.S. 370 (2010), the defendant recommended this change because it (c)(3) exceed the constitutional minimal remained mostly silent during a three- addresses the conduct of the examiner standard established by the Sixth hour interrogation and never verbally rather than the admissibility of Amendment as interpreted by the stated that he wanted to invoke his evidence. See supra, General Provisions Supreme Court in Montejo v. Louisiana, rights to counsel and to remain silent. Analysis. Failure to comply with the 556 U.S. 778 (2009). In Montejo, the The Supreme Court held that the requirement that a person of the same Court overruled its holding in Michigan prosecution did not need to show that sex conduct the examination does not v. Jackson, 475 U.S. 625 (1986), and the defendant expressly waived his make the examination unlawful or the held that a defendant’s request for rights, and that an implicit waiver is evidence inadmissible. counsel at an arraignment or similar sufficient. Id. at 384. Despite the In subsection (c)(2)(a), the words proceeding or an appointment of Supreme Court’s holding, under this ‘‘clear indication’’ were replaced with counsel by the court does not give rise rule, in order for a waiver to be valid, ‘‘probable cause.’’ ‘‘Clear indication’’ to the presumption that a subsequent the accused or suspect must actually was not well-understood by waiver by the defendant during a police- take affirmative action to waive his or practitioners nor properly defined in initiated interrogation is invalid. 556 her rights. This rule places a greater case law, whereas ‘‘probable cause’’ is a U.S. at 797–98. In the military system, burden on the government to show that recognized Fourth Amendment term. defense counsel is detailed to a court- the waiver is valid, and provides more The use of the phrase ‘‘clear indication’’ martial. R.C.M. 501(b). The accused protection to the accused or suspect likely came from the Supreme Court’s

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holding in Schmerber v. California, 384 Amendment. Id. at 19 (‘‘the Supreme conducted contrary to a treaty or U.S. 757 (1966). In that case, the Court Court has not adopted a de minimis agreement. That material was previously stated: ‘‘In the absence of a clear exception to the Fourth Amendment’s located in subsection (c). The drafters indication that in fact such evidence warrant requirement’’). The drafters recommended moving it to the will be found, these fundamental recommended moving the first line of Discussion because it addresses conduct human interests require law officers to former subsection (f) to a discussion rather than the admissibility of suffer the risk that such evidence may paragraph because it addresses conduct evidence. See supra, General Provisions disappear unless there is an immediate rather than the admissibility of Analysis. search.’’ Id. at 770. However, in United evidence, and is therefore more Although not explicitly stated in States v. Montoya de Hernandez, 473 appropriately addressed in a discussion subsection (e)(2), the Supreme Court’s U.S. 531 (1985), the Supreme Court paragraph. See supra, General holding in Georgia v. Randolph, 547 clarified that it did not intend to create Provisions Analysis. U.S. 103 (2006), applies to this a separate Fourth Amendment standard This revision is stylistic and subsection. See id. at 114–15 (holding when it used the words ‘‘clear addresses admissibility rather than that a warrantless search was indication.’’ Id. at 540 (‘‘[W]e think that conduct. See supra, General Provisions unreasonable if a physically present co- the words in Schmerber were used to Analysis. The drafters did not intend to tenant expressly refused to give consent indicate the necessity for particularized change any result in any ruling on to search, even if another co-tenant had suspicion that the evidence sought evidence admissibility.’’ given consent). might be found within the body of the (s) The analysis following Mil. R. In subsection (f)(2), the phrase individual, rather than as enunciating Evid. 313 is amended by adding the ‘‘reasonably believed’’ was changed to still a third Fourth Amendment following language after the final ‘‘reasonably suspected.’’ This change threshold between ‘reasonable paragraph: aligns the rule with recent case law and suspicion’ and ‘probable cause.’ ’’). The ‘‘2013 Amendment. The definition of alleviates any confusion that appropriate standard for a search under ‘‘inventory was added to subsection (c) ‘‘reasonably believed’’ established a subsection (c)(2)(a) is probable cause. and further distinguishes inventories higher level of suspicion required to The President’s adoption of the probable from inspections. This revision is conduct a stop-and-frisk than required cause standard raised the level of stylistic and addresses admissibility by the Supreme Court in Terry v. Ohio, suspicion required to perform a search rather than conduct. See supra, General 392 U.S. 1 (1968). The ‘‘reasonably under this subsection beyond that Provisions Analysis. The drafters did suspected’’ standard conforms to the which was required in previous not intend to change any result in any language of the Supreme Court in versions of this rule. The same ruling on evidence admissibility.’’ Arizona v. Johnson, 555 U.S. 323, 326 reasoning applies to the change in (t) The analysis following Mil. R. (2009), in which the Court stated: ‘‘To subsection (d), where the words ‘‘clear Evid. 314 is amended by adding the justify a pat down of the driver or a indication’’ were replaced with following language after subparagraph passenger during a traffic stop, however, ‘‘probable cause.’’ This approach is (k): just as in the case of a pedestrian consistent with the Court of Military ‘‘2013 Amendment. Language was reasonably suspected of criminal Appeals’ opinion in United States v. added to subsection (a). This language activity, the police must harbor Bickel, 30 M.J. 277, 279 (C.M.A. 1990) elucidates that the rules as written reasonable suspicion that the person (‘‘We have no doubt as to the afford at least the minimal amount of subjected to the frisk is armed and constitutionality of such searches and protection required under the dangerous.’’ This standard, and not a seizures based on probable cause’’). Constitution as applied to service higher one, is required before an In subsection (d), the term members. If new case law is developed individual can be stopped and frisked ‘‘involuntary’’ was replaced with after the publication of these rules under this subsection. Additionally, a ‘‘nonconsensual’’ for the sake of which raises the minimal constitutional discussion paragraph was added consistency and uniformity throughout standards for the admissibility of following this subsection to further the subsection; the drafters did not evidence, that standard will apply to expound on the nature and scope of the intend to change the rule in any evidence admissibility, rather than the search, based on case law. See, e.g., practical way by using ‘‘nonconsensual’’ standard established under these rules. Terry, 392 U.S. at 30–31; Pennsylvania in the place of ‘‘involuntary.’’ Subsection (c) limits the ability of a v. Mimms, 434 U.S. 106, 111–12 (1977). A discussion paragraph was added commander to search persons or In subsection (f)(3), the drafters following subsection (e) to address a property upon entry to or exit from the recommended changing the phrase situation in which a person is installation alone, rather than anywhere ‘‘reasonable belief’’ to ‘‘reasonable compelled to ingest a substance in order on the installation, despite the suspicion’’ for the same reasons to locate property within that person’s indication of some courts in dicta that discussed above. The discussion section body. This paragraph was previously security personnel can search a was added to provide more guidance on found in subsection (e); the drafters personally owned vehicle anywhere on the nature and scope of the search, recommended removing it from the rule a military installation based on no based on case law. See, e.g., Michigan v. itself because it addresses conduct suspicion at all. See, e.g., United States Long, 463 U.S. 1032, 1049 (1983) (‘‘the rather than the admissibility of v. Rogers, 549 F.2d 490, 493–94 (8th Cir. search of the passenger compartment of evidence. See supra, General Provisions 1976). Allowing suspicionless searches an automobile, limited to those areas in Analysis. anywhere on a military installation too which a weapon may be placed or The last line of subsection (f) was drastically narrows an individual’s hidden, is permissible if the police added; this change conforms the rule privacy interest. Although individuals officer possesses a reasonable belief with CAAF’s holding in United States v. certainly have a diminished expectation based on ‘specific and articulable facts Stevenson, 66 M.J. 15 (C.A.A.F. 2008). of privacy when they are on a military which, taken together with the rational In Stevenson, the court held that any installation, they do not forgo their inferences from those facts, reasonably additional intrusion, beyond what is privacy interest completely. warrant’ the officers in believing that necessary for medical treatment, is a A Discussion section was added the suspect is dangerous and the suspect search within the meaning of the Fourth below subsection (c) to address searches may gain immediate control of

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weapons’’); Mimms, 434 U.S. at 111 (no that its content applies to both seriously injured or imminently Fourth Amendment violation when the commanders under subsection (d)(1) threatened with injury). driver was ordered out of the car after and military judges or magistrates under This revision is stylistic and a valid traffic stop but without any subsection (d)(2). The drafters made this addresses admissibility rather than suspicion that he was armed and recommendation in reliance on CAAF’s conduct. See supra, General Provisions dangerous because ‘‘what is at most a decision in United States v. Huntzinger, Analysis. The drafters did not intend to mere inconvenience cannot prevail 69 M.J. 1 (C.A.A.F. 2010), which held change any result in any ruling on when balanced against legitimate that a commander is not per se evidence admissibility.’’ concerns for the officer’s safety’’); disqualified from authorizing a search (u) The analysis following Mil. R. Maryland v. Wilson, 519 U.S. 408 (1997) under this rule even if he or she has Evid. 316 is amended by adding the (extending the holding in Mimms to participated in investigative activities in following language after the final passengers as well as drivers). furtherance of his or her command paragraph: The language from former subsection responsibilities. (g)(2), describing the search of an ‘‘2013 Amendment. In subsection (a), Former subsection (h)(4), entitled, the word ‘‘reasonable’’ was added and automobile incident to a lawful arrest of ‘‘Search warrants,’’ was moved to an occupant, was moved to the aligns the rule with the language found subsection (e), now entitled ‘‘Who May in the Fourth Amendment of the U.S. discussion paragraph immediately Search.’’ This change co-locates it with following subsection (f)(3). The drafters Constitution and Mil. R. Evid. 314 and the subsection discussing the execution 315. recommended this change because it of search authorizations. In subsection (c)(5)(C), the drafters addresses conduct rather than the In subsection (f)(2), the word ‘‘shall’’ intended the term ‘‘reasonable fashion’’ admissibility of evidence. See supra, was changed to ‘‘will.’’ This change to include all action by law enforcement General Provisions Analysis. The brings the rule in conformance with the that the Supreme Court has established discussion section is based on the approach of the Advisory Committee on as lawful in its plain view doctrine. See, Supreme Court’s holding in Arizona v. Evidence Rules to minimize the use of e.g., Arizona v. Hicks, 480 U.S. 321, Gant, 556 U.S. 332, 351 (2009) (‘‘Police words such as ‘‘shall’’ and ‘‘should’’ may search a vehicle incident to a 324–25 (1987) (holding that there was because of the potential disparity in recent occupant’s arrest only if the no search when an officer merely application and interpretation of arrestee is within reaching distance of recorded serial numbers that he saw on whether the word is precatory or the passenger compartment at the time a piece of stereo equipment, but that the prescriptive. In recommending this of the search or it is reasonable to officer did conduct a search when he amendment, the drafters did not intend believe the vehicle contains evidence of moved the equipment to access serial to change any result in any ruling on the offense of arrest’’). numbers on the bottom of the turntable); evidence admissibility. This revision is stylistic and United States v. Lee, 274 U.S. 559, 563 Subsection (g) was revised. The addresses admissibility rather than (1927) (use of a searchlight does not drafters’ intent behind this revision was conduct. See supra, General Provisions constitute a Fourth Amendment to include a definition of exigency Analysis. The drafters did not intend to violation). The drafters did not intend to rather than to provide examples that change any result in any ruling on establish a stricter definition of plain may not encompass the wide range of evidence admissibility.’’ view than that required by the situations where exigency might apply. (t) The analysis following Mil. R. Constitution, as interpreted by the The definition is derived from Supreme Evid. 315 is amended by adding the Supreme Court. An officer may seize the Court jurisprudence. See Kentucky v. following language after the final item only if his or her conduct satisfies King, 563 U.S. 452 (2011). The drafters paragraph: the three-part test prescribed by the recommended retaining language ‘‘2013 Amendment. Former Supreme Court: (1) He or she does not concerning military operational subsection (h) was moved so that it violate the Fourth Amendment by necessity as an exigent circumstance immediately follows subsection (a). The arriving at the place where the evidence because this rule may be applied to a drafters recommended changing this could be plainly viewed; (2) its unique military context where it might language to a discussion paragraph incriminating character is ‘‘readily be difficult to communicate with a because it generally applies to the entire apparent’’; and (3) he or she has a lawful person authorized to issue a search rule, rather than any particular right of access to the object itself. authorization. See, e.g., United States v. subsection and also because it addresses Horton v. California, 496 U.S. 128, 136– Rivera, 10 M.J. 55 (C.M.A. 1980) (noting conduct rather than the admissibility of 37 (1990). evidence. See supra, General Provisions that exigency might exist because of This revision is stylistic and Analysis. difficulties in communicating with an In subsection (b), the term authorizing official, although the facts of addresses admissibility rather than ‘‘authorization to search’’ was changed that case did not support such a conduct. See supra, General Provisions to ‘‘search authorization.’’ This conclusion). Nothing in this rule would Analysis. The drafters did not intend to amendment aligns the rule with the prohibit a law enforcement officer from change any result in any ruling on term more commonly used by entering a private residence without a evidence admissibility.’’ practitioners and law enforcement. The warrant to protect the individuals inside (v) The analysis following Mil. R. drafters recommended moving former from harm, as that is not a search under Evid. 317 is amended by adding the subsection (c)(4) to a discussion the Fourth Amendment. See, e.g., following language after the final paragraph immediately following Brigham City v. Stuart, 547 U.S. 398 paragraph: subsection (c) because it addresses (2006) (holding that, regardless of their ‘‘2013 Amendment. Former conduct rather than the admissibility of subjective motives, police officers were subsections (b) and (c)(3) were moved to evidence. See supra, General Provisions justified in entering a home without a a discussion paragraph. The drafters Analysis. warrant, under exigent circumstances recommended this change because they The second sentence in former exception to warrant requirement, as address conduct rather than the subsection (d)(2) was moved to they had an objectively reasonable basis admissibility of evidence. See supra, subsection (d). This change elucidates for believing that an occupant was General Provisions Analysis.

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This revision is stylistic. The drafters had no intent to change any result in (pp) The analysis following Mil. R. had no intent to change any result in any ruling on evidence admissibility.’’ Evid. 413 is amended by adding the any ruling on evidence admissibility.’’ (ff) The analysis following Mil. R. following language after the final (w) The analysis following Mil. R. Evid. 406 is amended by adding the paragraph: Evid. 321 is amended by adding the following language in a new paragraph ‘‘2013 Amendment. The time following language after the final following the current paragraph: requirement in subsection (b) was paragraph: ‘‘2013 Amendment. This revision is changed and aligns with the time ‘‘2013 Amendment. This revision is stylistic and aligns this rule with the requirements in Mil. R. Evid. 412 and stylistic and aligns this rule with the Federal Rules of Evidence. The drafters the Federal Rules of Evidence. This Federal Rules of Evidence. The drafters had no intent to change any result in change is also in conformity with had no intent to change any result in any ruling on evidence admissibility.’’ military practice in which the military any ruling on evidence admissibility.’’ (gg) The analysis following Mil. R. judge may accept pleas shortly after (x) The title of the analysis section of Evid. 407 is amended by adding the referral and sufficiently in advance of Mil. R. Evid. 401 is changed to ‘‘Test for following language in a new paragraph trial. Additionally, subsection (d) was relevant evidence.’’ following the current paragraph: revised and aligns with the Federal ‘‘2013 Amendment. This revision is (y) The analysis following Mil. R. Rules of Evidence. stylistic and aligns this rule with the Evid. 401 is amended by adding the This revision is stylistic. The drafters Federal Rules of Evidence. The drafters following language in a new paragraph had no intent to change any result in had no intent to change any result in following the current paragraph: any ruling on evidence admissibility.’’ any ruling on evidence admissibility.’’ (qq) The title of the analysis section ‘‘2013 Amendment. This revision is (hh) The title of the analysis section stylistic and aligns this rule with the of Mil. R. Evid. 414 is changed to of Mil. R. Evid. 408 is changed to ‘‘Similar crimes in child-molestation Federal Rules of Evidence. The drafters ‘‘Compromise offers and negotiations.’’ had no intent to change any result in cases.’’ (ii) The analysis following Mil. R. (rr) The analysis following Mil. R. any ruling on evidence admissibility.’’ Evid. 408 is amended by adding the (z) The title of the analysis section of Evid. 414 is amended by adding the following language in a new paragraph following language after the final Mil. R. Evid. 402 is changed to ‘‘General following the current paragraph: admissibility of relevant evidence.’’ paragraph: ‘‘2013 Amendment. This revision is ‘‘2013 Amendment. The time (aa) The analysis following Mil. R. stylistic and aligns this rule with the requirement in subsection (b) was Evid. 402 is amended by adding the Federal Rules of Evidence. The drafters changed and aligns with the time following language after the final had no intent to change any result in requirements in Mil. R. Evid. 412 and paragraph: any ruling on evidence admissibility.’’ the Federal Rules of Evidence. This ‘‘2013 Amendment. This revision is (jj) The title of the analysis section of change is also in conformity with stylistic and aligns this rule with the Mil. R. Evid. 409 is changed to ‘‘Offers military practice in which the military Federal Rules of Evidence. The drafters to pay medical and similar expenses.’’ judge may accept pleas shortly after had no intent to change any result in (kk) The analysis following Mil. R. referral and sufficiently in advance of any ruling on evidence admissibility.’’ Evid. 409 is amended by adding the trial. Additionally, subsection (d) was (bb) The analysis following Mil. R. following language in a new paragraph revised and aligns with the Federal Evid. 403 is amended by adding the following the current paragraph: Rules of Evidence. following language after the final ‘‘2013 Amendment. This revision is This revision is stylistic. The drafters paragraph: stylistic and aligns this rule with the had no intent to change any result in ‘‘2013 Amendment. This revision is Federal Rules of Evidence. The drafters had no intent to change any result in any ruling on evidence admissibility.’’ stylistic and aligns this rule with the (ss) The title of the analysis section of Federal Rules of Evidence. The drafters any ruling on evidence admissibility.’’ (ll) The title of the analysis section of Mil. R. Evid. 501 is changed to had no intent to change any result in ‘‘Privilege in general.’’ any ruling on evidence admissibility.’’ Mil. R. Evid. 410 is changed to ‘‘Pleas, plea discussions, and related (tt) The analysis following Mil. R. (cc) The title of the analysis section of Evid. 501 is amended by adding the Mil. R. Evid. 404 is changed to statements.’’ (mm) The analysis following Mil. R. following language after the final ‘‘Character evidence; crime or other Evid. 410 is amended by adding the paragraph: acts.’’ following language after the last ‘‘2013 Amendment. This revision is (dd) The analysis following Mil. R. paragraph: stylistic. The drafters had no intent to Evid. 404 is amended by adding the ‘‘2013 Amendment. This revision is change any result in any ruling on following language after the final stylistic and aligns this rule with the evidence admissibility.’’ paragraph: Federal Rules of Evidence. The drafters (uu) The analysis following Mil. R. ‘‘2013 Amendment. The word had no intent to change any result in Evid. 502 is amended by adding the ‘‘alleged’’ was added to references to the any ruling on evidence admissibility.’’ following language after the final victim throughout this rule. This (nn) The analysis following Mil. R. paragraph: revision is stylistic and aligns this rule Evid. 411 is amended by adding the ‘‘2013 Amendment. This revision is with the Federal Rules of Evidence. The following language in a new paragraph stylistic. The drafters had no intent to drafters had no intent to change any following the current paragraph: change any result in any ruling on result in any ruling on evidence ‘‘2013 Amendment. This revision is evidence admissibility.’’ admissibility.’’ stylistic and aligns this rule with the (vv) The analysis following Mil. R. (ee) The analysis following Mil. R. Federal Rules of Evidence. The drafters Evid. 503 is amended by adding the Evid. 405 is amended by adding the had no intent to change any result in following language after the final following language after the final any ruling on evidence admissibility.’’ paragraph: paragraph: (oo) The title of the analysis section ‘‘2013 Amendment. This revision is ‘‘2013 Amendment. This revision is of Mil. R. Evid. 413 is changed to stylistic. The drafters had no intent to stylistic and aligns this rule with the ‘‘Similar crimes in sexual offense change any result in any ruling on Federal Rules of Evidence. The drafters cases.’’ evidence admissibility.’’

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(ww) The analysis following Mil. R. following language in a new paragraph and mitigating the impact of the court- Evid. 504 is amended by adding the following the current paragraph: martial process on victims, the rule was following language after the final ‘‘2013 Amendment. The language developed in response to concerns paragraph: ‘‘courts-martial, military judges’’ was raised by members of Congress, ‘‘2011 Amendment. Subsection added to this rule, which now conforms community groups, and the Defense (c)(2)(D) was added pursuant to to CAAF’s holding in United States v. Task Force on Sexual Assault in the Executive Order 13593 of December 13, Matthews, 68 M.J. 29 (C.A.A.F. 2009). In Military Services (DTFSAMS). In its 2011. that case, CAAF held that this rule as it 2009 report, DTFSAMS noted that: 35 2013 Amendment. This revision is was previously written created an States had a privilege for stylistic. The drafters had no intent to implied privilege that protected the communications between victim change any result in any ruling on deliberative process of a military judge advocates and victims of sexual assault; evidence admissibility.’’ from disclosure and that testimony that victims did not believe they could (xx) The analysis following Mil. R. revealed the deliberative thought communicate confidentially with Evid. 505 is amended by adding the process of the military judge is medical and psychological support following language after the final inadmissible. Matthews, 68 M.J. at 38– service personnel provided by DoD; paragraph: 43. The changes simply express what there was interference with the victim- ‘‘2013 Amendment. This rule was the court found had previously been victim advocate relationship and significantly restructured. These implied.’’ continuing victim advocate services changes bring greater clarity and (ccc) The analysis following Mil. R. when the victim advocate was identified regularity to military practice. The Evid. 511 is amended by adding the as a potential witness in a court-martial; changes focus primarily on expanding following language after the final and service members reported being ‘‘re- the military judge’s explicit authority to paragraph: victimized’’ when their prior statements ‘‘2013 Amendment. Titles were added conduct ex parte pretrial conferences in to victim advocates were used to cross- to the subsections of this rule, connection with classified information examine them in court-martial improving the rule’s clarity and ease of and detailing when the military judge is proceedings. Report of the Defense Task use.’’ required to do so, limiting the Force on Sexual Assault in the Military (ddd) The analysis following Mil. R. Services, at 69 (Dec. 2009). DTFSAMS disclosure of classified information per Evid. 513 is amended by adding the order of the military judge, specifically recommended that Congress ‘‘enact a following language after the final comprehensive military justice privilege outlining the process by which the paragraph: accused gains access to and may request for communications between a Victim ‘‘2011 Amendment. In Executive Advocate and a victim of sexual disclosure of classified information, and Order 13593 of December 13, 2011, the the procedures for using classified assault.’’ Id. at ES–4. The JSC chose to President removed communications model a proposed Mil. R. Evid. 514 on material at trial. The drafters intended about spouse abuse as an exception to that the changes ensure classified Mil. R. Evid. 513, including its various the spousal privilege by deleting the exceptions, in an effort to balance the information is not needlessly disclosed words ‘‘spouse abuse’’ and ‘‘the person while at the same time ensure that the privacy of the victim’s communications of the other spouse or’’ from Mil. R. with a victim advocate against the accused’s right to a fair trial is Evid. 513(d)(2), thus expanding the accused’s legitimate needs. maintained. The drafters adopted some overall scope of the privilege. The Under subsection (a) of Mil. R. Evid. of the language from the Military privilege is now consistent with Mil. R. 514, the words ‘‘under the Uniform Commissions Rules of Evidence and the Evid. 514 in that spouse victim Code of Military Justice’’ mean that the Classified Information Procedures Act.’’ communications to a provider who privilege only applies to alleged (yy) The analysis following Mil. R. qualifies as both a psychotherapist for misconduct that could result in UCMJ Evid. 506 is amended by adding the purposes of Mil. R. Evid. 513 or as a proceedings. It does not apply in following language after the final victim advocate for purposes of Mil. R. situations in which the alleged offender paragraph: Evid. 514 are covered. is not subject to UCMJ jurisdiction. The ‘‘2013 Amendment. This rule was 2013 Amendment. The amendment to drafters did not intend Mil. R. Evid. 514 significantly revised. These changes subsection (e)(3) further expands the to apply in any proceeding other than bring greater clarity to the rule and align military judge’s authority and discretion those authorized under the UCMJ. it with changes made to Mil. R. Evid. to conduct in camera reviews. This However, service regulations dictate 505.’’ revision is stylistic. The drafters had no how the privilege is applied to non- (zz) The title of the analysis section of intent to change any result in any ruling UCMJ proceedings. Furthermore, this Mil. R. Evid. 507 is changed to ‘‘Identity on evidence admissibility.’’ rule only applies to communications of informants.’’ (eee) The analysis following Mil. R. between a victim advocate and the (aaa) The analysis following Mil. R. Evid. 514 is amended by adding the victim of an alleged sexual or violent Evid. 507 is amended by adding the following language after the final offense. following language after the final paragraph: Under subsection (b), the definition of paragraph: ‘‘2013 Amendment. Like the ‘‘victim advocate’’ includes, but is not ‘‘2013 Amendment. Subsection (b) psychotherapist-patient privilege limited to, personnel performing victim was added to define terms that are used created by Mil. R. Evid. 513, Mil. R. advocate duties within the DoD Sexual throughout the rule and adding Evid. 514 establishes a victim advocate- Assault Prevention and Response Office subsection (e)(1) to permit the military victim privilege for investigations or (such as a Sexual Assault Response judge to hold an in camera review upon proceedings authorized under the Coordinator), and the DoD Family request by the prosecution. This Uniform Code of Military Justice. Advocacy Program (such as a domestic revision is stylistic. The drafters had no Implemented as another approach to abuse victim advocate). To determine intent to change any result in any ruling improving the military’s overall whether an official’s duties encompass on evidence admissibility.’’ effectiveness in addressing the crime of victim advocate responsibilities, DoD (bbb) The analysis following Mil. R. sexual assault, facilitating candor and military service regulations should Evid. 509 is amended by adding the between victims and victim advocates, be consulted. A victim liaison

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appointed pursuant to the Victim and following language after the final (ppp) The title of the analysis section Witness Assistance Program is not a paragraph: of Mil. R. Evid. 606 is changed to ‘‘victim advocate’’ for purposes of this ‘‘2013 Amendment. This revision is ‘‘Member’s competency as a witness.’’ rule, nor are personnel working within stylistic and aligns this rule with the (qqq) The analysis following Mil. R. an Equal Opportunity or Inspector Federal Rules of Evidence. The drafters Evid. 606 is amended by adding the General office. For purposes of this rule, had no intent to change any result in following language: ‘‘violent offense’’ means an actual or any ruling on evidence admissibility.’’ ‘‘2013 Amendment. The amendment attempted murder, manslaughter, rape, (hhh) The title of the analysis section to subsection (b) aligns this rule with sexual assault, aggravated assault, of Mil. R. Evid. 602 is changed to ‘‘Need the Federal Rules of Evidence. This robbery, assault consummated by a for personal knowledge.’’ revision is stylistic. The drafters had no battery, or similar offense. A simple intent to change any result in any ruling (iii) The analysis following Mil. R. on evidence admissibility.’’ assault may be a violent offense where Evid. 602 is amended by adding the violence has been physically attempted (rrr) The title of the analysis section following language after the final of Mil. R. Evid. 607 is changed to ‘‘Who or menaced. A mere threatening in paragraph: words is not a violent offense. This rule may impeach a witness.’’ ‘‘2013 Amendment. This revision is will apply in situations where there is (sss) The analysis following Mil. R. stylistic and aligns this rule with the a factual dispute as to whether a sexual Evid. 607 is amended by adding the or violent offense occurred and whether Federal Rules of Evidence. The drafters following language after the final a person actually suffered direct had no intent to change any result in paragraph: physical or emotional harm from such any ruling on evidence admissibility.’’ ‘‘2013 Amendment. This revision is an offense. The fact that such findings (jjj) The title of the analysis section of stylistic and aligns this rule with the have not been judicially established Mil. R. Evid. 603 is changed to ‘‘Oath or Federal Rules of Evidence. The drafters shall not prevent application of this rule affirmation to testify truthfully.’’ had no intent to change any result in to alleged victims reasonably intended (kkk) The analysis following Mil. R. any ruling on evidence admissibility.’’ to be covered by this rule. Evid. 603 is amended by adding the (ttt) The title of the analysis section of Under subsection (d), the exceptions following language in a new paragraph Mil. R. Evid. 608 is changed to ‘‘A to Mil. R. Evid. 514 are similar to the following the current paragraph: witness’s character for truthfulness or exceptions found in Mil. R. Evid. 513, ‘‘2013 Amendment. This revision is untruthfulness.’’ and the drafters intended them to be stylistic and aligns this rule with the (uuu) The analysis following Mil. R. applied in the same manner. Mil. R. Federal Rules of Evidence. The drafters Evid. 608 is amended by adding the following language after the final Evid. 514 does not include comparable had no intent to change any result in paragraph: exceptions found within Mil. R. Evid. any ruling on evidence admissibility.’’ ‘‘2013 Amendment. This revision is 513(d)(2) and 513(d)(7). Under the (lll) The title of the analysis section of stylistic and aligns this rule with the ‘‘constitutionally required’’ exception, Mil. R. Evid. 604 is changed to Federal Rules of Evidence. The drafters communications covered by the ‘‘Interpreter.’’ had no intent to change any result in privilege would be released only in the (mmm) The analysis following Mil. R. any ruling on evidence admissibility.’’ narrow circumstances where the Evid. 604 is amended by adding the (vvv) The title of the analysis section accused could show harm of following language in a new paragraph of Mil. R. Evid. 609 is changed to constitutional magnitude if such following the current paragraph: ‘‘Impeachment by evidence of a communication was not disclosed. The ‘‘2013 Amendment. This rule was criminal conviction.’’ drafters intended this relatively high revised to match the Federal Rules of (www) The analysis following Mil. R. standard of release to preclude fishing Evidence. However, the word Evid. 609 is amended by adding the expeditions for possible statements ‘‘qualified’’ is undefined both in these following language after the final made by the victim; the drafters did not rules and in the Federal Rules of paragraph: intend it to be an exception that Evidence. R.C.M. 502(e)(1) states that ‘‘2011 Amendment. Executive Order effectively renders the privilege the Secretary concerned may prescribe 13593 of December 13, 2011, amended meaningless. If a military judge finds qualifications for interpreters. this rule to conform the rule with the that an exception to this privilege Practitioners should therefore refer to Federal Rules of Evidence. applies, special care should be taken to the Secretary’s guidance to determine if 2013 Amendment. This revision is narrowly tailor the release of privileged an interpreter is qualified under this stylistic. The drafters had no intent to communications to only those rule. This revision is stylistic and aligns change any result in any ruling on statements that are relevant and whose this rule with the Federal Rules of evidence admissibility.’’ probative value outweighs unfair Evidence. The drafters had no intent to (xxx) The analysis following Mil. R. prejudice. The fact that otherwise change any result in any ruling on Evid. 610 is amended by adding the privileged communications are evidence admissibility.’’ following language in a new paragraph admissible pursuant to an exception of following the current paragraph: Mil. R. Evid. 514 does not prohibit a (nnn) The title of the analysis section ‘‘2013 Amendment. This revision is military judge from imposing reasonable of Mil. R. Evid. 605 is changed to stylistic and aligns this rule with the limitations on cross-examination. See ‘‘Military judge’s competency as a Federal Rules of Evidence. The drafters Delaware v. Van Arsdall, 475 U.S. 673, witness.’’ had no intent to change any result in 679 (1986); United States v. Gaddis, 70 (ooo) The analysis following Mil. R. any ruling on evidence admissibility.’’ M.J. 248, 256–57 (C.A.A.F. 2011); Evid. 605 is amended by adding the (yyy) The title of the analysis section United States v. Ellerbrock, 70 M.J. 314, following language after the final of Mil. R. Evid. 611 is changed to ‘‘Mode 318 (C.A.A.F. 2011).’’ paragraph: and order of examining witnesses and (fff) The title of the analysis section of ‘‘2013 Amendment. This revision is presenting evidence.’’ Mil. R. Evid. 601 is changed to stylistic and aligns this rule with the (zzz) The analysis following Mil. R. ‘‘Competency to testify in general.’’ Federal Rules of Evidence. The drafters Evid. 611 is amended by adding the (ggg) The analysis following Mil. R. had no intent to change any result in following language after the final Evid. 601 is amended by adding the any ruling on evidence admissibility.’’ paragraph:

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‘‘2013 Amendment. The amendment Rules of Evidence. The drafters had no ‘‘2013 Amendment. This revision is to subsection (d)(3) conforms the rule intent to change any result in any ruling stylistic and aligns this rule with the with the United States Supreme Court’s on evidence admissibility.’’ Federal Rules of Evidence. The drafters holding in Maryland v. Craig, 497 U.S. (cccc) The title of the analysis section had no intent to change any result in 836 (1990), and the Court of Appeals for of Mil. R. Evid. 613 is changed to any ruling on evidence admissibility.’’ the Armed Forces’ holding in United ‘‘Witness’s prior statement.’’ (llll) The title of the analysis section States v. Pack, 65 M.J. 381 (C.A.A.F. (dddd) The analysis following Mil. R. of Mil. R. Evid. 703 is changed to ‘‘Bases 2007). In Craig, the Supreme Court held Evid. 613 is amended by adding the of an expert’s opinion testimony.’’ that, in order for a child witness to be following language after the final (mmmm) The analysis following Mil. permitted to testify via closed-circuit paragraph: R. Evid. 703 is amended by adding the one-way video, three factors must be ‘‘2013 Amendment. This revision is following language: met: (1) The trial court must determine stylistic and aligns this rule with the ‘‘2013 Amendment. This revision is that it ‘‘is necessary to protect the Federal Rules of Evidence. The drafters stylistic and aligns this rule with the welfare of the particular child witness’’; had no intent to change any result in Federal Rules of Evidence. The drafters (2) the trial court must find ‘‘that the any ruling on evidence admissibility.’’ had no intent to change any result in child witness would be traumatized, not (eeee) The title of the analysis section any ruling on evidence admissibility.’’ by the courtroom generally, but by the of Mil. R. Evid. 614 is changed to (nnnn) The analysis following Mil. R. presence of the defendant’’; and (3) the ‘‘Court-martial’s calling or examining a Evid. 704 is amended by adding the trial court must find ‘‘that the emotional witness.’’ following language after the final distress suffered by the child witness in (ffff) The analysis following Mil. R. paragraph: the presence of the defendant is more Evid. 614 is amended by adding the ‘‘2013 Amendment. This revision is than de minimis.’’ Craig, 497 U.S. at following language after the final stylistic. The drafters had no intent to 855–56. In Pack, CAAF held that, paragraph: change any result in any ruling on despite the Supreme Court’s decision in ‘‘2013 Amendment. In subsection (a), evidence admissibility.’’ (oooo) The title of the analysis section Crawford v. Washington, the Supreme the word ‘‘relevant’’ was substituted for of Mil. R. Evid. 705 is changed to Court did not implicitly overrule Craig ‘‘appropriate.’’ Relevance is the most ‘‘Disclosing the facts or data underlying and that all three factors must be accurate threshold for admissibility an expert’s opinion.’’ present in order to permit a child throughout these rules. Additionally, (pppp) The analysis following Mil. R. witness to testify remotely. Pack, 65 M.J. the phrase ‘‘Following the opportunity Evid. 705 is amended by adding the at 384–85. This rule as previously for review by both parties’’ was added following language in a new paragraph written contradicted these cases because to subsection (b); this change aligns it following the current paragraph: it stated that any one of four factors, with the standard military practice to rather than all three of those identified ‘‘2013 Amendment. This revision is allow the counsel for both sides to stylistic and aligns this rule with the in Craig, would be sufficient to allow a review a question posed by the members child to testify remotely. The changes Federal Rules of Evidence. The drafters and to voice objections before the ensured that this subsection aligned had no intent to change any result in military judge rules on the propriety of with the relevant case law. any ruling on evidence admissibility.’’ The drafters took the language for the the question. This revision is stylistic (qqqq) The title of the analysis section change to subsection (5) from 18 U.S.C. and aligns this rule with the Federal of Mil. R. Evid. 706 is changed to 3509(b)(1)(C), which covers child Rules of Evidence. The drafters had no ‘‘Court-appointed expert witnesses.’’ victims’ and child witnesses’ rights. intent to change any result in any ruling (rrrr) The analysis following Mil. R. There is no comparable Federal Rule of on evidence admissibility.’’ Evid. 706 is amended by adding the Evidence but a military judge may find (gggg) The title of the analysis section following language after the final that an Article 39(a) session outside the of Mil. R. Evid. 615 is changed to paragraph: presence of the accused is necessary to ‘‘Excluding witnesses.’’ ‘‘2013 Amendment. Former make a decision regarding remote (hhhh) The analysis following Mil. R. subsection (b) was removed. The testimony. The drafters of the change Evid. 615 is amended by adding the authority of the military judge to tell intended to limit the number of people following language after the final members that he or she has called an present at the Article 39(a) session in paragraph: expert witness is implicit in his or her order to make the child feel more at ‘‘2013 Amendment. This revision is authority to obtain the expert, and ease, which is why they recommended stylistic. The drafters had no intent to therefore the language was unnecessary. adding language limiting those present change any result in any ruling on Although the language has been to ‘‘a representative’’ of the defense and evidence admissibility.’’ removed, the military judge may, in the prosecution, rather than multiple (iiii) The analysis following Mil. R. exercise of discretion, notify the representatives. Evid. 701 is amended by adding the members that he or she called the This revision is stylistic. The drafters following language after the final expert. This revision is stylistic. The had no intent to change any result in paragraph: drafters had no intent to change any any ruling on evidence admissibility.’’ ‘‘2013 Amendment. This revision is result in any ruling on evidence (aaaa) The title of the analysis section stylistic and aligns this rule with the admissibility.’’ of Mil. R. Evid. 612 is changed to Federal Rules of Evidence. The drafters (ssss) The analysis following Mil. R. ‘‘Writing used to refresh a witness’s had no intent to change any result in Evid. 707 is amended by adding the memory.’’ any ruling on evidence admissibility.’’ following language after the final (bbbb) The analysis following Mil. R. (jjjj) The title of the analysis section paragraph: Evid. 612 is amended by adding the of Mil. R. Evid. 702 is changed to ‘‘2013 Amendment. This revision is following language after the final ‘‘Testimony by expert witnesses.’’ stylistic. The drafters had no intent to paragraph: (kkkk) The analysis following Mil. R. change any result in any ruling on ‘‘2013 Amendment. The revision to Evid. 702 is amended by adding the evidence admissibility.’’ Subsection (b) of this rule is stylistic following language after the final (tttt) The title of the analysis section and aligns this rule with the Federal paragraph: to Mil. R. Evid. 801 is changed to

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‘‘Definitions that apply to this section; removed, subsection (5) of Mil. R. Evid. ‘‘2013 Amendment. Language was exclusions from hearsay.’’ 804, which directs practitioners to the added to subsection (11) and permits (uuuu) The analysis following Mil. R. residual exception in Mil. R. Evid. 807, the military judge to admit non-noticed Evid. 801 is amended by adding the was not removed. Leaving subsection (5) documents even after the trial has following language after the final in place avoids having to renumber the commenced if the offering party shows paragraph: remaining subsections. Although good cause to do so. This revision is ‘‘2013 Amendment. The title of subsection (5) is not necessary, stylistic and aligns this rule with the subsection (d)(2) was changed from renumbering the subsections within this Federal Rules of Evidence. The drafters ‘‘Admission by party-opponent’’ to ‘‘An rule would have a detrimental effect on did not intend to change any result in Opposing Party’s Statement.’’ This legal research and also would lead to any ruling on evidence admissibility.’’ change conforms the rule with the inconsistencies in numbering between (jjjjj) The title of the analysis section Federal Rules of Evidence. The term these rules and the Federal Rules. This of Mil. R. Evid. 903 is changed to ‘‘admission’’ is misleading because a revision is stylistic and aligns this rule ‘‘Subscribing witness’s testimony.’’ statement falling under this exception with the Federal Rules of Evidence. The (kkkkk) The analysis following Mil. R. need not be an admission and also need drafters did not intend to change any Evid. 903 is amended by adding the not be against the party’s interest when result in any ruling on evidence following language in a new paragraph spoken. In recommending this change, admissibility.’’ following the current paragraph: the drafters did not intend to change (bbbbb) The analysis following Mil. R. ‘‘2013 Amendment. This revision is any result in any ruling on evidence Evid. 805 is amended by adding the stylistic and aligns this rule with the admissibility.’’ following language in a new paragraph Federal Rules of Evidence. The drafters (vvvv) The title of the analysis section following the current paragraph: did not intend to change any result in of Mil. R. Evid. 802 is changed to ‘‘The ‘‘2013 Amendment. This revision is any ruling on evidence admissibility.’’ rule against hearsay.’’ stylistic and aligns this rule with the (lllll) The title of the analysis section (wwww) The analysis following Mil. Federal Rules of Evidence. The drafters of Mil. R. Evid. 1001 is changed to R. Evid. 802 is amended by adding the did not intend to change any result in ‘‘Definitions that apply to this section.’’ following language after the final any ruling on evidence admissibility.’’ (mmmmm) The analysis following paragraph: (ccccc) The title of the analysis Mil. R. Evid. 1001 is amended by adding ‘‘2013 Amendment. This revision is section of Mil. R. Evid. 806 is changed the following language after the final stylistic and aligns this rule with the to ‘‘Attacking and supporting the paragraph: Federal Rules of Evidence. The drafters declarant’s credibility.’’ ‘‘2013 Amendment. This revision is had no intent to change any result in (ddddd) The analysis following Mil. stylistic and aligns this rule with the any ruling on evidence admissibility.’’ R. Evid. 806 is amended by adding the Federal Rules of Evidence. The drafters (xxxx) The title of the analysis section following language in a new paragraph did not intend to change any result in of Mil. R. Evid. 803 is changed to following the current paragraph: any ruling on evidence admissibility.’’ ‘‘Exceptions to the rule against ‘‘2013 Amendment. This revision is (nnnnn) The analysis following Mil. hearsay—regardless of whether the stylistic and aligns this rule with the R. Evid. 1002 is amended by adding the declarant is available as a witness.’’ Federal Rules of Evidence. The drafters following language after the final (yyyy) The analysis following Mil. R. did not intend to change any result in paragraph: Evid. 803 is amended by adding the any ruling on evidence admissibility.’’ ‘‘2013 Amendment. This revision is following language after the final (eeeee) The analysis following Mil. R. stylistic and aligns this rule with the paragraph: Evid. 807 is amended by adding the Federal Rules of Evidence. The drafters ‘‘2013 Amendment. Subsection (24), following language after the final did not intend to change any result in which stated: ‘‘Other Exceptions: paragraph: any ruling on evidence admissibility.’’ [Transferred to Mil. R. Evid. 807]’’ was ‘‘2013 Amendment. This revision is (ooooo) The analysis following Mil. R. removed. Practitioners are generally stylistic and aligns this rule with the Evid. 1003 is amended by adding the aware that Mil. R. Evid. 807 covers Federal Rules of Evidence. The drafters following language in a new paragraph statements not specifically covered in did not intend to change any result in following the current paragraph: this rule, and therefore the subsection any ruling on evidence admissibility.’’ ‘‘2013 Amendment. This revision is was unnecessary. This revision is (fffff) The title of the analysis section stylistic and aligns this rule with the stylistic and aligns this rule with the of Mil. R. Evid. 901 is changed to Federal Rules of Evidence. The drafters Federal Rules of Evidence. The drafters ‘‘Authenticating or identifying did not intend to change any result in had no intent to change any result in evidence.’’ any ruling on evidence admissibility.’’ any ruling on evidence admissibility.’’ (ggggg) The analysis following Mil. R. (ppppp) The title of the analysis (zzzz) The title of the analysis section Evid. 901 is amended by adding the section of Mil. R. Evid. 1004 is changed of Mil. R. Evid. 804 is changed to following language after the final to ‘‘Admissibility of other evidence of ‘‘Exceptions to the rule against paragraph: content.’’ hearsay—when the declarant is ‘‘2013 Amendment. This revision is (qqqqq) The analysis following Mil. R. unavailable as a witness.’’ stylistic and aligns this rule with the Evid. 1004 is amended by adding the (aaaaa) The analysis following Mil. R. Federal Rules of Evidence. The drafters following language after the final Evid. 804 is amended by adding the did not intend to change any result in paragraph: following language after the final any ruling on evidence admissibility.’’ ‘‘2013 Amendment. This revision is paragraph: (hhhhh) The title of the analysis stylistic and aligns this rule with the ‘‘2013 Amendment. In subsection section of Mil. R. Evid. 902 is changed Federal Rules of Evidence. ’’ (b)(3)(B), the phrase ‘‘and is offered to to ‘‘Evidence that is self- (rrrrr) The title of the analysis section exculpate the accused,’’ was left despite authenticating.’’ of Mil. R. Evid. 1005 is changed to the fact that it is not included in the (iiiii) The analysis following Mil. R. ‘‘Copies of public records to prove current or former versions of the Federal Evid. 902 is amended by adding the content.’’ Rules of Evidence. While subsection following language after the final (sssss) The analysis following Mil. R. (24) in Mil. R. Evid. 803 was not paragraph: Evid. 1005 is amended by adding the

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following language in a new paragraph following language in a new paragraph accordance with the Paperwork following the current paragraph: following the current paragraph: Reduction Act of 1995 (PRA) (44 U.S.C. ‘‘2013 Amendment. This revision is ‘‘2013 Amendment. This revision is 3506(c)(2)(A)), provides the general stylistic and aligns this rule with the stylistic and aligns this rule with the public and Federal agencies with an Federal Rules of Evidence. The drafters Federal Rules of Evidence. The drafters opportunity to comment on proposed, did not intend to change any result in did not intend to change any result in revised, and continuing collections of any ruling on evidence admissibility.’’ any ruling on evidence admissibility.’’ information. This helps the Department (ttttt) The title of the analysis section Dated: March 17, 2016. assess the impact of its information of Mil. R. Evid. 1006 is changed to Aaron Siegel, collection requirements and minimize ‘‘Summaries to prove content.’’ the public’s reporting burden. It also (uuuuu) The analysis following Mil. Alternate OSD Federal Register Liaison Officer, Department of Defense. helps the public understand the R. Evid. 1006 is amended by adding the Department’s information collection [FR Doc. 2016–06403 Filed 3–21–16; 8:45 am] following language after the final requirements and provide the requested paragraph: BILLING CODE 5001–06–P data in the desired format. ED is ‘‘2013 Amendment. This revision is soliciting comments on the proposed stylistic and aligns this rule with the information collection request (ICR) that Federal Rules of Evidence. The drafters DEPARTMENT OF EDUCATION is described below. The Department of did not intend to change any result in [Docket No.: ED–2015–ICCD–0145] Education is especially interested in any ruling on evidence admissibility.’’ public comment addressing the (vvvvv) The title of the analysis Agency Information Collection following issues: (1) Is this collection section of Mil. R. Evid. 1007 is changed Activities; Submission to the Office of necessary to the proper functions of the to ‘‘Testimony or statement of a party to Management and Budget for Review Department; (2) will this information be prove content.’’ and Approval; Comment Request; processed and used in a timely manner; (wwwww) The analysis following National Longitudinal Transition Study (3) is the estimate of burden accurate; Mil. R. Evid. 1007 is amended by adding 2012 Phase II (4) how might the Department enhance the following language in a new the quality, utility, and clarity of the AGENCY: Institute of Education Sciences paragraph following the current information to be collected; and (5) how (IES), Department of Education (ED). paragraph: might the Department minimize the ‘‘2013 Amendment. This revision is ACTION: Notice. burden of this collection on the stylistic and aligns this rule with the respondents, including through the use Federal Rules of Evidence. The drafters SUMMARY: In accordance with the Paperwork Reduction Act of 1995 (44 of information technology. Please note did not intend to change any result in that written comments received in any ruling on evidence admissibility.’’ U.S.C. chapter 3501 et seq.), ED is proposing a reinstatement with change response to this notice will be (xxxxx) The title of the analysis considered public records. section of Mil. R. Evid. 1008 is changed of a previously approved information collection. Title of Collection: National to ‘‘Functions of the military judge and Longitudinal Transition Study 2012 the members.’’ DATES: Interested persons are invited to Phase II. (yyyyy) The analysis following Mil. R. submit comments on or before April 21, OMB Control Number: 1850–0882. Evid. 1008 is amended by adding the 2016. Type of Review: A reinstatement with following language in a new paragraph ADDRESSES: To access and review all the change of a previously approved following the current paragraph: documents related to the information ‘‘2013 Amendment. This revision is information collection. collection listed in this notice, please Respondents/Affected Public: stylistic and aligns this rule with the use http://www.regulations.gov by Federal Rules of Evidence. The drafters Individuals or Households. searching the Docket ID number ED– Total Estimated Number of Annual did not intend to change any result in 2015–ICCD–0145. Comments submitted any ruling on evidence admissibility.’’ Responses: 7,252. in response to this notice should be Total Estimated Number of Annual (zzzzz) The title of the analysis submitted electronically through the section of Mil. R. Evid. 1101 is changed Burden Hours: 4,448. Federal eRulemaking Portal at http:// Abstract: The National Longitudinal to ‘‘Applicability of these rules.’’ www.regulations.gov by selecting the (aaaaaa) The analysis following Mil. Transition Study 2012 (NLTS 2012) is Docket ID number or via postal mail, R. Evid. 1101 is amended by adding the the third in a series of studies being commercial delivery, or hand delivery. following language after the final conducted by the U.S. Department of Please note that comments submitted by paragraph: Education (ED), with the goal of fax or email and those submitted after ‘‘2013 Amendment. This revision is describing the characteristics, secondary the comment period will not be stylistic and aligns this rule with the school experiences, transition, and accepted. Written requests for Federal Rules of Evidence. The drafters outcomes of youth who receive special information or comments submitted by did not intend to change any result in education services under IDEA. Phase II postal mail or delivery should be any ruling on evidence admissibility.’’ of NLTS 2012 will utilize high school (bbbbbb) The analysis following Mil. addressed to the Director of the and post-high school administrative R. Evid. 1102 is amended by adding the Information Collection Clearance records data to collect information in following language after the final Division, U.S. Department of Education, three broad areas important to paragraph: 400 Maryland Avenue SW., LBJ, Room understanding outcomes for youth with ‘‘2013 Amendment. This revision is 2E–105, Washington, DC 20202–4537. disabilities: (1) High school course- stylistic and aligns this rule with the FOR FURTHER INFORMATION CONTACT: For taking and outcomes, (2) post-secondary Federal Rules of Evidence. The drafters specific questions related to collection outcomes, and (3) employment and did not intend to change any result in activities, please contact Yumiko earnings outcomes. Phase II collected any ruling on evidence admissibility.’’ Sekino, 202–219–2046. information will build on a survey of a (cccccc) The analysis following Mil. SUPPLEMENTARY INFORMATION: The nationally representative set of students R. Evid. 1103 is amended by adding the Department of Education (ED), in with and without IEPs from Phase I of

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the study to address the following DEPARTMENT OF EDUCATION Competitive Preference Priorities: questions: Within this absolute priority, we give • To what extent do youth with Applications for New Awards; competitive preference to applications disabilities who receive special Fulbright-Hays Doctoral Dissertation that address one or both of the following education services under IDEA make Research Abroad Fellowship Program priorities. Under 34 CFR 75.105(c)(2)(i), for FY progress through high school compared AGENCY: Office of Postsecondary 2016, we award an additional three with other youth, including those Education, Department of Education. identified for services under Section 504 points to an application that meets ACTION: Notice. of the Rehabilitation Act? For students Competitive Preference Priority 1 and with disabilities, has high school course Overview Information: two points for an application that meets taking and completion rates changed Fulbright-Hays Doctoral Dissertation Competitive Preference Priority 2 (up to over the past few decades? Research Abroad (DDRA) Fellowship 5 additional points possible). • Program. These priorities are: Are youth with disabilities Competitive Preference Priority 1: Notice inviting applications for new achieving the post-high school Focus on Priority Languages (3 points). outcomes envisioned by IDEA, and how awards for fiscal year (FY) 2016. A research project that makes use of Catalog of Federal Domestic do their college, training, and any of the 78 priority languages selected Assistance (CFDA) Number: 84.022A. employment rates compare with those from the U.S. Department of Education’s Dates: of other youth? list of Less Commonly Taught • How do these high school and Applications Available: March 22, 2016. Languages (LCTLs), as follows: postsecondary experiences and Akan (Twi-Fante), Albanian, Deadline for Transmittal of outcomes vary by student Amharic, Arabic (all dialects), Applications: May 6, 2016. characteristics, including their disability Armenian, Azeri (Azerbaijani), Balochi, category, age, sex, race/ethnicity, Full Text of Announcement Bamanakan (Bamana, Bambara, English Learner status, income status, I. Funding Opportunity Description Mandikan, Mandingo, Maninka, Dyula), and type of high school attended Belarusian, Bengali (Bangla), Berber (all (including regular public school, charter Purpose of Program: The Fulbright- languages), Bosnian, Bulgarian, school, career/technical school, special Hays DDRA Fellowship Program Burmese, Cebuano (Visayan), Chechen, education school, or other State or provides opportunities to doctoral Chinese (Cantonese), Chinese (Gan), Federally-operated institution)? candidates to engage in full-time Chinese (Mandarin), Chinese (Min), The NLTS 2012 sample includes dissertation research abroad in modern Chinese (Wu), Croatian, Dari, Dinka, 21,959 students ranging in age from 13 foreign languages and area studies. The Georgian, Gujarati, Hausa, Hebrew to 21 in December 2011. The sample program is designed to contribute to the (Modern), Hindi, Igbo, Indonesian, was selected to include sufficient development and improvement of the Japanese, Javanese, Kannada, Kashmiri, number of students in each of the 12 study of modern foreign languages and Kazakh, Khmer (Cambodian), Kirghiz, federally defined disability categories, area studies in the United States. Korean, Kurdish (Kurmanji), Kurdish and adequate number of students Priorities: This notice contains one (Sorani), Lao, Malay (Bahasa Melayu or without disabilities, including both absolute priority, two competitive Malaysian), Malayalam, Marathi, students with a Section 504 plan and preference priorities, and one Mongolian, Nepali, Oromo, Panjabi, students with neither an IEP nor a invitational priority. In accordance with Pashto, Persian (Farsi), Polish, Section 504 plan. To meet the study’s 34 CFR 75.105(b)(2)(ii), the absolute and Portuguese (all varieties), Quechua, objective, data will be collected from the competitive preference priorities are Romanian, Russian, Serbian, Sinhala following sources: (1) School district from the regulations for this program (34 (Sinhalese), Somali, Swahili, Tagalog, administrative records, including CFR 662.21(d)). Tajik, Tamil, Telugu, Thai, Tibetan, transcripts, from districts that Absolute Priority: For FY 2016, this Tigrigna, Turkish, Turkmen, Ukrainian, participated in NLTS 2012; (2) priority is an absolute priority. Under 34 Urdu, Uyghur/Uigur, Uzbek, postsecondary enrollment information CFR 75.105(c)(3), we consider only Vietnamese, Wolof, Xhosa, Yoruba, and through the National Student applications that meet this priority. Zulu. Clearinghouse, (3) employment and This priority is: Competitive Preference Priority 2: Specific Geographic Regions of the earnings data from the Social Security Thematic Focus on Academic Fields (2 World. Administration (SSA); and (4) points). A research project that focuses on one information about vocational A research project conducted in the or more of the following geographic rehabilitative services and supports field of economics, engineering, areas: Africa, East Asia, Southeast Asia youth received from the Department’s international development, and the Pacific Islands, South Asia, the Rehabilitative Services Administration mathematics, political science, public Near East, Central and Eastern Europe (RSA). Data collection activities health, science, comparative or and Eurasia, and the Western expected to result in public burden are international education, or technology. Hemisphere (excluding the United the collection of administrative data Invitational Priority: For FY 2016, this States and its territories). Please note from school districts and requests for priority is an invitational priority. that applications that propose projects consent from sample members and their Under 34 CFR 75.105(c)(1), we do not focused on the following countries are parents. give an application that meets this not eligible: Andorra, Austria, Belgium, invitational priority a competitive or Dated: March 16, 2016. Cyprus, Denmark, Finland, France, absolute preference over other Stephanie Valentine, Germany, Greece, Iceland, Ireland, Italy, applications. Acting Director, Information Collection Liechtenstein, Luxembourg, Malta, This priority is: Clearance Division, Office of the Chief Privacy Monaco, Netherlands, Norway, Portugal, Applications from Minority-Serving Officer, Office of Management. San Marino, Spain, Sweden, Institutions. For purposes of this [FR Doc. 2016–06316 Filed 3–21–16; 8:45 am] Switzerland, United Kingdom, or invitational priority, Minority-Serving BILLING CODE 4000–01–P Vatican City. Institution means an institution that is

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eligible to receive assistance under part 2. Cost Sharing or Matching: This However, these items are considered A of title III, under part B of title III, or program does not require cost sharing or part of the narrative and counted within under title V of the Higher Education matching. the 10-page limit. Act of 1965, as amended. • Use one of the following fonts: IV. Application and Submission Program Authority: 22 U.S.C. Times New Roman, Courier, Courier Information 2452(b)(6). New, or Arial. An application submitted Applicable Regulations: (a) The 1. Address to Request Application in any other font (including Times Education Department General Package: Both IHEs and student Roman or Arial Narrow) will not be Administrative Regulations (EDGAR) in applicants can obtain an application accepted. 34 CFR parts 75, 77, 81, 82, 84, 86, 97, package via the Internet or from the The page limits only apply to the 98, and 99. (b) The OMB Guidelines to Education Publications Center (ED application narrative and bibliography. Agencies on Governmentwide PUBS). To obtain a copy via the The page limits do not apply to the Debarment and Suspension Internet, use the following address: Application for Federal Assistance face (Nonprocurement) in 2 CFR part 180, as www.G5.gov. To obtain a copy from ED sheet (SF 424), the supplemental adopted and amended as regulations of Pubs, write, fax, or call the following: information form required by the the Department in 2 CFR part 3485. (c) ED Pubs, U.S. Department of Education, Department of Education, or the The Uniform Administrative P.O. Box 22207, Alexandria, VA 22304. assurances and certification. However, Requirements, Cost Principles, and Telephone, toll free: 1–877–433–7827. student applicants must include their Audit Requirements for Federal Awards FAX: (703) 605–6794. If you use a complete responses to the selection in 2 CFR part 200, as adopted and telecommunications device for the deaf criteria in the application narrative. amended as regulations of the (TDD) or a text telephone (TTY), call, We will reject a student applicant’s Department in 2 CFR part 3474. (d) The toll free: 1–877–576–7734. application if the application exceeds regulations for this program in 34 CFR You can contact ED Pubs at its Web the page limits. part 662. site, also: www.EDPubs.gov or at its 3. Submission Dates and Times: email address: [email protected]. Applications Available: March 22, Note: The regulations in 34 CFR part 86 If you request an application package 2016. apply to institutions of higher education from ED Pubs, be sure to identify this Deadline for Transmittal of (IHEs) only. program as follows: CFDA number Applications: May 6, 2016. Applications for grants under this II. Award Information 84.022A. Individuals with disabilities can program must be submitted Type of Award: Discretionary grants obtain a copy of the application package electronically using G5, the redistributed as fellowships to in an accessible format (e.g., braille, Department’s grant management system, individual beneficiaries. large print, audiotape, or compact disc) accessible through the Department’s G5 Estimated Available Funds: by contacting the person listed under site. For information (including dates $3,011,504. FOR FURTHER INFORMATION CONTACT in and times) about how to submit an IHE’s Estimated Range of Awards: $15,000 section VII of this notice. application electronically, or in paper to $60,000. 2. Content and Form of Application format by mail or hand delivery if an Estimated Average Size of Awards: Submission: Requirements concerning IHE qualifies for an exception to the $33,461. the content of an application, together electronic submission requirement, Estimated Number of Awards: 90. with the forms the applicant must please refer to Other Submission Note: The Department is not bound by any submit, are in the application package Requirements in section IV of this estimates in this notice. for this program. notice. Page Limits: The application narrative We do not consider an application Project Period: The institutional is where the student applicant addresses that does not comply with the deadline project period is 18 months, beginning the selection criteria that reviewers use requirements. October 1, 2016. Students may request to evaluate the application. The student Individuals with disabilities who funding for a period of no less than six applicant must limit the application need an accommodation or auxiliary aid months and no more than 12 months. narrative to no more than 10 pages and in connection with the application III. Eligibility Information the bibliography to no more than two process should contact the person listed pages, using the following standards: under FOR FURTHER INFORMATION 1. Eligible Applicants: Institutions of • A ‘‘page’’ is 8.5″ x 11″, on one side CONTACT in section VII of this notice. If higher education (IHEs). As part of the only, with 1″ margins at the top, bottom, the Department provides an application process, students submit both sides, and portrait orientation. accommodation or auxiliary aid to an individual applications to the IHE. The Note: For purposes of determining individual with a disability in IHE then officially submits all eligible compliance with the page limits, each connection with the application individual student applications with its page on which there are words will be process, the individual’s application grant application to the Department. counted as one full page. remains subject to all other Note: As part of its FY 2016 budget request, • Double space (no more than three requirements and limitations in this the Administration proposed to continue to lines per vertical inch) all text in the notice. allow funds to be used to support the application narrative. However, student 4. Intergovernmental Review: This applications of individuals who plan both to applicants may single space all text in program is not subject to Executive utilize their language skills in world areas charts, tables, figures, graphs, titles, Order 12372 and the regulations in 34 vital to United States national security and to headings, footnotes, endnotes, CFR part 79. apply their language skills and knowledge of quotations, bibliography, and captions. 5. Funding Restrictions: We reference these countries in the fields of government, • international development, and the Use a font that is either 12 point or regulations outlining funding professions. Therefore, students planning to larger, or no smaller than 10 pitch restrictions in the Applicable apply their language skills in such fields and (characters per inch). Student applicants Regulations section of this notice. those planning teaching careers are eligible to may use a 10-point font in charts, tables, 6. Data Universal Numbering System apply to IHEs for funds from this program. figures, graphs, footnotes, and endnotes. Number, Taxpayer Identification

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Number, and System for Award program must be submitted and submit them to the IHE’s project Management: electronically unless an IHE qualifies for director using G5; and To do business with the Department an exception to this requirement in (4) The IHE’s project director must of Education, you must— accordance with the instructions in this officially submit the IHE’s application, a. Have a Data Universal Numbering section. which must include all eligible System (DUNS) number and a Taxpayer a. Electronic Submission of individual student applications, Identification Number (TIN); Applications. reference forms, and other required b. Register both your DUNS number Applications for grants under the forms, using G5. • and TIN with the System for Award Fulbright-Hays DDRA Fellowship The IHE must complete the Management (SAM) (formerly the Program, CFDA number 84.022A, must electronic submission of the grant Central Contractor Registry), the be submitted electronically using the G5 application by 4:30:00 p.m., Government’s primary registrant system, accessible through the Washington, DC time, on the database; Department’s G5 site at: www.G5.gov. application deadline date. G5 will not c. Provide your DUNS number and While completing your electronic accept an application for this TIN on your application; and application, both the IHE and the competition after 4:30:00 p.m., d. Maintain an active SAM Washington, DC time, on the registration with current information student applicant will be entering data online that will be saved into a application deadline date. Therefore, we while your application is under review strongly recommend that both the IHE by the Department and, if you are database. Neither the IHE nor the student applicant may email an and the student applicant not wait until awarded a grant, during the project the application deadline date to begin period. electronic copy of a grant application to us. the application process. You can obtain a DUNS number from • The hours of operation of the G5 We will reject an application if an IHE Dun and Bradstreet at the following Web site are 6:00 a.m. Monday until submits it in paper format unless, as Web site: http://fedgov.dnb.com/ 7:00 p.m., Wednesday; and 6:00 a.m. described elsewhere in this section, the webform. A DUNS number can be Thursday until 8:00 p.m., Sunday, created within one to two business days. IHE qualifies for one of the exceptions Washington, DC time. Please note that, If you are a corporate entity, agency, to the electronic submission because of maintenance, the system is institution, or organization, you can requirement and submits, no later than unavailable between 8:00 p.m. on obtain a TIN from the Internal Revenue two weeks before the application Sundays and 6:00 a.m. on Mondays, and Service. If you are an individual, you deadline date, a written statement to the between 7:00 p.m. on Wednesdays and can obtain a TIN from the Internal Department that the IHE qualifies for 6:00 a.m. on Thursdays, Washington, Revenue Service or the Social Security one of these exceptions. Further DC time. Any modifications to these Administration. If you need a new TIN, information regarding calculation of the hours are posted on the G5 Web site. please allow two to five weeks for your date that is two weeks before the • Student applicants will not receive TIN to become active. application deadline date is provided additional point value because the The SAM registration process can take later in this section under Exception to student submits his or her application approximately seven business days, but Electronic Submission Requirement. in electronic format, nor will we may take upwards of several weeks, Please note the following: penalize the IHE or student applicant if depending on the completeness and • The process for submitting the applicant qualifies for an exception accuracy of the data you enter into the applications electronically under the to the electronic submission SAM database. Thus, if you think you Fulbright-Hays DDRA Fellowship requirement, as described elsewhere in might want to apply for Federal Program has several parts. The this section, and submits an application financial assistance under a program following is a brief summary of the in paper format. administered by the Department, please process; however, all applicants should • IHEs must submit all documents allow sufficient time to obtain and review and follow the detailed electronically, including all information register your DUNS number and TIN. description of the application process typically provided on the following We strongly recommend that you that is contained in the application forms: The Application for Federal register early. package. In summary, the major steps Assistance (SF 424), the Department of Note: Once your SAM registration is active, are: Education Supplemental Information for it may be 24 to 48 hours before you can (1) IHEs must email the following SF 424, Budget Information—Non- submit an application through G5. information to [email protected]: Name of Construction Programs (ED 524), and all If you are currently registered with university and full name and email necessary assurances and certifications. SAM, you may not need to make any address of potential project director. We • If the application is submitted changes. However, please make certain recommend that applicant IHEs submit electronically, both IHEs and student that the TIN associated with your DUNS this information as soon as possible to applicants must upload any narrative number is correct. Also note that you ensure that they obtain access to G5 sections and all other attachments to will need to update your registration well before the application deadline their application as files in a read-only, annually. This may take three or more date. We suggest that IHEs send this non-modifiable Portable Document business days. information no later than two weeks Format (PDF). Do not upload an Information about SAM is available at prior to the closing date in order to interactive or fillable PDF file. If you www.SAM.gov. To further assist you facilitate timely submission of their upload a file type other than a read- with obtaining and registering your applications; only, non-modifiable PDF (e.g., Word, DUNS number and TIN in SAM or (2) Students must complete their Excel, WordPerfect, etc.) or submit a updating your existing SAM account, individual applications and submit password-protected file, we will not we have prepared a SAM.gov Tip Sheet, them to their IHE’s project director review that material. Please note that which you can find at: www2.ed.gov/ using G5; this could result in your application not fund/grant/apply/sam-faqs.html. (3) Persons providing references for being considered for funding because 7. Other Submission Requirements: individual students must complete and the material in question—for example, Applications for grants under this submit reference forms for the students the project narrative—is critical to a

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meaningful review of your proposal. For We must acknowledge and confirm the application deadline date, to the that reason it is important to allow these periods of unavailability before Department at the following address: yourself adequate time to upload all granting the IHE an extension. To U.S. Department of Education, material as PDF files. The Department request this extension or to confirm our Application Control Center, Attention: will not convert material from other acknowledgment of any system (CFDA Number 84.022A), LBJ Basement formats to PDF. unavailability, an IHE may contact Level 1, 400 Maryland Avenue SW., • Student transcripts must be either (1) the person listed under FOR Washington, DC 20202–4260. submitted electronically through the G5 FURTHER INFORMATION CONTACT in The IHE must show proof of mailing system. section VII of this notice or (2) the e- consisting of one of the following: • Both the IHE’s and the student Grants help desk at 1–888–336–8930. If (1) A legibly dated U.S. Postal Service applicant’s electronic applications must G5 is unavailable due to technical postmark. comply with any page limit problems with the system and, (2) A legible mail receipt with the requirements described in this notice. therefore, the application deadline is date of mailing stamped by the U.S. • Prior to submitting your electronic extended, an email will be sent to all Postal Service. application, you may wish to print a registered users who have initiated a G5 (3) A dated shipping label, invoice, or copy of it for your records. application. Extensions referred to in receipt from a commercial carrier. • After the individual student this section apply only to the (4) Any other proof of mailing applicant electronically submits his or unavailability of the G5 system. acceptable to the Secretary of the U.S. her application to the student’s IHE, the Exception to Electronic Submission Department of Education. student will receive an automatic Requirement: An IHE qualifies for an If the IHE mails its application acknowledgment. After a person exception to the electronic submission through the U.S. Postal Service, we do submits a reference electronically, he or requirement, and may submit its not accept either of the following as she will receive an online confirmation. application in paper format, if the IHE proof of mailing: After the applicant IHE submits its is unable to submit an application (1) A private metered postmark. application, including all eligible through G5 because— (2) A mail receipt that is not dated by individual student applications, to the • The IHE or a student applicant does the U.S. Postal Service. Department, the applicant IHE will not have access to the Internet; or • The IHE or a student applicant does Note: The U.S. Postal Service does not receive an automatic acknowledgment uniformly provide a dated postmark. Before that will include a unique PR/Award not have the capacity to upload large relying on this method, the IHE should check number for the IHE’s application. documents to G5; and with its local post office. • Within three working days after • No later than two weeks before the submitting its electronic application— application deadline date (14 calendar We will not consider applications (1) Print SF 424 from G5; days or, if the fourteenth calendar day postmarked after the application (2) The applicant IHE’s Authorizing before the application deadline date deadline date. Representative must sign this form; falls on a Federal holiday, the next c. Submission of Paper Applications (3) Place the PR/Award number in the business day following the Federal by Hand Delivery. upper right hand corner of the hard- holiday), the IHE mails or faxes a If an IHE qualifies for an exception to copy signature page of the SF 424; and written statement to the Department, the electronic submission requirement, (4) Fax the signed SF 424 to the explaining which of the two grounds for the IHE (or a courier service) may Application Control Center at (202) an exception prevents the IHE from deliver its paper application to the 245–6272. using the Internet to submit its Department by hand. The IHE must • We may request that you provide us application. If an IHE mails a written deliver the original and two copies of original signatures on other forms at a statement to the Department, it must be the application, by hand, on or before later date. postmarked no later than two weeks the application deadline date, to the Application Deadline Date Extension before the application deadline date. If Department at the following address: in Case of System Unavailability: If an an IHE faxes its written statement to the U.S. Department of Education, IHE is prevented from electronically Department, we must receive the faxed Application Control Center, Attention: submitting its application on the statement no later than two weeks (CFDA Number 84.022A), 550 12th application deadline date because the before the application deadline date. Street SW., Room 7039, Potomac Center G5 system is unavailable, we will grant Address and mail or fax this Plaza, Washington, DC 20202–4260. the IHE an extension until 4:30:00 p.m., statement to: Pamela J. Maimer, Ph.D., The Application Control Center Washington, DC time, the following U.S. Department of Education, 400 accepts hand deliveries daily between business day to enable the IHE to Maryland Ave. SW., Room 3E207, 8:00:00 a.m. and 4:30:00 p.m., transmit its application electronically, Washington, DC 20202. Telephone: Washington, DC time, except Saturdays, by mail, or by hand delivery. We will (202) 502–7675 or by email: ddra@ Sundays, and Federal holidays. grant this extension if— ed.gov. Note for Mail or Hand Delivery of (1) The IHE is a registered user of the The IHE’s paper application must be Paper Applications: If an IHE mails or G5 system and the IHE has initiated an submitted in accordance with the mail hand delivers its application to the electronic application for this or hand delivery instructions described Department— competition; and in this notice. (1) The IHE must indicate on the (2) (a) The G5 system is unavailable b. Submission of Paper Applications envelope and—if not provided by the for 60 minutes or more between the by Mail. Department—in Item 11 of the SF 424 hours of 8:30 a.m. and 3:30 p.m., If an IHE qualifies for an exception to the CFDA number, including suffix Washington, DC time, on the the electronic submission requirement, letter, if any, of the competition under application deadline date; or the IHE may mail (through the U.S. which the IHE is submitting its (b) G5 is unavailable for any period of Postal Service or a commercial carrier) application; and time between 3:30 p.m. and 4:30:00 its application to the Department. The (2) The Application Control Center p.m., Washington, DC time, on the IHE must mail the original and two will mail a notification of receipt of the application deadline date. copies of the application, on or before IHE’s grant application. If the IHE does

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not receive this grant notification within with the Fulbright-Hays DDRA (b) At the end of your project period, 15 business days from the application Fellowship Program, the candidate you must submit a final performance deadline date, the IHE should call the should immediately notify the program report, including financial information, U.S. Department of Education contact person listed under FOR FURTHER as directed by the Secretary. If you Application Control Center at (202) INFORMATION CONTACT in section VII of receive a multiyear award, you must 245–6288. this notice. If, after consultation with submit an annual performance report V. Application Review Information FUSP, we determine that FUSP has that provides the most current expended funds on the student (e.g., the performance and financial expenditure 1. General: For FY 2016, student candidate has attended the pre- information as directed by the Secretary applications are divided into seven departure orientation or was issued under 34 CFR 75.118. Grantees are categories based on the world area focus grant funds), the candidate will be required to use the electronic data of their research projects, as described deemed ineligible for an award under instrument International Resource in the absolute priority listed in this the Fulbright-Hays DDRA Fellowship Information System (IRIS) to complete notice. Language and area studies Program at that time. the final report. The Secretary may also experts in discrete world area-based 4. Risk Assessment and Special require more frequent performance panels will review the student Conditions: Consistent with 2 CFR reports under 34 CFR 75.720(c). For applications. Each panel reviews, 200.205, before awarding grants under specific requirements on reporting, scores, and ranks its applications this program the Department conducts a please go to www.ed.gov/fund/grant/ separately from the applications review of the risks posed by applicants. apply/appforms/appforms.html. assigned to the other world area panels. Under 2 CFR 3474.10, the Secretary may 4. Performance Measures: Under the However, all fellowship applications impose special conditions and, in Government Performance and Results will be ranked together from the highest appropriate circumstances, high-risk Act of 1993, the objective for the to lowest score for funding purposes. conditions on a grant if the applicant or Fulbright-Hays DDRA Fellowship 2. Selection Criteria: The selection grantee is not financially stable; has a Program is to provide grants to colleges criteria for this competition are from the history of unsatisfactory performance; and universities to fund individual regulations for this program in 34 CFR has a financial or other management doctoral students to conduct research in 662.21 and are listed in the application other countries in modern foreign package. system that does not meet the standards 3. Review and Selection Process: We in 2 CFR part 200, subpart D; has not languages and area studies for periods of remind potential applicants that in fulfilled the conditions of a prior grant; 6 to 12 months. reviewing applications in any or is otherwise not responsible. The Department will use the following measures to evaluate its discretionary grant competition, the VI. Award Administration Information Secretary may consider, under 34 CFR success in meeting this objective: 75.217(d)(3), the past performance of the 1. Award Notices: If a student DDRA GPRA Measure 1: The applicant in carrying out a previous application is successful, we notify the percentage of DDRA fellows who award, such as the applicant’s use of IHE’s U.S. Representative and U.S. increased their foreign language scores funds, achievement of project Senators and send the IHE a Grant in speaking, reading, and/or writing by objectives, and compliance with grant Award Notification (GAN); or we may at least one proficiency level. conditions. The Secretary may also send the IHE an email containing a link DDRA GPRA Measure 2: The consider whether the applicant failed to to access an electronic version of the percentage of DDRA fellows who submit a timely performance report or GAN. We may notify the IHE informally, complete their degree in their program submitted a report of unacceptable also. of study within four years of receipt of quality. If a student application is not the fellowship. In addition, in making a competitive evaluated or not selected for funding, DDRA GPRA Measure 3: The grant award, the Secretary requires we notify the IHE. percentage of DDRA fellows who found various assurances including those 2. Administrative and National Policy employment that utilized their language applicable to Federal civil rights laws Requirements: We identify and area studies skills within eight that prohibit discrimination in programs administrative and national policy years of receiving their award. or activities receiving Federal financial requirements in the application package DDRA GPRA Measure 4: Efficiency assistance from the Department of and reference these and other Measure—The cost per DDRA fellow Education (34 CFR 100.4, 104.5, 106.4, requirements in the Applicable who found employment that utilized 108.8, and 110.23). Regulations section of this notice. their language and area studies skills Under 34 CFR 662.22(b), no applicant We reference the regulations outlining within eight years. may receive grants from the Fulbright the terms and conditions of an award in The information provided by grantees US Student Program (FUSP) and the the Applicable Regulations section of in their performance report submitted Fulbright-Hays DDRA Fellowship this notice and include these and other via IRIS will be the source of data for Program concurrently. Once a candidate specific conditions in the GAN. The this measure. Reporting screens for has accepted an award from FUSP and GAN also incorporates the approved institutions and fellows may be viewed FUSP has expended funds on the application as part of the binding at: student, the student is then ineligible commitments under the grant. http://iris.ed.gov/iris/pdfs/DDRA_ for a grant under the Fulbright-Hays 3. Reporting: (a) If you apply for a director.pdf. DDRA Fellowship Program. A student grant under this competition, you must http://iris.ed.gov/iris/pdfs/DDRA_ applying for a grant under the Fulbright- ensure that you have in place the fellow.pdf. Hays DDRA Fellowship Program must necessary processes and systems to VII. Agency Contact indicate on the application if the comply with the reporting requirements student has currently applied for a in 2 CFR part 170 should you receive FOR FURTHER INFORMATION CONTACT: FUSP grant. If, at any point, the funding under the competition. This Pamela J. Maimer, Ph.D., International candidate accepts a FUSP award prior to does not apply if you have an exception and Foreign Language Education, U.S. being notified of the candidate’s status under 2 CFR 170.110(b). Department of Education, 400 Maryland

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Ave. SW., Room 3E207, Washington, DC DATES: Comments, protests, or motions above address in accordance with FERC 20202. Telephone: (202) 453–6891 or by to intervene must be submitted on or Rule 214 (18 CFR 385.214). Five copies email: [email protected]. before April 21, 2016. of such comments, protests, or motions If you use a TDD or a TTY, call the ADDRESSES: Comments, protests, to intervene should be sent to the FRS, toll free, at 1–800–877–8339. motions to intervene, or requests for address provided above on or before the If you request an application from ED more information should be addressed date listed above. Pubs, be sure to identify this program as to: Office of Electricity Delivery and Comments and other filings follows: CFDA number 84.022A. Energy Reliability, Mail Code: OE–20, concerning TEM’s application to export electric energy to Mexico should be VIII. Other Information U.S. Department of Energy, 1000 Independence Avenue SW., clearly marked with OE Docket No. EA– Accessible Format: Individuals with Washington, DC 20585–0350. Because 417. An additional copy is to be disabilities can obtain this document of delays in handling conventional mail, provided to Norma Iacovo, Tenaska and a copy of the application package in it is recommended that documents be Power Services Co., 1701 E. Lamar an accessible format (e.g., braille, large transmitted by overnight mail, by Blvd., Suite 100, Arlington, TX 76006 print, audiotape, or compact disc) on electronic mail to Electricity.Exports@ and Neil Levy, 1700 Pennsylvania Ave. request to the program contact person hq.doe.gov, or by facsimile to 202–586– NW., Washington, DC 20006. listed under FOR FURTHER INFORMATION 8008. A final decision will be made on this CONTACT in section VII of this notice. application after the environmental SUPPLEMENTARY INFORMATION: Exports of impacts have been evaluated pursuant Electronic Access to This Document: electricity from the United States to a to DOE’s National Environmental Policy The official version of this document is foreign country are regulated by the Act Implementing Procedures (10 CFR the document published in the Federal Department of Energy (DOE) pursuant to part 1021) and after a determination is Register. Free Internet access to the sections 301(b) and 402(f) of the made by DOE that the proposed action official edition of the Federal Register Department of Energy Organization Act will not have an adverse impact on the and the Code of Federal Regulations is (42 U.S.C. 7151(b), 7172(f)) and require sufficiency of supply or reliability of the available via the Federal Digital System authorization under section 202(e) of U.S. electric power supply system. at: www.gpo.gov/fdsys. At this site you the Federal Power Act (16 U.S.C. can view this document, as well as all Copies of this application will be 824a(e)). made available, upon request, for public other documents of this Department On March 10, 2016, DOE received an inspection and copying at the address published in the Federal Register, in application from TEM for authority to provided above, by accessing the text or PDF. To use PDF you must have transmit electric energy from the United program Web site at http://energy.gov/ Adobe Acrobat Reader, which is States to Mexico as a power marketer for node/11845, or by emailing Angela Troy available free at the site. a five-year term using existing at [email protected]. You may also access documents of the international transmission facilities. Department published in the Federal TEM will be submitting an application Issued in Washington, DC, on March 14, Register by using the article search requesting the Federal Energy 2016. feature at: www.federalregister.gov. Regulatory Commission (FERC) Christopher Lawrence, Specifically, through the advanced authorization to make wholesale power Electricity Policy Analyst, Office of Electricity search feature at this site, you can limit sales at market-based rates. TEM will Delivery and Energy Reliability. your search to documents published by also register with the Public Utility [FR Doc. 2016–06400 Filed 3–21–16; 8:45 am] the Department. Commission of Texas (the PUCT). BILLING CODE 6450–01–P Dated: March 17, 2016. In its application, TEM states that it Lynn B. Mahaffie, does not own or control any electric Deputy Assistant Secretary for Policy, generation or transmission facilities, DEPARTMENT OF ENERGY Planning, and Innovation, Delegated the and it does not have a franchised service Duties of Assistant Secretary for area. The electric energy that TEM Extension of Comment Period; Postsecondary Education. proposes to export to Mexico would be Invitation for Public Comment To [FR Doc. 2016–06485 Filed 3–21–16; 8:45 am] surplus energy purchased from third Inform the Design of a Consent-Based Siting Process for Nuclear Waste BILLING CODE 4000–01–P parties such as electric utilities and Federal power marketing agencies Storage and Disposal Facilities pursuant to voluntary agreements. The AGENCY: Fuel Cycle Technologies, Office existing international transmission of Nuclear Energy, Department of DEPARTMENT OF ENERGY facilities to be utilized by the Applicant Energy. have previously been authorized by [OE Docket No. EA–417] ACTION: Notice of extension of comment Presidential permits issued pursuant to period. Application to Export Electric Energy; Executive Order 10485, as amended, SUMMARY: Tenaska Energı´a de Mexico, S. de R.L. and are appropriate for open access The U.S Department of de C.V. transmission by third parties. Energy (DOE) is extending the comment Procedural Matters: Any person period provided in the notice entitled AGENCY: Office of Electricity Delivery desiring to be heard in this proceeding ‘‘Invitation for Public Comment to and Energy Reliability, DOE. should file a comment or protest to the Inform the Design of a Consent-Based ACTION: Notice of application. application at the address provided Siting Process for Nuclear Waste Storage above. Protests should be filed in and Disposal Facilities’’ that appeared SUMMARY: Tenaska Energı´a de Mexico, accordance with Rule 211 of the Federal in the Federal Register of December 23, S. de R.L. de C.V. (Applicant or TEM) Energy Regulatory Commission’s (FERC) 2015. That notice announced that DOE has applied for authority to transmit Rules of Practice and Procedures (18 is planning to design a consent-based electric energy from the United States to CFR 385.211). Any person desiring to siting process to establish an integrated Mexico pursuant to section 202(e) of the become a party to these proceedings waste management system to transport, Federal Power Act. should file a motion to intervene at the store, and dispose of spent nuclear fuel

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and high-level radioactive waste and included at the end of your response to h. Applicant Contact: Tamara Jahnke, requested comments by June 15, 2016. this IPC as ‘‘Additional Comments.’’ Grand River Dam Authority, 226 West DOE is extending the comment period DOE would appreciate early input in Dwain Willis Ave, P.O. Box 409, Vinita, to July 31, 2016. order to identify initial interest and OK 74301; telephone (918) 256–5545. DATES: DOE is extending the comment concerns, as well as any early i. FERC Contact: B. Peter Yarrington, period for the ‘‘Invitation for Public opportunities. Amended or revised telephone (202) 502–6129 and email Comment to Inform the Design of a inputs from commenters are also [email protected]; or Linda Consent-Based Siting Process for welcome throughout the comment Stewart, telephone (202) 502–6680 and Nuclear Waste Storage and Disposal period to help DOE develop this email linda.stewart@ferc. Facilities’’ to July 31, 2016. process. Comments received after the j. Deadline for filing comments, ADDRESSES: You may submit questions closing date will be considered as the motions to intervene, and protests is 15 or comments by any of the following planning process progresses; however, days from the issuance date of this methods: the DOE is only able to ensure notice by the Commission. The Email: Responses may be provided by consideration of comments received on Commission strongly encourages email to consentbasedsiting@ or before the closing date as the initial electronic filing. Please file comments hq.doe.gov. Please include ‘‘Response to phase of the consent based siting using the Commission’s eFiling system IPC’’ in the subject line. process is developed. Subsequent at http://www.ferc.gov/docs-filing/ Mail: Responses may be provided by comments and input will also be efiling.asp. Commenters can submit mail to the following address: U.S. welcome as DOE views this as a core brief comments up to 6,000 characters, Department of Energy, Office of Nuclear component of a phased and adaptive without prior registration, using the Energy, Response to IPC, 1000 consent-based siting process. eComment system at http:// Independence Ave. SW., Washington, Privacy Act: Data collected via the www.ferc.gov/docs-filing/ DC 20585. mechanisms listed above will not be ecomment.asp. You must include your Fax: Responses may be faxed to 202– protected from the public view in any name and contact information at the end 586–0544. Please include ‘‘Response to way. of your comments. For assistance, IPC’’ on the fax cover page. Issued in Washington, DC, on March 9, please contact FERC Online Support at Online: Responses will be accepted 2016. [email protected], (866) online at www.regulations.gov. Andrew Richards, 208–3676 (toll free), or (202) 502–8659 FOR FURTHER INFORMATION CONTACT: Chief of Staff, Office of Nuclear Energy, (TTY). In lieu of electronic filing, please Requests for further information should Department of Energy. send a paper copy to: Secretary, Federal be sent to consentbasedsiting@ [FR Doc. 2016–05797 Filed 3–21–16; 8:45 am] Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426. hq.doe.gov. Please include ‘‘Question on BILLING CODE 6450–01–P IPC’’ in the subject line. The first page of any filing should SUPPLEMENTARY INFORMATION: include the project number (P–1494– DEPARTMENT OF ENERGY 433). Submitting Comments k. Description of Request: On March Instructions: Submit comments via Federal Energy Regulatory 15, 2016, GRDA filed with the any of the mechanisms set forth in the Commission Commission: (1) A draft amendment ADDRESSES application to permanently modify the section above. Respondents [Project No. 1494–433] are requested to provide the following reservoir elevation rule curve under information at the beginning of their Grand River Dam Authority; Notice of Article 401 of the Pensacola Project for response to this IPC: Request To Reduce Comment Period Grand Lake O’ the Cherokees, (2) a State, tribal, community, organization, From 60 to 30 Days on Draft request for a temporary variance public or individual name; Amendment Application and Soliciting contained in the draft amendment State, tribal, community, organization, Comments, Motions To Intervene, and application, and (3) a waiver request to public or individual point of contact; Protests reduce from 60 to 30 days the comment and period for resource agencies, Indian Point of contact’s address, phone Take notice that the following tribes, and other stakeholders to provide number, and email address. hydroelectric application has been filed comments on the draft amendment If an email or phone number is with the Commission and is available application mentioned above. The included, it will allow the DOE to for public inspection: Commission’s regulations at 4.38(a)(7) contact the commenter if questions or a. Application Type: Request to require GRDA to provide resource clarifications arise. No responses will be reduce the comment period from 60 to agencies, Indian tribes, and other provided to commenters in regards to 30 days for a draft amendment stakeholders 60 days to provide the disposition of their comments. All application to permanently modify the comments on the above draft comments will be officially recorded reservoir elevation rule curve under amendment application. GRDA requests without change or edit, including any Article 401 of the project license. Commission approval of a 30-day personal information provided. Personal b. Project No: 1494–433. comment period instead to expedite the information (other than name) will be c. Date Filed: March 15, 2016. Commission’s review of any final protected from public disclosure upon d. Applicant: Grand River Dam application filed with the Commission. request. Authority (GRDA). This notice solicits comments, Please identify your comments as e. Name of Project: Pensacola motions to intervene, and protests on responding to a specific question posed Hydroelectric Project. GRDA’s request to reduce the comment in the Invitation for Public Comment, if f. Location: The project is located on period from 60 to 30 days as discussed possible. Respondents may answer as the Grand River in Craig, Delaware, above. Comments on the draft many or as few questions as they wish. Mayes, and Ottawa Counties, Oklahoma. application and temporary variance Any additional comments that do not g. Filed Pursuant to: Federal Power request contained in the draft address a particular question should be Act, 16 U.S.C. 791(a)–825(r). application should be filed directly with

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GRDA in accordance with instructions the applicant. A copy of any protest or Accession Number: 20160316–5063. in the draft application. motion to intervene must be served Comments Due: 5 p.m. ET 4/6/16. l. Locations of the Application: A upon each representative of the Take notice that the Commission copy of the application is available for applicant specified in the particular received the following exempt inspection and reproduction at the application. If an intervener files wholesale generator filings: Commission’s Public Reference Room, comments or documents with the Docket Numbers: EG16–74–000. located at 888 First Street NE., Room Commission relating to the merits of an Applicants: Ninnescah Wind Energy, 2A, Washington, DC 20426, or by calling issue that may affect the responsibilities LLC. (202) 502–8371. This filing may also be of a particular resource agency, they Description: Notice of Self- viewed on the Commission’s Web site at must also serve a copy of the document Certification of Exempt Wholesale http://www.ferc.gov/docs-filing/ on that resource agency. A copy of all Generator Status of Ninnescah Wind elibrary.asp. Enter the docket number other filings in reference to this Energy, LLC. excluding the last three digits in the application must be accompanied by Filed Date: 3/15/16. docket number field to access the proof of service on all persons listed in Accession Number: 20160315–5140. document. You may also register online the service list prepared by the Comments Due: 5 p.m. ET 4/5/16. at http://www.ferc.gov/docs-filing/ Commission in this proceeding, in esubscription.asp to be notified via Take notice that the Commission accordance with 18 CFR 4.34(b) and received the following electric rate email of new filings and issuances 385.2010. related to this or other pending projects. filings: For assistance, call 1–866–208–3676 or Dated: March 16, 2016. Docket Numbers: ER14–474–006. email [email protected], for Nathaniel J. Davis, Sr., Applicants: Sempra Generation, LLC. TTY, call (202) 502–8659. A copy is also Deputy Secretary. Description: Notice of Non-Material available for inspection and [FR Doc. 2016–06370 Filed 3–21–16; 8:45 am] Change in Status of Sempra Generation, reproduction at the address in item (h) BILLING CODE 6717–01–P LLC. above. Filed Date: 3/15/16. m. Individuals desiring to be included Accession Number: 20160315–5159. on the Commission’s mailing list should DEPARTMENT OF ENERGY Comments Due: 5 p.m. ET 4/5/16. so indicate by writing to the Secretary Docket Numbers: ER15–1905–003. of the Commission. Federal Energy Regulatory Applicants: Amazon Energy, LLC. n. Comments, Protests, or Motions to Commission Description: Compliance filing: Intervene: Anyone may submit Amazon Energy, LLC Tariff Amendment Combined Notice of Filings #2 comments, a protest, or a motion to to be effective 3/16/2016. intervene in accordance with the Take notice that the Commission Filed Date: 3/15/16. requirements of Rules of Practice and received the following electric corporate Accession Number: 20160315–5000. Procedure, 18 CFR 385.210, .211, .214. filings: Comments Due: 5 p.m. ET 4/5/16. In determining the appropriate action to Docket Numbers: EC16–70–000. Docket Numbers: ER16–207–002. take, the Commission will consider all Applicants: Portsmouth Genco, LLC, Applicants: Dynegy Oakland, LLC. protests or other comments filed, but Virginia Renewable Power— Description: Tariff Amendment: only those who file a motion to Portsmouth, LLC. Settlement Agreement and Request for intervene in accordance with the Description: Supplement to February Expedited Treatment to be effective 1/1/ Commission’s Rules may become a 12, 2016 Application for Authorization 2016. party to the proceeding. Any comments, for Disposition of Jurisdictional Filed Date: 3/14/16. protests, or motions to intervene must Facilities of Portsmouth Genco, LLC, et Accession Number: 20160314–5227. be received on or before the specified al. Comments Due: 5 p.m. ET 4/4/16. comment date for the particular Filed Date: 3/16/16. application. Docket Numbers: ER16–895–001. o. Filing and Service of Responsive Accession Number: 20160316–5133. Applicants: RDAF Energy Solutions, Documents: Any filing must (1) bear in Comments Due: 5 p.m. ET 3/28/16. LLC. all capital letters the title Docket Numbers: EC16–84–000. Description: Tariff Amendment: ‘‘COMMENTS,’’ ‘‘PROTEST,’’ or Applicants: Kingbird Solar A, LLC, Amendment of RDAF Baseline Filing ‘‘MOTION TO INTERVENE’’ as Kingbird Solar B, LLC. For MBR Authority and Granting applicable; (2) set forth in the heading Description: Supplement to March 1, Waivers to be effective 3/15/2016. the name of the applicant and the 2016 Application for Authorization Filed Date: 3/15/16. project number of the application to Under Section 203 of the Federal Power Accession Number: 20160315–5073. which the filing responds; (3) furnish Act of Kingbird Solar A, LLC, et al. Comments Due: 5 p.m. ET 4/5/16. the name, address, and telephone Filed Date: 3/16/16. Docket Numbers: ER16–904–001. number of the person protesting or Accession Number: 20160316–5135. Applicants: Smith Creek Hydro, LLC. intervening; and (4) otherwise comply Comments Due: 5 p.m. ET 3/28/16. Description: Amendment to February with the requirements of 18 CFR Docket Numbers: EC16–87–000. 5, 2016 and March 4, 2016 Smith Creek 385.2001 through 385.2005. All Applicants: Judith Gap Energy LLC, Hydro, LLC tariff filings. comments, motions to intervene, or Spring Canyon Energy LLC, Wolverine Filed Date: 3/16/16. protests must set forth their evidentiary Creek Energy LLC, Wolverine Creek Accession Number: 20160316–5076. basis and otherwise comply with the Goshen Interconnection LLC. Comments Due: 5 p.m. ET 3/23/16. requirements of 18 CFR 4.34(b). All Description: Application for Docket Numbers: ER16–1129–001. comments, motions to intervene, or Authorization under Section 203 of the Applicants: VPI Enterprises, Inc. protests should relate to project works Federal Power Act and Request for Description: Tariff Amendment: which are the subject of the proposed Waivers and Expedited Action of Judith Supplement to Application for Order amendment. Agencies may obtain Gap Energy LLC, et al. Accepting Initial Market-Based Rate copies of the application directly from Filed Date: 3/16/16. Tariff to be effective 3/11/2016.

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Filed Date: 3/16/16. Comments Due: 5 p.m. ET 4/5/16. Applicants: AEP Texas North Accession Number: 20160316–5098. Docket Numbers: ER16–1193–000. Company. Comments Due: 5 p.m. ET 4/6/16. Applicants: Western Antelope Blue Description: § 205(d) Rate Filing: Docket Numbers: ER16–1130–001. Sky Ranch A LLC. TNC-Southwest Texas EC-Golden Applicants: DifWind Farms Limited I. Description: § 205(d) Rate Filing: Spread EC IA Fourth Amend & Restated Description: Tariff Amendment: Western Antelope Blue Sky Ranch A to be effective 3/1/2016. Supplement to Application for Order LLC Amended SFA to be effective 3/17/ Filed Date: 3/16/16. Accepting Initial Market-Based Rate 2016. Accession Number: 20160316–5144. Tariff to be effective 3/11/2016. Filed Date: 3/16/16. Comments Due: 5 p.m. ET 4/6/16. Filed Date: 3/16/16. Accession Number: 20160316–5000. Docket Numbers: ER16–1206–000. Accession Number: 20160316–5097. Comments Due: 5 p.m. ET 4/6/16. Applicants: Northern States Power Comments Due: 5 p.m. ET 4/6/16. Docket Numbers: ER16–1194–000. Company, a Wisconsin corporation, Docket Numbers: ER16–1131–001. Applicants: Sierra Solar Greenworks Northern States Power Company, a Applicants: DifWind Farms Limited LLC. Minnesota corporation. II. Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Description: Tariff Amendment: Sierra Solar Greenworks LLC SFA to be 20160316_IA_Annual to be effective 1/ Supplement to Application for Order effective 3/17/2016. 1/2016. Accepting Initial Market-Based Rate Filed Date: 3/16/16. Filed Date: 3/16/16. Tariff to be effective 3/11/2016. Accession Number: 20160316–5001. Filed Date: 3/16/16. Comments Due: 5 p.m. ET 4/6/16. Accession Number: 20160316–5145. Comments Due: 5 p.m. ET 4/6/16. Accession Number: 20160316–5096. Docket Numbers: ER16–1195–000. Comments Due: 5 p.m. ET 4/6/16. Applicants: Central Antelope Dry Docket Numbers: ER16–1207–000. Docket Numbers: ER16–1132–001. Ranch C LLC. Applicants: Michigan Electric Applicants: DifWind Farms Limited Description: Baseline eTariff Filing: Transmission Company, LLC. V. Central Antelope Dry Ranch C LLC SFA Description: § 205(d) Rate Filing: Description: Tariff Amendment: to be effective 3/17/2016. Filing of Third Amended and Restated Supplement to Application for Order Filed Date: 3/16/16. Service Agreement to be effective 6/1/ Accepting Initial Market-Based Rate Accession Number: 20160316–5002. 2016. Tariff to be effective 3/11/2016. Docket Numbers: ER16–1201–000. Filed Date: 3/16/16. Filed Date: 3/16/16. Applicants: Southwest Power Pool, Accession Number: 20160316–5149. Accession Number: 20160316–5094. Inc. Comments Due: 5 p.m. ET 4/6/16. Comments Due: 5 p.m. ET 4/6/16. Description: § 205(d) Rate Filing: 3179 Docket Numbers: ER16–1208–000. Docket Numbers: ER16–1189–000. Transource Missouri & OPPD Applicants: Idaho Power Company. Applicants: RE Mustang 3 LLC. Interconnection Agreement to be Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: RE effective 2/18/2016. Attachment K Version Correction to be Mustang 3 LLC Certificate of Filed Date: 3/16/16. effective 1/1/2016. Concurrence for LGIA Co-Tenancy Accession Number: 20160316–5100. Filed Date: 3/16/16. Agreement to be effective 4/26/2016. Comments Due: 5 p.m. ET 4/6/16. Accession Number: 20160316–5151. Filed Date: 3/15/16. Docket Numbers: ER16–1202–000. Comments Due: 5 p.m. ET 4/6/16. Accession Number: 20160315–5116. Applicants: The Energy Group of Comments Due: 5 p.m. ET 4/5/16. America, Inc. The filings are accessible in the Docket Numbers: ER16–1190–000. Description: Baseline eTariff Filing: Commission’s eLibrary system by Applicants: RE Mustang 3 LLC. MBR Application to be effective 5/15/ clicking on the links or querying the Description: § 205(d) Rate Filing: RE 2016. docket number. Mustang 3 LLC Certificate of Filed Date: 3/16/16. Any person desiring to intervene or Concurrence for Shared Facilities Accession Number: 20160316–5102. protest in any of the above proceedings Agreement to be effective 4/26/2016. Comments Due: 5 p.m. ET 4/6/16. must file in accordance with Rules 211 Filed Date: 3/15/16. Docket Numbers: ER16–1203–000. and 214 of the Commission’s Accession Number: 20160315–5117. Applicants: RE Astoria LLC. Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 4/5/16. Description: § 205(d) Rate Filing: 385.214) on or before 5:00 p.m. Eastern Astoria-Willow Springs Shared time on the specified comment date. Docket Numbers: ER16–1191–000. Protests may be considered, but Applicants: RE Mustang 4 LLC. Facilities Agreement to be effective 3/ 27/2016. intervention is necessary to become a Description: § 205(d) Rate Filing: RE party to the proceeding. Mustang 4 LLC Certificate of Filed Date: 3/16/16. eFiling is encouraged. More detailed Concurrence for LGIA Co-Tenancy Accession Number: 20160316–5138. information relating to filing Agreement to be effective 4/26/2016. Comments Due: 5 p.m. ET 4/6/16. requirements, interventions, protests, Filed Date: 3/15/16. Docket Numbers: ER16–1204–000. service, and qualifying facilities filings Accession Number: 20160315–5118. Applicants: Wisconsin Public Service can be found at: http://www.ferc.gov/ Comments Due: 5 p.m. ET 4/5/16. Corporation. docs-filing/efiling/filing-req.pdf. For Description: § 205(d) Rate Filing: Docket Numbers: ER16–1192–000. other information, call (866) 208–3676 Wisconsin Public Service Corporation’s Applicants: RE Mustang 4 LLC. (toll free). For TTY, call (202) 502–8659. Description: § 205(d) Rate Filing: RE Annual PEB/PBOP Filing to be effective Mustang 4 LLC Certificate of 4/1/2016. Dated: March 16, 2016. Concurrence for Shared Facilities Filed Date: 3/16/16. Nathaniel J. Davis, Sr., Agreement to be effective 4/26/2016. Accession Number: 20160316–5142. Deputy Secretary. Filed Date: 3/15/16. Comments Due: 5 p.m. ET 4/6/16. [FR Doc. 2016–06369 Filed 3–21–16; 8:45 am] Accession Number: 20160315–5119. Docket Numbers: ER16–1205–000. BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY Docket Numbers: ER13–826–001; Comments Due: 5 p.m. ET 4/4/16. ER14–722–001. Docket Numbers: ER16–1154–000. Federal Energy Regulatory Applicants: RPA Energy, Inc., Utility Applicants: Parrey, LLC. Commission Expense Reduction, LLC. Description: Initial rate filing: Market- Description: Notice of Non-Material Based Rate Tariff to be effective 4/1/ Combined Notice of Filings #1 Change of RPA Energy, Inc. and Utility 2016. Take notice that the Commission Expense Reduction, LLC. Filed Date: 3/14/16. received the following electric corporate Filed Date: 3/11/16. Accession Number: 20160314–5125. filings: Accession Number: 20160311–5230. Comments Due: 5 p.m. ET 4/4/16. Comments Due: 5 p.m. ET 4/1/16. Docket Numbers: EC16–53–000. Docket Numbers: ER16–1156–000. Applicants: South Central MCN LLC. Docket Numbers: ER15–1344–003. Applicants: Kingbird Solar A, LLC. Description: Amendment to December Applicants: PJM Interconnection, Description: Compliance filing: 22, 2015 Application for Authorization L.L.C. Supplement to Application for Order Under Section 203 of the Federal Power Description: Compliance filing: Accepting Initial Market-Based Rate Act of South Central MCN LLC. Compliance Filing per 2/12/16 order RE: Tariff to be effective 1/12/2016. Filed Date: 3/11/16. OATT Schedule 12-Appendix A to be Filed Date: 3/14/16. Accession Number: 20160311–5232. effective 2/16/2016. Accession Number: 20160314–5145. Comments Due: 5 p.m. ET 4/1/16. Filed Date: 3/14/16. Comments Due: 5 p.m. ET 4/4/16. Docket Numbers: EC16–86–000. Accession Number: 20160314–5074. Docket Numbers: ER16–1157–000. Applicants: Passadumkeag Windpark, Comments Due: 5 p.m. ET 4/4/16. Applicants: Kingbird Solar B, LLC. LLC. Docket Numbers: ER16–1147–000. Description: Compliance filing: Description: Application for Applicants: Southern California Supplement to Application for Order Authorization of Disposition of Edison Company. Accepting Initial Market-Based Rate Jurisdictional Facilities Under Section Description: Section 205(d) Rate Tariff to be effective 1/12/2016. 203 of the FPA and Requests for Filing: GIA & DSA San Gorgonio Filed Date: 3/14/16. Waivers, Expedited Action, and Westwinds II et al. Altwind Project to be Accession Number: 20160314–5147. Privileged Treatment of Passadumkeag effective 3/11/2016. Comments Due: 5 p.m. ET 4/4/16. Windpark, LLC. Filed Date: 3/11/16. Docket Numbers: ER16–1161–000. Filed Date: 3/11/16. Accession Number: 20160311–5227. Applicants: NorthWestern Accession Number: 20160311–5239. Comments Due: 5 p.m. ET 4/1/16. Corporation. Comments Due: 5 p.m. ET 4/1/16. Docket Numbers: ER16–1148–000. Description: Section 205(d) Rate Take notice that the Commission Applicants: Tenaska Energı´a de Filing: SA 776—Montana DOT Utilities received the following exempt Mexico, S. de R. L. d. Agreement—Bonner 161kV Relocate to wholesale generator filings: Description: Baseline eTariff Filing: be effective 3/15/2016. Docket Numbers: EG16–71–000. Application for Market-Based Rate Filed Date: 3/14/16. Applicants: Hidalgo Wind Farm LLC. Authorization and Request for Waivers Accession Number: 20160314–5178. Description: Notice of Self- to be effective 3/12/2016. Comments Due: 5 p.m. ET 4/4/16. Certification of Exempt Wholesale Filed Date: 3/11/16. Docket Numbers: ER16–1162–000. Generator Status of Hidalgo Wind Farm Accession Number: 20160311–5228. Applicants: Midcontinent LLC. Comments Due: 5 p.m. ET 4/1/16. Independent System Operator, Inc. Filed Date: 3/14/16. Docket Numbers: ER16–1150–000. Description: Section 205(d) Rate Accession Number: 20160314–5049. Applicants: Duke Energy Ohio, Inc., Filing: 2016–03–14_SA 2904 MS Comments Due: 5 p.m. ET 4/4/16. PJM Interconnection, L.L.C. SOLAR 3–SMEPA GIA (J473) to be Docket Numbers: EG16–72–000. Description: Section 205(d) Rate effective 3/15/2016. Applicants: Jericho Rise Wind Farm Filing: Duke Energy submits proposed Filed Date: 3/14/16. LLC. revisions to OATT to add a new Accession Number: 20160314–5222. Description: Notice Self-Certification Attachment M–2 to be effective 5/13/ Comments Due: 5 p.m. ET 4/4/16. of Exempt Wholesale Generator Status 2016. Docket Numbers: ER16–1173–000. of Jericho Rise Wind Farm LLC. Filed Date: 3/14/16. Applicants: California Power Filed Date: 3/14/16. Accession Number: 20160314–5042. Exchange Corporation. Accession Number: 20160314–5050. Comments Due: 5 p.m. ET 4/4/16. Description: Petition to Extend Comments Due: 5 p.m. ET 4/4/16. Docket Numbers: ER16–1152–000. Existing Wind-Up Charge Settlement of Take notice that the Commission Applicants: Jericho Rise Wind Farm California Power Exchange Corporation. received the following electric rate LLC. Filed Date: 3/14/16. filings: Description: Baseline eTariff Filing: Accession Number: 20160314–5292. Docket Numbers: ER13–712–011; MBR Application to be effective 5/14/ Comments Due: 5 p.m. ET 4/4/16. ER12–1504–003. 2016. Take notice that the Commission Applicants: Duke Energy Corporation, Filed Date: 3/14/16. received the following electric Cimarron Windpower II, LLC, Cimarron Accession Number: 20160314–5073. reliability filings. Wind Energy, LLC. Comments Due: 5 p.m. ET 4/4/16. Docket Numbers: RD16–4–000. Description: Errata to January 15, 2016 Docket Numbers: ER16–1153–000. Applicants: North American Electric Notification of Non-Material Change in Applicants: Breadbasket LLC. Reliability Corporation. Status of Duke Energy Corporation MBR Description: Baseline eTariff Filing: Description: Petition of the North Sellers. Breadbasket LLC MBR Tariff American Electric Reliability Filed Date: 3/11/16. Application to be effective 5/12/2016. Corporation for Approval of Proposed Accession Number: 20160311–5258. Filed Date: 3/14/16. Reliability Standard FAC–003–4 Project. Comments Due: 5 p.m. ET 4/1/16. Accession Number: 20160314–5099. Filed Date: 3/14/16.

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Accession Number: 20160314–5293. comments and is making this notation collections of information, including the Comments Due: 5 p.m. ET 4/14/16. in its submittals to OMB. validity of the methodology and The filings are accessible in the DATES: Comments on the collections of assumptions used; (3) ways to enhance Commission’s eLibrary system by information are due April 21, 2016. the quality, utility and clarity of the clicking on the links or querying the ADDRESSES: Comments filed with OMB, information collections; and (4) ways to docket number. identified by the OMB Control Nos. minimize the burden of the collections Any person desiring to intervene or 1902–0058 (FERC–500) and 1902–0070 of information on those who are to protest in any of the above proceedings (FERC–542), should be sent via email to respond, including the use of automated must file in accordance with Rules 211 the Office of Information and Regulatory collection techniques or other forms of and 214 of the Commission’s Affairs: [email protected], information technology. Regulations (18 CFR 385.211 and Attention: Federal Energy Regulatory FERC–500, Application for License/ 385.214) on or before 5:00 p.m. Eastern Commission Desk Officer. The Desk Relicense and Exemption for Water time on the specified comment date. Officer may also be reached via Projects With More Than 5 Megawatt 2 Protests may be considered, but telephone at 202–395–0710. Capacity intervention is necessary to become a A copy of the comments should also party to the proceeding. be sent to the Commission, in Docket OMB Control No.: 1902–0058 eFiling is encouraged. More detailed No. IC16–4–000, by either of the Abstract: Pursuant to the Federal information relating to filing following methods: Power Act, the Commission is requirements, interventions, protests, • eFiling at Commission’s Web site: authorized to issue licenses and service, and qualifying facilities filings http://www.ferc.gov/docs-filing/ exemptions to citizens of the United can be found at: http://www.ferc.gov/ efiling.asp. States, or to any corporation organized docs-filing/efiling/filing-req.pdf. For • Mail/Hand Delivery/Courier: under the laws of United States or any other information, call (866) 208–3676 Federal Energy Regulatory Commission, State thereof, or to any State or (toll free). For TTY, call (202) 502–8659. Secretary of the Commission, 888 First municipality for the purpose of Dated: March 16, 2016. Street NE., Washington, DC 20426. constructing, operating, and Nathaniel J. Davis, Sr., Instructions: All submissions must be maintaining dams, water conduits, reservoirs, power houses, transmission Deputy Secretary. formatted and filed in accordance with submission guidelines at: http:// lines, or other project works necessary [FR Doc. 2016–06367 Filed 3–21–16; 8:45 am] www.ferc.gov/help/submission- or convenient for the development and BILLING CODE 6717–01–P guide.asp. For user assistance contact improvement of navigation and for the FERC Online Support by email at development, transmission, and DEPARTMENT OF ENERGY [email protected], or by phone utilization of power across, along, from, at: (866) 208–3676 (toll-free), or (202) or in any of the streams or other bodies Federal Energy Regulatory 502–8659 for TTY. of water over which Congress has Commission Docket: Users interested in receiving jurisdiction under its authority to automatic notification of activity in this regulate commerce with foreign nations [Docket No. IC16–4–000] docket or in viewing/downloading and among the several States, or upon comments and issuances in this docket any part of the public lands and Commission Information Collection may do so at http://www.ferc.gov/docs- reservations of the United States. Activities (FERC–500 and FERC–542); filing/docs-filing.asp. FERC–500 includes an application Consolidated Comment Request FOR FURTHER INFORMATION CONTACT: (for water projects with more than 5 AGENCY: Federal Energy Regulatory Ellen Brown may be reached by email megawatt capacity) for a hydropower Commission, Energy. at [email protected], telephone license/re-license or exemption, annual 3 ACTION: Comment request. at (202) 502–8663, and fax at (202) 273– conveyance report, and comprehensive 0873. plans. FERC–500 includes certain 4 SUMMARY: In compliance with the SUPPLEMENTARY INFORMATION: reporting requirements in 18 CFR 4, 5, requirements of the Paperwork Type of Request: Three-year extension 8, 16, 141, 154.15, and 292. Depending Reduction Act of 1995, 44 U.S.C. of the information collection on the type of application or filing, it 3506(c)(2)(A), the Federal Energy requirements for the collections may include project description, Regulatory Commission (Commission or described below with no changes to the schedule, resource allocation, project FERC) is submitting two information current reporting or recordkeeping operation, construction schedule, cost, collections (FERC–500, Application for requirements. Please note that each and financing; and an environmental License/Relicense and Exemption for collection is distinct. report. Water Projects with More than 5 Comments: Comments are invited on: After an application is filed, the Megawatt Capacity, and FERC–542, Gas (1) Whether the collections of Federal agencies with responsibilities Pipeline Rates: Rate Tracking) to the information are necessary for the proper under the Federal Power Act (FPA) and Office of Management and Budget performance of the functions of the other statutes,5 the States, Indian tribes, (OMB) for review of the information Commission, including whether the collection requirements. Any interested information will have practical utility; 2 Megawatt = MW. person may file comments directly with 3 Annual conveyance reports are filed for both (2) the accuracy of the agency’s major and minor licenses. 80% of the reports are OMB and should address a copy of estimates of the burden 1 and cost of the related to major licenses. those comments to the Commission as 4 FERC staff has not received any application explained below. The Commission 1 The Commission defines ‘‘burden’’ as the total filings pertaining to the regulations described under previously issued a Notice in the time, effort, or financial resources expended by 18 CFR 4.303 in over 20 years. It remains in 18 CFR Federal Register (80 FR 79322, 12/21/ persons to generate, maintain, retain, or disclose or and is included in FERC–500. provide information to or for a Federal agency. For 5 Statutes include the Electric Consumers 2015) and Errata Notice (81 FR 6844, 2/ further explanation of what is included in the Protection Act (ECPA), the National Environmental 9/2016) requesting public comments. information collection burden, refer to 5 Code of Policy Act (NEPA), the Endangered Species Act, the The Commission received no public Federal Regulations 1320.3. Federal Water Pollution Control Amendments of

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and other participants have major license/re-license applications or would include nearly all of the opportunities to request additional modifications for projects over 5 MW. In reporting requirements in FERC–500.6 studies and provide comments and this Notice, we are including the annual Because the requirements for an recommendations. conveyance reports (filed by industry) exemption application are largely the Submittal of the FERC–500 and comprehensive plans (filed by same as that of a license application, the application is necessary to fulfill the federal and state agencies which have license application costs are a good requirements of the FPA in order for the comprehensive plan status pursuant to estimate of the exemption application Commission to make the required 18 CFR 2.19). costs and of the overall burden of finding that the proposal is Type of Respondent: Applicants for preparing license and exemption economically, technically, and major hydropower licenses or applications for projects greater than 5 environmentally sound, and is best exemptions greater than 5 MW, and adapted to a comprehensive plan for Federal and State agencies which have MW. To estimate the total annual improving/developing a waterway or comprehensive plan status. burden, we averaged the reported waterways. Estimate of Annual Burden: license application costs for proposed In the 60-day Notice, we inadvertently Applicants for licenses are required to projects greater than 5 MW filed in included under FERC–500 only the include an estimate of their cost to fiscal years (FY) 2012 through 2015. The responses and burden associated with prepare the license application, which results are presented in the table below:

FERC–500 (APPLICATION FOR LICENSE/RELICENSE AND EXEMPTION FOR WATER PROJECTS WITH MORE THAN 5 MW CAPACITY)

Fiscal year 2012 2013 2014 2015

Number of Applications (Responses) ...... 9 7 15 2 Average Cost per Response ...... $2,059,828 $1,234,987 $3,776,864 $500,000

Total Burden Cost ...... 18,538,451 8,644,909 56,652,960 1,000,000

The average burden cost per plus benefits) of $72/hour.8 Using this The average annual burden and cost application over the period FY 2012 hourly cost estimate, the average burden (including estimates for annual through FY 2015 was approximately for each application filed from FY 2012 conveyance reports and comprehensive $2,570,797.7 We estimate a cost (salary to FY 2015 is 35,706 hours. plans) follow.9

Total Annual Total Average burden annual burden Cost per Type of filing Number of number of number of hours & cost ($) hours & total respondent respondents responses per responses per response annual ($) respondent cost ($)

(1) (2) (1) * (2) = (3) (4) (3) * (4) = (5) (5) ÷ (1)

License/Re-license (ap- 9 1 9 35,705.52 hrs.; 321,349.68 hrs.; $2,570,797.42 plication or modifica- $2,570,797.42. $23,137,176.82. tion). Annual Conveyance 10 41 1 41 3 hrs.; $216 ...... 123 hrs.; $8,856 ...... 216 Reports (under 18 CFR 141.15). Comprehensive Plans 33 1 33 1 hr.; $72 ...... 33 hrs.; $2,376 ...... 72 (under 18 CFR 2.19) 11.

Total ...... 83 ...... 83 ...... 321,505.68 hrs.; ...... $23,148,408.82.

FERC–542, Gas Pipeline Rates: Rate transmission and sale of natural gas for through its rules and regulations. FERC Tracking resale in interstate commerce and to allows jurisdictional pipelines to flow ensure the rates jurisdictional natural through to their customers such costs as OMB Control No.: 1902–0070 gas pipelines charge are just and fuel or electric power costs necessary to Abstract: The Natural Gas Act (NGA) reasonable. It provides FERC with operate compressor stations as well as requires FERC to regulate the authority to implement NGA mandates the costs of storage services; research,

1972 (the Clean Water Act), and the Coastal Zone 8 FERC staff estimates that industry is similarly Over the last 4 years, the number of filings averaged Management Act. situated in terms of the hourly cost for salary plus 26. Based on filings in 2016, the number of filings 6 FERC–500 also includes requirements in 18 CFR benefits. Therefore, we are using the FERC FY 2015 is expected to increase and is estimated at 41 per 2.19, 4.201, 4.202, 4.303, 4.35, 8.1, 8.2, 16.19, hourly cost (salary plus benefits) of $72/hour. year. 80% of the conveyance reports are for major 141.15, and 292.208, which do not directly relate 9 The hourly cost (wages plus benefits) for annual projects. to preparation of a license/re-license or exemption conveyance reports and comprehensive reports is 11 The comprehensive plans apply to all projects, application for a project greater than 5 MW. similarly estimated to be $72/hour. minor and major. These plans are not capacity- 7 $84,836,320 (Total burden cost from FY2012– 10 Order 540 changed the reporting requirement to specific, so the complete estimated number of 2015) ÷ 33 (total number of applications received state that licensees are only to report if they convey filings is included here under FERC–500, however from FY2012–2015) = $2,570,797. lands/waters under the standard land use article. some plans would also apply to FERC–505.

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development, and demonstration compliance with NGA rate for tariff filings that are specified in the (RD&D) expenditures and FERC annual requirements. following regulations apply to all FERC– charge adjustment assessments. To The FERC–542 contains the following 542 filings: 18 CFR 154.4, 18 CFR 154.7, ensure these charges result in just and information collection requirements: (1) 18 CFR 154.107, and 18 CFR 154.201. reasonable rates, FERC requires Research, development, and Type of Respondent: Natural Gas jurisdictional pipelines to file detailed deployment (RD&D) expenditures [18 Pipelines and summary information on these CFR 154.401]; (2) annual charge Estimate of Annual Burden: The flowed costs in the FERC–542. Analyses adjustments (ACA) [18 CFR 154.402]; Commission estimates the annual public of FERC–542 data helps the Commission and (3) periodic rate adjustments [18 reporting burden and cost 12 for the evaluate the charges to ensure CFR 154.403]. The general requirements information collection as:

FERC–542 (GAS PIPELINE RATES: RATE TRACKING)

Annual Total annual Number of number of Total number Average burden hours Cost per respondents responses per of responses burden & cost ($) & total respondent respondent per response annual cost ($)

(1) (2) (1) * (2) = (3) (4) (3) * (4) = (5) (5) ÷ (1)

87 ...... 2.13 185 2 hrs.; $144 ...... 370 hrs.; $26,640 ...... $306

Dated: March 16, 2016. Unless otherwise noted, comments acquire Wilshire Bank, both in Los Nathaniel J. Davis, Sr., regarding each of these applications Angeles, California. Deputy Secretary. must be received at the Reserve Bank Board of Governors of the Federal Reserve [FR Doc. 2016–06368 Filed 3–21–16; 8:45 am] indicated or the offices of the Board of System, March 17, 2016. BILLING CODE 6717–01–P Governors not later than April 15, 2016. Michael J. Lewandowski, A. Federal Reserve Bank of Chicago Associate Secretary of the Board. (Colette A. Fried, Assistant Vice [FR Doc. 2016–06398 Filed 3–21–16; 8:45 am] President) 230 South LaSalle Street, FEDERAL RESERVE SYSTEM BILLING CODE 6210–01–P Chicago, Illinois 60690–1414: Formations of, Acquisitions by, and 1. Boscobel Bancorp, Inc., Boscobel, Mergers of Bank Holding Companies Wisconsin; to merge with Rural FEDERAL RESERVE SYSTEM Bancshares of Wisconsin, Inc., and The companies listed in this notice thereby indirectly acquire Livingston Change in Bank Control Notices; have applied to the Board for approval, State Bank, both in Livingston, Acquisitions of Shares of a Bank or pursuant to the Bank Holding Company Wisconsin. Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) 2. Minier Financial, Inc. Employee (BHC Act), Regulation Y (12 CFR part The notificants listed below have Stock Ownership Plan with 401(k) 225), and all other applicable statutes applied under the Change in Bank Provisions, Minier, Illinois; to acquire and regulations to become a bank Control Act (12 U.S.C. 1817(j)) and additional voting shares, for a total of 51 holding company and/or to acquire the § 225.41 of the Board’s Regulation Y (12 percent of voting shares of Minier assets or the ownership of, control of, or CFR 225.41) to acquire shares of a bank Financial, Inc., and thereby indirectly the power to vote shares of a bank or or bank holding company. The factors acquire additional voting shares of First bank holding company and all of the that are considered in acting on the Farmers State Bank, both in Minier, banks and nonbanking companies notices are set forth in paragraph 7 of Illinois. owned by the bank holding company, the Act (12 U.S.C. 1817(j)(7)). including the companies listed below. B. Federal Reserve Bank of The notices are available for The applications listed below, as well Minneapolis (Jacquelyn K. Brunmeier, immediate inspection at the Federal as other related filings required by the Assistant Vice President) 90 Hennepin Reserve Bank indicated. The notices Board, are available for immediate Avenue, Minneapolis, Minnesota also will be available for inspection at inspection at the Federal Reserve Bank 55480–0291: the offices of the Board of Governors. indicated. The applications will also be 1. Ameri Financial Group, Inc., Interested persons may express their available for inspection at the offices of Stillwater, Minnesota; to become a bank views in writing to the Reserve Bank the Board of Governors. Interested holding company by acquiring 100 indicated for that notice or to the offices persons may express their views in percent of the voting shares of Eagle of the Board of Governors. Comments writing on the standards enumerated in Valley Bank, National Association, Saint must be received not later than April 6, the BHC Act (12 U.S.C. 1842(c)). If the Croix Falls, Wisconsin. 2016. proposal also involves the acquisition of C. Federal Reserve Bank of San A. Federal Reserve Bank of Chicago a nonbanking company, the review also Francisco (Gerald C. Tsai, Director, (Colette A. Fried, Assistant Vice includes whether the acquisition of the Applications and Enforcement) 101 President) 230 South LaSalle Street, nonbanking company complies with the Market Street, San Francisco, California Chicago, Illinois 60690–1414: standards in section 4 of the BHC Act 94105–1579: 1. Thomas G. Kenney, Fennimore, (12 U.S.C. 1843). Unless otherwise 1. BBCN Bancorp, Inc., Los Angeles, Wisconsin; to acquire voting shares of noted, nonbanking activities will be California; to merge with Wilshire Boscobel Bancorp, Inc., and thereby conducted throughout the United States. Bancorp, Inc., and thereby indirectly indirectly acquire voting shares of

12 FERC staff estimates that industry is similarly benefits. Therefore, we are using the FERC FY 2015 situated in terms of the hourly cost for salary plus hourly cost (salary plus benefits) of $72/hour.

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Community First Bank, both in Drug-Free Workplace’’ on your attached whether our estimate of the public Boscobel, Wisconsin, and Livingston document. burden of this collection of information State Bank, Livingston, Wisconsin. • Mail: General Services is accurate, and based on valid Board of Governors of the Federal Reserve Administration, Regulatory Secretariat assumptions and methodology; ways to System, March 17, 2016. Division (MVCB), 1800 F Street NW., enhance the quality, utility, and clarity Michael J. Lewandowski, Washington, DC 20405. ATTN: Ms. of the information to be collected; and Associate Secretary of the Board. Flowers/IC 9000–0101, Drug-Free ways in which we can minimize the Workplace. burden of the collection of information [FR Doc. 2016–06399 Filed 3–21–16; 8:45 am] Instructions: Please submit comments on those who are to respond, through BILLING CODE 6210–01–P only and cite Information Collection the use of appropriate technological 9000–0101, Drug-Free Workplace, in all collection techniques or other forms of correspondence related to this information technology. DEPARTMENT OF DEFENSE collection. Comments received generally Obtaining Copies of Proposals: will be posted without change to http:// Requesters may obtain a copy of the GENERAL SERVICES www.regulations.gov, including any information collection documents from ADMINISTRATION personal and/or business confidential the General Services Administration, information provided. To confirm Regulatory Secretariat Division (MVCB), NATIONAL AERONAUTICS AND receipt of your comment(s), please 1800 F Street NW., Washington, DC SPACE ADMINISTRATION check www.regulations.gov, 20405, telephone 202–501–4755. [OMB Control No. 9000–0101; Docket 2015– approximately two to three days after Please cite OMB Control No. 9000– 0055; Sequence 32] submission to verify posting (except 0101, Drug-Free Workplace, in all allow 30 days for posting of comments correspondence. Submission for OMB Review; Drug- submitted by mail). Dated: March 17, 2016. Free Workplace FOR FURTHER INFORMATION CONTACT: Mr. Lorin S. Curit, AGENCIES: Department of Defense (DOD), Charles Gray, Procurement Analyst, Director, Federal Acquisition Policy Division, General Services Administration (GSA), Office of Acquisition Policy, GSA 703– Office of Governmentwide Acquisition Policy, and National Aeronautics and Space 795–6328 or email charles.gray@ Office of Acquisition Policy, Office of Administration (NASA). gsa.gov. Governmentwide Policy. [FR Doc. 2016–06357 Filed 3–21–16; 8:45 am] ACTION: Notice of request for public SUPPLEMENTARY INFORMATION: comments regarding an extension of an BILLING CODE 6820–EP–P existing OMB clearance. A. Purpose FAR clause 52.223–6, Drug-Free SUMMARY: Under the provisions of the DEPARTMENT OF DEFENSE Workplace, requires (1) contractor Paperwork Reduction Act, the employees to notify their employer of Regulatory Secretariat Division will be GENERAL SERVICES any criminal drug statute conviction for submitting to the Office of Management ADMINISTRATION a violation occurring in the workplace; and Budget (OMB) a request to review and (2) Government contractors, after and approve an extension of a NATIONAL AERONAUTICS AND receiving notice of such conviction, to previously approved information SPACE ADMINISTRATION notify the contracting officer. The clause collection requirement concerning drug- is not applicable to commercial items, [OMB Control No. 9000–0184; Docket 2015– free workplace. A notice was published 0055, Sequence 33] contracts at or below simplified in the Federal Register at 80 FR 78232 acquisition threshold (unless awarded on December 16, 2015. No comments Submission for OMB Review; to an individual), and contracts were received. Contractors Performing Private performed outside the United States or DATES: Submit comments on or before Security Functions Outside the United by law enforcement agencies. The States April 21, 2016. clause implements the Drug-Free ADDRESSES: Submit comments regarding Workplace Act of 1988 (Pub. L. 100– AGENCY: Department of Defense (DoD), this burden estimate or any other aspect 690). General Services Administration (GSA), of this collection of information, The information provided to the and National Aeronautics and Space including suggestions for reducing this Government is used to determine Administration (NASA). burden to: Office of Information and contractor compliance with the ACTION: Notice of request for comments Regulatory Affairs of OMB, Attention: statutory requirements to maintain a regarding an existing OMB clearance. Desk Officer for GSA, Room 10236, drug-free workplace. NEOB, Washington, DC 20503. SUMMARY: Under the provisions of the Additionally submit a copy to GSA by B. Annual Reporting Burden Paperwork Reduction Act, the any of the following methods: Respondents: 598. Regulatory Secretariat Division will be • Regulations.gov: http:// Responses per Respondent: 1. submitting to the Office of Management www.regulations.gov. Submit comments Annual Responses: 598. and Budget (OMB) a request to review via the Federal eRulemaking portal by Hours per Response: .5. and approve an extension of a searching the OMB control number. Total Burden Hours: 299. previously approved information Select the link ‘‘Submit a Comment’’ collection requirement concerning that corresponds with ‘‘Information C. Public Comments Contractors Performing Private Security Collection 9000–0101, Drug-Free Public comments are particularly Functions Outside the United States. A Workplace’’. Follow the instructions invited on: Whether this collection of notice was published in the Federal provided at the ‘‘Submit a Comment’’ information is necessary for the proper Register at 80 FR 81549 on December screen. Please include your name, performance of functions of the Federal 30, 2015. No comments were received. company name (if any), and Acquisition Regulations (FAR), and DATES: Submit comments on or before ‘‘Information Collection 9000–0101, whether it will have practical utility; April 21, 2016.

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ADDRESSES: Submit comments regarding private security functions in areas of and National Aeronautics and Space this burden estimate or any other aspect combat operations, or other military Administration (NASA). of this collection of information, operations as designated by the ACTION: Notice of request for an including suggestions for reducing this Secretary of Defense, upon agreement of extension of an information collection burden to: Office of Information and the Secretaries of Defense and State. requirement regarding an existing OMB Regulatory Affairs of OMB, Attention: These requirements, implemented in clearance. Desk Officer for GSA, Room 10236, FAR clause 52.225–26 entitled NEOB, Washington, DC 20503. ‘‘Contractors Performing Private SUMMARY: Under the provisions of the Additionally submit a copy to GSA by Security Functions Outside the United Paperwork Reduction Act, the any of the following methods: States,’’ are that contractors performing Regulatory Secretariat Division will be • Regulations.gov: http:// in areas such as Iraq and Afghanistan submitting to the Office of Management www.regulations.gov. Submit comments ensure that their personnel performing and Budget (OMB) a request to review via the Federal eRulemaking portal by private security functions comply with and approve an extension of a searching for Information Collection 32 CFR part 159, including (1) previously approved information 9000–0184, Contractors Performing accounting for Government-acquired collection requirement concerning bid Private Security Functions Outside the and contractor-furnished property and guarantees, performance and payment United States. Select the link ‘‘Comment (2) reporting incidents in which a bonds, and alternative payment Now’’ that corresponds with weapon is discharged, personnel are protections. ‘‘Information Collection 9000–0184, attacked or killed or property is DATES: Submit comments on or before Contractors Performing Private Security destroyed, or active, lethal May 23, 2016. Functions Outside the United States’’. countermeasures are employed. ADDRESSES: Submit comments Follow the instructions provided at the B. Annual Reporting Burden identified by Information Collection ‘‘Submit a Comment’’ screen. Please 9000–0045, Bid Guarantees, Respondents: 920. include your name, company name (if Performance, and Payment Bonds, and Responses per Respondent: 5. any), and ‘‘Information Collection 9000– Alternative Payment Protections by any 0184, Contractors Performing Private Total Response: 4,600. Hours per Response: 0.167. of the following methods: Security Functions Outside the United • Regulations.gov: http:// States’’ on your attached document. Total Burden Hours: 768. Frequency: On Occasion. www.regulations.gov. Submit comments • Mail: General Services via the Federal eRulemaking portal by Administration, Regulatory Secretariat Affected Public: Businesses or other for-profit institutions. searching the OMB control number. Division (MVCB), ATTN: Ms. Flowers, Select the link ‘‘Submit a Comment’’ 1800 F Street NW., Washington, DC Obtaining Copies of Proposals: Requesters may obtain a copy of the that corresponds with ‘‘Information 20405. Collection 9000–0045, Bid, Instructions: Please submit comments information collection documents from the General Services Administration, Performance, and Payment Bonds’’. only and cite Information Collection Follow the instructions provided at the 9000–0184, Contractors Performing Regulatory Secretariat Division (MVCB), 1800 F Street NW., Washington, DC ‘‘Submit a Comment’’ screen. Please Private Security Functions Outside the include your name, company name (if United States in all correspondence 20405, telephone 202–501–4755. Please cite OMB Control No. 9000– any), and ‘‘Information Collection 9000– related to this case. Comments received 0184, Contractors Performing Private 0045, Bid Guarantees, Performance, and generally will be posted without change Security Functions Outside the United Payment Bonds, and Alternative to http://www.regulations.gov, including States, in all correspondence. Payment Protections’’ on your attached any personal and/or business document. confidential information provided. To Dated: March 17, 2016. • Mail: General Services confirm receipt of your comment(s), Lorin S. Curit, Administration, Regulatory Secretariat please check www.regulations.gov, Director, Federal Acquisition Policy Division, Division (MVCB), 1800 F Street NW., approximately two to three days after Office of Governmentwide Acquisition Policy, Washington, DC 20405. ATTN: Ms. submission to verify posting (except Office of Acquisition Policy, Office of Flowers/IC 9000–0045, Bid Guarantees, allow 30 days for posting of comments Governmentwide Policy. Performance, and Payment Bonds, and submitted by mail). [FR Doc. 2016–06358 Filed 3–21–16; 8:45 am] Alternative Payment Protections. FOR FURTHER INFORMATION CONTACT: Mr. BILLING CODE 6820–EP–P Instructions: Please submit comments Michael O. Jackson, Procurement only and cite Information Collection Analyst, Governmentwide Acquisition 9000–0045, Bid Guarantees, DEPARTMENT OF DEFENSE Policy, at 202–208–4949 or email Performance, and Payment Bonds, and [email protected]. GENERAL SERVICES Alternative Payment Protections, in all SUPPLEMENTARY INFORMATION: ADMINISTRATION correspondence related to this collection. Comments received generally A. Purpose NATIONAL AERONAUTICS AND will be posted without change to Section 862 of the National Defense SPACE ADMINISTRATION http://www.regulations.gov, including Authorization Act (NDAA) for Fiscal any personal and/or business Year (FY) 2008, as amended by section [OMB Control No. 9000–0045; Docket 2016– confidential information provided. To 853 of the NDAA for FY 2009 and 0053; Sequence 19] confirm receipt of your comment(s), please check www.regulations.gov, sections 831 and 832 of the NDAA for Information Collection; Bid approximately two to three days after FY 2011, together with the required Guarantees, Performance and Payment submission to verify posting (except Governmentwide implementing Bonds, and Alternative Payment allow 30 days for posting of comments regulations (32 CFR part 159, published Protections at 76 FR 49650 on August 11, 2011), as submitted by mail). amended, adds requirements and AGENCY: Department of Defense (DOD), FOR FURTHER INFORMATION CONTACT: Ms. limitations for contractors performing General Services Administration (GSA), Kathlyn Hopkins, Procurement Analyst,

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Contract Policy Division, at 202–969– performance of functions of the FAR, discussion, and evaluation of 7226 or email [email protected]. and whether it will have practical applications received in response to SUPPLEMENTARY INFORMATION: utility; whether our estimate of the ‘‘State Quitline Reimbursement for public burden of this collection of Smoking Cessation Services Provided to A. Purpose information is accurate, and based on Current Smokers Eligible for Lung FAR Subparts 28.1 and 28.2; FAR valid assumptions and methodology; Cancer Screening’’ SIP 16–004. clauses at 52.228–1, 52.228–2, 52.228– ways to enhance the quality, utility, and Contact Person for More Information: 13, 52.228–15, 52.228–16; and clarity of the information to be Jaya Raman Ph.D., Scientific Review associated FAR standard forms collected; and ways in which we can Officer, CDC, 4770 Buford Highway, implement the statutory requirements of minimize the burden of the collection of Mailstop F80, Atlanta, Georgia 30341, the Miller Act (40 U.S.C. 3131 et seq.), information on those who are to Telephone: (770) 488–6511, kva5@ which requires performance and respond, through the use of appropriate cdc.gov. payment bonds for any construction technological collection techniques or The Director, Management Analysis contract exceeding $150,000, unless it is other forms of information technology. and Services Office, has been delegated impracticable to require bonds for work Obtaining Copies of Proposals: the authority to sign Federal Register performed in a foreign country, or it is Requesters may obtain a copy of the notices pertaining to announcements of otherwise authorized by law. In information collection documents from meetings and other committee addition, the note to 40 U.S.C. 3132, the General Services Administration, management activities, for both the entitled ‘‘Alternatives to Payment Bonds Regulatory Secretariat Division (MVCB), Centers for Disease Control Prevention Provided by the Federal Acquisition 1800 F Street NW., Washington, DC and the Agency for Toxic Substances Regulation,’’ is implemented in the 20405, telephone 202–501–4755. Please and Disease Registry. cite OMB Control No. 9000–0045, Bid FAR, which requires alternative Claudette Grant, payment protection for construction Guarantees, Performance, and Payment Bonds, and Alternative Payment Acting Director, Management Analysis and contracts that exceed $30,000 but do not Services Office, Centers for Disease Control exceed $150,000. Protections, in all correspondence. and Prevention. Although not required by statute, Dated: March 17, 2016. under certain circumstances the FAR [FR Doc. 2016–06353 Filed 3–21–16; 8:45 am] Lorin S. Curit, permits the Government to require BILLING CODE 4163–18–P bonds on other than construction Director, Federal Acquisition Policy Division, Office of Governmentwide Acquisition Policy, contracts. In addition to the contract Office of Acquisition Policy, Office of DEPARTMENT OF HEALTH AND clauses at FAR 52.228–1, 52.228–2, Governmentwide Policy. HUMAN SERVICES 52.228–13, 52.228–15, 52.228–16, this [FR Doc. 2016–06356 Filed 3–21–16; 8:45 am] information collection covers the BILLING CODE 6820–EP–P Centers for Disease Control and following FAR standard forms (SF) as Prevention prescribed at FAR Subparts 28.1 and 28.2: SF 25, Performance Bond; SF 25A, Advisory Council for the Elimination of DEPARTMENT OF HEALTH AND Payment Bond; SF 273, Reinsurance Tuberculosis (ACET) HUMAN SERVICES Agreement for a Miller Act Performance Bond; SF 274, Reinsurance Agreement In accordance with section 10(a)(2) of Centers for Disease Control and the Federal Advisory Committee Act for a Bonds Statute Payment Bond; SF Prevention 24, Bid Bond; SF 25B, Continuation (Pub. L. 92–463), the Centers for Disease Control and Prevention (CDC), Sheet (For Standard Forms 24, 25, and Disease, Disability, and Injury announces the following meeting of the 25A); Standard Form 34, Annual Bid Prevention and Control Special Bond; Standard Form 275, Reinsurance aforementioned committee: Emphasis Panel (SEP): Initial Review Time and Date: 10:00 a.m.–3:30 p.m., Agreement in Favor of the United In accordance with Section 10(a)(2) of EDT, April 26, 2016. States; Standard Form 1416, Payment Place: This meeting is accessible by Bond for Other Than Construction the Federal Advisory Committee Act (Pub. L. 92–463), the Centers for Disease Web conference. Toll free number +1 Contracts; Standard Form 1418, 877–951–7311, Participant Code: Performance Bond for Other Than Control and Prevention (CDC) announces a meeting for the initial 6816256. Construction Contracts; and Standard For Participants: Form 35, Annual Performance Bond. review of applications in response to URL: https://www.mymeetings.com/nc/ The information collected under this Special Interest Project (SIP) 16–004, join/ clearance provides the Government with State Quitline Reimbursement for Smoking Cessation Services Provided to Conference number: PW7364589 a form of security that the contractor Audience passcode: 6816256 will not withdraw a bid or assures that Current Smokers Eligible for Lung Cancer Screening. Participants can join the event directly the contractor will perform its at: https://www.mymeetings.com/nc/ obligations under a contract. Time and Date: 11:00 a.m.–6:00 p.m., EDT, April 26, 2016 (Closed). join.php?i=PW7364589&p=6816 B. Annual Reporting Burden Place: Teleconference. 256&t=c. Respondents: 974. Status: The meeting will be closed to Status: Open to the public, limited Responses per Respondent: 1. the public in accordance with only by the number of ports available Total Responses: 974. provisions set forth in Section 552b(c) for the web conference. The meeting Hours per Response: 1. (4) and (6), Title 5 U.S.C., and the accommodates 100 ports. Total Burden Hours: 974. Determination of the Director, Purpose: This council advises and Management Analysis and Services makes recommendations to the C. Public comments Office, CDC, pursuant to Public Law 92– Secretary of Health and Human Public Comments are particularly 463. Services, the Assistant Secretary for invited on: Whether this collection of Matters for Discussion: The meeting Health, and the Director, CDC, regarding information is necessary for the proper will include the initial review, the elimination of tuberculosis.

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Specifically, the Council makes Place: Teleconference. Prostate Cancer, and SIP 16–003, recommendations regarding policies, Status: The meeting will be closed to Implementation of Community-based, strategies, objectives, and priorities; the public in accordance with Small Media Interventions to Promote addresses the development and provisions set forth in Section Colorectal Cancer Screening Among application of new technologies; and 552b(c)(4) and (6), Title 5 U.S.C., and Chinese Americans. reviews the extent to which progress has the determination of the Director, Time and Date: 11:00 a.m.–6:00 p.m., been made toward eliminating Management Analysis and Services EDT, April 21, 2016 (Closed). tuberculosis. Office, CDC, pursuant to Public Law 92– Place: Teleconference. Matters for Discussion: Agenda items 463. Status: The meeting will be closed to include the following topics: (1) Matters for Discussion: The meeting the public in accordance with Discussion on U.S. Preventive Services will include the initial review, provisions set forth in Section Task Force (USPSTF) discussion, and evaluation of 552b(c)(4) and (6), Title 5 U.S.C., and Recommendations; (2) Draft of TB applications received in response to the Determination of the Director, Treatment Guidelines; (3) Updates from ‘‘Spatially Scalable Integrated Tick Management Analysis and Services Workgroups; and (4) other tuberculosis- Vector/Rodent Reservoir Management to Office, CDC, pursuant to Public Law 92– related issues. Reduce Human Risk of Exposure to 463. Agenda items are subject to change as Ixodes Scapularis Ticks Infected with Matters for Discussion: The meeting priorities dictate. Lyme Disease Spirochetes’’, CK16–002 will include the initial review, Contact Person for More Information: and ‘‘Pre-travel Health Preparation of discussion, and evaluation of Margie Scott-Cseh, Centers for Disease International Travelers: Expanding and applications received in response to Control and Prevention, 1600 Clifton Improving Data Collection, Guidance, ‘‘Evaluating the Adoption and Road, NE., M/S E–07, Atlanta, Georgia and Outreach’’, CK16–003. Implementation of an Evidence-based 30333, telephone (404) 639–8317; Contact Person for More Information: Patient Navigation Intervention for Email: [email protected]. Gregory Anderson, M.S., M.P.H., Colonoscopy Screening’’, SIP 16–001, The Director, Management Analysis Scientific Review Officer, CDC, 1600 ‘‘Formative Development of an and Services Office, has been delegated Clifton Road NE., Mailstop E60, Atlanta, Instrument to Predict Adherence to the authority to sign Federal Register Georgia 30333, Telephone: (404) 718– Active Surveillance (AS) for Localized notices pertaining to announcements of 8833. Prostate Cancer’’, SIP 16–002 and, meetings and other committee The Director, Management Analysis ‘‘Implementation of Community-based, management activities, for both the and Services Office, has been delegated Small Media Interventions to Promote Centers for Disease Control and the authority to sign Federal Register Colorectal Cancer’’, SIP 16–003. Prevention and the Agency for Toxic notices pertaining to announcements of Contact Person for More Information: Substances and Disease Registry. meetings and other committee Jaya Raman Ph.D., Scientific Review management activities, for both the Officer, CDC, 4770 Buford Highway, Claudette Grant, Centers for Disease Control and Mailstop F80, Atlanta, Georgia 30341, Acting Director, Management Analysis and Prevention and the Agency for Toxic Telephone: (770) 488–6511, kva5@ Services Office, Centers for Disease Control Substances and Disease Registry. cdc.gov. and Prevention. The Director, Management Analysis [FR Doc. 2016–06346 Filed 3–21–16; 8:45 am] Claudette Grant, and Services Office, has been delegated BILLING CODE 4163–18–P Acting Director, Management Analysis and the authority to sign Federal Register Services Office, Centers for Disease Control notices pertaining to announcements of and Prevention. meetings and other committee DEPARTMENT OF HEALTH AND [FR Doc. 2016–06345 Filed 3–21–16; 8:45 am] management activities, for both the HUMAN SERVICES BILLING CODE 4163–18–P Centers for Disease Control and Centers for Disease Control and Prevention and the Agency for Toxic Prevention DEPARTMENT OF HEALTH AND Substances and Disease Registry. HUMAN SERVICES Claudette Grant, Disease, Disability, and Injury Prevention and Control Special Acting Director, Management Analysis and Centers for Disease Control and Services Office, Centers for Disease Control Emphasis Panel (SEP): Initial Review Prevention and Prevention. [FR Doc. 2016–06354 Filed 3–21–16; 8:45 am] In accordance with Section 10(a)(2) of Disease, Disability, and Injury the Federal Advisory Committee Act Prevention and Control Special BILLING CODE 4163–18–P (Pub. L. 92–463), the Centers for Disease Emphasis Panel (SEP): Initial Review Control and Prevention (CDC) announces a meeting for the initial In accordance with Section 10(a)(2) of DEPARTMENT OF HEALTH AND review of applications in response to the Federal Advisory Committee Act HUMAN SERVICES Funding Opportunity Announcements (Pub. L. 92–463), the Centers for Disease (FOA) CK16–002, Spatially Scalable Control and Prevention (CDC) Centers for Disease Control and Integrated Tick Vector/Rodent Reservoir announces a meeting for the initial Prevention Management to Reduce Human Risk of review of applications in response to Disease, Disability, and Injury Exposure to Ixodes Scapularis Ticks Special Interest Project (SIP) 16–001, Prevention and Control Special Infected with Lyme Disease Spirochetes Evaluating the Adoption and Emphasis Panel (SEP): Initial Review and CK16–003, Pre-travel Health Implementation of an Evidence-based Preparation of International Travelers: Patient Navigation Intervention for In accordance with Section 10(a)(2) of Expanding and Improving Data Colonoscopy Screening, SIP 16–002, the Federal Advisory Committee Act Collection, Guidance, and Outreach. Formative Development of an (Pub. L. 92–463), the Centers for Disease Time and Date: 10:00 a.m.–5:00 p.m., Instrument to Predict Adherence to Control and Prevention (CDC) April 14, 2016 (Closed). Active Surveillance (AS) for Localized announces a meeting for the initial

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review of applications in response to Times and Date: 8:30 a.m.–5:00 p.m., Times and Dates Special Interest Project (SIP) 16–005, EDT, April 20–21, 2016 (Closed). 9:00 a.m.–2:00 p.m., EDT, Panel 1, Multi-Level Communication Strategies Place: The Georgian Terrace, 659 April 20, 2016 (Closed). to Promote Human Papilloma Virus Peachtree Street NE., Atlanta, GA 30308. 9:00 a.m.–2:00 p.m., EDT, Panel 2, (HPV) Vaccination Uptake. Status: The meeting will be closed to April 26, 2016 (Closed). Time and Date: 10:00 a.m.–6:00 p.m., 9:00 a.m.–2:00 p.m., EDT, Panel 3, EDT, April 19, 2016 (Closed). the public in accordance with provisions set forth in Section April 27, 2016 (Closed). Place: Teleconference. 552b(c)(4) and (6), Title 5 U.S.C., and Place: Teleconference. Status: The meeting will be closed to the Determination of the Director, Status: The meeting will be closed to the public in accordance with Management Analysis and Services the public in accordance with provisions set forth in Section Office, CDC, pursuant to Public Law 92– provisions set forth in section 552b(c) 552b(c)(4) and (6), Title 5 U.S.C., and 463. (4) and (6), title 5 U.S.C., and the the Determination of the Director, Determination of the Director, Management Analysis and Services Matters for Discussion: The meeting Management Analysis and Services Office, CDC, pursuant to Public Law 92– will include the initial review, Office, CDC, pursuant to Public Law 92– 463. discussion, and evaluation of 463. Matters for Discussion: The meeting applications received in response to Matters for Discussion: The meeting will include the initial review, ‘‘The CDC National Centers for will include the initial review, discussion, and evaluation of Excellence in Youth Violence discussion, and evaluation of applications received in response to Prevention: Building the Evidence for applications received in response to ‘‘Multi-Level Communication Strategies Community- and Policy-Level ‘‘Operations Research (Implementation to Promote Human Papilloma Virus Prevention’’, RFA–CE–15–002. Science) for Strengthening Program (HPV) Vaccination Uptake’’, SIP 16–005. Contact Person for More Information: Implementation through the Presidents Contact Person for More Information: M. Chris Langub, Ph.D., Scientific Emergency Plan for AIDS Relief Jaya Raman Ph.D., Scientific Review Review Officer, CDC, 4770 Buford (PEPFAR)’’, FOA GH16–005. Officer, CDC, 4770 Buford Highway, Highway, NE., Mailstop F–80, Atlanta, Contact Person for More Information: Mailstop F80, Atlanta, Georgia 30341, Georgia 30341, Telephone: (770) 488– Hylan Shoob, Scientific Review Officer, Telephone: (770) 488–6511, kva5@ 3585, email: [email protected]. Center for Global Health (CGH) Science cdc.gov. The Director, Management Analysis Office, CGH, CDC, 1600 Clifton Road The Director, Management Analysis and Services Office, has been delegated NE., Mailstop D–69, Atlanta, Georgia and Services Office, has been delegated the authority to sign Federal Register 30033, Telephone: (404) 639–4796. the authority to sign Federal Register notices pertaining to announcements of The Director, Management Analysis notices pertaining to announcements of meetings and other committee and Services Office, has been delegated meetings and other committee management activities, for both the the authority to sign Federal Register management activities, for both the Centers for Disease Control and notices pertaining to announcements of Centers for Disease Control and Prevention and the Agency for Toxic meetings and other committee Prevention and the Agency for Toxic Substances and Disease Registry. management activities, for both the Substances and Disease Registry. Centers for Disease Control and Claudette Grant, Prevention and the Agency for Toxic Claudette Grant, Acting Director, Management Analysis and Substances and Disease Registry. Acting Director, Management Analysis and Services Office, Centers for Disease Control Services Office, Centers for Disease Control and Prevention. Claudette Grant, and Prevention. [FR Doc. 2016–06350 Filed 3–21–16; 8:45 am] Acting Director, Management Analysis and [FR Doc. 2016–06349 Filed 3–21–16; 8:45 am] Services Office, Centers for Disease Control BILLING CODE 4163–18–P BILLING CODE 4163–18–P and Prevention. [FR Doc. 2016–06352 Filed 3–21–16; 8:45 am] BILLING CODE 4163–18–P DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND HUMAN SERVICES HUMAN SERVICES Centers for Disease Control and DEPARTMENT OF HEALTH AND Centers for Disease Control and HUMAN SERVICES Prevention Prevention Centers for Disease Control and Disease, Disability, and Injury Disease, Disability, and Injury Prevention Prevention and Control Special Prevention and Control Special Emphasis Panel (SEP): Initial Review Emphasis Panel (SEP): Initial Review Disease, Disability, and Injury Prevention and Control Special In accordance with Section 10(a)(2) of In accordance with section 10(a)(2) of Emphasis Panel (SEP): Initial Review the Federal Advisory Committee Act the Federal Advisory Committee Act (Pub. L. 92–463), the Centers for Disease (Pub. L. 92–463), the Centers for Disease In accordance with section 10(a)(2) of Control and Prevention (CDC) Control and Prevention (CDC) the Federal Advisory Committee Act announces a meeting for the initial announces a meeting for the initial (Pub. L. 92–463), the Centers for Disease review of applications in response to review of applications in response to Control and Prevention (CDC) Funding Opportunity Announcement Funding Opportunity Announcement announces a meeting for the initial (FOA), RFA–CE–15–002, The CDC (FOA) GH16–005, Operations Research review of applications in response to National Centers for Excellence in (Implementation Science) for Funding Opportunity Announcement Youth Violence Prevention: Building Strengthening Program Implementation (FOA) DP 16–005, Study to Assess the the Evidence for Community- and through the Presidents Emergency Plan Incidence of Type 1 Diabetes in Young Policy-Level Prevention. for AIDS Relief (PEPFAR). Adults.

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Time and Date fulfillment of the agencies’ mission to Centers for Disease Control and 12:00 p.m.–3:00 p.m., EDT, April 14, protect and promote people’s health. Prevention, and the Agency for Toxic 2016 (Closed). The Board provides advice and Substances and Disease Registry. Place: Teleconference. guidance to help NCEH/ATSDR work Claudette Grant, Status: The meeting will be closed to more efficiently and effectively with its the public in accordance with various constituents and to fulfill its Acting Director, Management Analysis and provisions set forth in section 552b(c)(4) mission in protecting America’s health. Services Office, Centers for Disease Control and (6), title 5 U.S.C., and the Nominations are being sought for and Prevention. Determination of the Director, individuals who have expertise and [FR Doc. 2016–06347 Filed 3–21–16; 8:45 am] Management Analysis and Services qualifications necessary to contribute to BILLING CODE 4163–18–P Office, CDC, pursuant to Public Law 92– the accomplishments of the Board’s 463. objectives. Nominees will be selected Matters for Discussion: The meeting from experts knowledgeable in the field DEPARTMENT OF HEALTH AND will include the initial review, of environmental public health or HUMAN SERVICES discussion, and evaluation of related disciplines (e.g., environmental applications received in response to law, preventive medicine, Centers for Disease Control and ‘‘Study to Assess the Incidence of Type epidemiology, occupational and Prevention 1 Diabetes in Young Adults’’, DP16–005. environmental health, environmental Contact Person for More Information: toxicology, environmental justice, Disease, Disability, and Injury Jaya Raman Ph.D., Scientific Review laboratory sciences, risk assessment, Prevention and Control Special Officer, CDC, 4770 Buford Highway, public policy, behavioral social science, Emphasis Panel (SEP): Initial Review Mailstop F80, Atlanta, Georgia 30341, and health economics). Members may Telephone: (770) 488–6511, kva5@ be invited to serve up to four-year terms. In accordance with Section 10(a)(2) of cdc.gov. The HHS policy stipulates that the Federal Advisory Committee Act The Director, Management Analysis committee membership be balanced in (Pub. L. 92–463), the Centers for Disease and Services Office, has been delegated terms of points of view represented and Control and Prevention (CDC) the authority to sign Federal Register the board’s function. Consideration is announces a meeting for the initial notices pertaining to announcements of given to a broad representation of review of applications in response to meetings and other committee geographic areas within the U.S., as well Funding Opportunity Announcement, as gender, all ethnic and racial groups, management activities, for both the RFA–CE–16–002, Research to Advance persons with disabilities, and several Centers for Disease Control and Primary Care-Pharmacy Linkage for factors including: (1) The committee’s Prevention and the Agency for Toxic Medication Review to Reduce Older Substances and Disease Registry. mission; (2) the geographic, ethnic, social, economic, or scientific impact of Adult Falls. Claudette Grant, the advisory committee’s Time and Date: 11:30 a.m.–5:00 p.m., Acting Director, Management Analysis and recommendations; (3) the types of EDT, April 21, 2016 (CLOSED). Services Office, Centers for Disease Control specific perspectives required, for Place: Teleconference. and Prevention. example, those of consumers, technical [FR Doc. 2016–06351 Filed 3–21–16; 8:45 am] experts, the public at-large, academia, Status: The meeting will be closed to BILLING CODE 4163–18–P business, or other sectors; (4) the need the public in accordance with to obtain divergent points of view on the provisions set forth in Section issues before the advisory committee; 552b(c)(4) and (6), Title 5 U.S.C., and DEPARTMENT OF HEALTH AND and (5) the relevance of State, local, or the Determination of the Director, HUMAN SERVICES tribal governments to the development Management Analysis and Services of the advisory committee’s Office, CDC, pursuant to Public Law 92– Centers for Disease Control and recommendations. Nominees must be 463. Prevention U.S. citizens. Matters for Discussion: The meeting The following information must be Request for Nominations of will include the initial review, submitted for each candidate: Name, Candidates To Serve on the Board of discussion, and evaluation of affiliation, address, telephone number, Scientific Counselors, National Center applications received in response to for Environmental Health/Agency for and current curriculum vitae and area(s) of expertise. Email addresses are ‘‘Research to Advance Primary Care- Toxic Substances and Disease Pharmacy Linkage for Medication Registry (BSC, NCEH/ATSDR) requested if available. Nominations should be sent, in writing, and Review to Reduce Older Adult Falls’’ The Centers for Disease Control and postmarked by April 29, 2016 to: FOA Number RFA–EC–16–002. Prevention (CDC) is soliciting Amanda Malasky and Sandra Malcom, Contact Person for More Information: nominations for membership on the Committee Management Specialists, Jane Suen, Dr. P.H., M.S., Scientific BSC, NCEH/ATSDR. NCEH/ATSDR, CDC, 4770 Buford Review Officer, CDC, 4770 Buford The BSC, NCEH/ATSDR consists of Highway (MS–F45), Atlanta, Georgia Highway NE., Mailstop F63, Atlanta, 16 experts knowledgeable in the field of 30341, Email addresses: Georgia 30341–3724, Telephone: (770) environmental public health or in [email protected] and [email protected]. 488–4281. related disciplines, who are selected by Telephone and facsimile submissions the Secretary of the U.S. Department of cannot be accepted. The Director, Management Analysis Health and Human Services (HHS). The The Director, Management Analysis and Services Office, has been delegated BSC, NCEH/ATSDR provides advice and Services Office, has been delegated the authority to sign Federal Register and guidance to the Secretary, HHS; the the authority to sign Federal Register notices pertaining to announcements of Director, CDC; and the Director, NCEH/ notices pertaining to announcements of meetings and other committee ATSDR, regarding program goals, meetings and other committee management activities, for both the objectives, strategies, and priorities in management activities, for both the Centers for Disease Control and

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Prevention and the Agency for Toxic agencies must obtain approval from the into the maltreatment of older adults Substances and Disease Registry. Office of Management and Budget and adults with disabilities. (OMB) for each collection of Claudette Grant, In developing NAMRS, ACL and information they conduct or sponsor. ASPE convened key stakeholders to Acting Director, Management Analysis and ‘‘Collection of information’’ is defined Services Office, Centers for Disease Control identify data elements that are the most and Prevention. in 44 U.S.C. 3502(3) and 5 CFR critical for a national system. More than 1320.3(c) and includes agency request [FR Doc. 2016–06348 Filed 3–21–16; 8:45 am] 40 state administrators, researchers, or requirements that members of the BILLING CODE 4163–18–P service providers, and other public submit reports, keep records, or stakeholders provided input in focus provide information to a third party. group conference calls. Additionally, DEPARTMENT OF HEALTH AND Section 3506(c)(2)(A) of the PRA (44 more than 30 state representatives from HUMAN SERVICES U.S.C. 3506(c)(2)(A)) requires Federal 25 different states met in three in-person agencies to provide a 60-day notice in working sessions to discuss the uses of Administration for Community Living the Federal Register concerning each collected data and the key proposed collection of information, functionalities. Agency Information Collection including each proposed extension of an A pilot version of NAMRS was tested Activities; Proposed Collection; existing collection of information, in nine (9) diverse states, and refined Comment Request; the National before submitting the collection to OMB based on feedback from the pilot and Maltreatment Reporting System for approval. To comply with this additional stakeholder engagement. A AGENCY: Administration for Community requirement, ACL is publishing notice full discussion on the background of Living, HHS. of the proposed collection of NAMRS, including the development of information set forth in this document. ACTION: Notice. the system, the public engagement Authority process, and the pilot testing can be SUMMARY: The Administration for found in the NAMRS section of the ACL Community Living (ACL) is announcing This data collection effort is in Web site. an opportunity for public comment on response to the Elder Justice Act of the proposed collection of certain 2009, which amended title XX of the Proposed Collection Effort information by the agency. Under the Social Security Act (42.U.S.C. 13976 et NAMRS has been developed as a Paperwork Reduction Act of 1995 (the seq.). These provisions require that the voluntary system to collect annually PRA), Federal agencies are required to Secretary of HHS ‘‘collects and both summary and de-identified case- publish notice in the Federal Register disseminates data annually relating to level data on APS investigations. concerning each proposed collection of the abuse, exploitation, and neglect of NAMRS consists of three components: elders in coordination with the information, including each proposed (1) ACL proposes to collect Department of Justice’’ (Sec. extension of an existing collection of descriptive data on state agency policies 2041(a)(1)(B)), and ‘‘conducts research information, and to allow 60 days for and practices from all states through the related to the provision of adult public comment in response to the ‘‘Agency Component,’’ and protective services’’ (Sec. 2041(a)(1)(D)). notice. This notice solicits comments on (2) Case-level, non-identifiable data the information collection requirements Furthermore, the Elder Justice Coordinating Council (EJCC) included on persons who receive an investigation relating to the National Maltreatment by APS in response to an allegation of Reporting System (NAMRS). The as its third recommendation for increasing federal involvement in abuse, neglect, or exploitation through proposed collection of information tools the ‘‘Case Component.’’ may be found in the NAMRS section of addressing elder abuse, neglect, and (3) For states that are unable to submit the ACL Web site. exploitation: Develop a national adult a case-level file through the ‘‘Case DATES: Submit written or electronic protective services (APS) system based upon standardized data collection and a Component,’’ a ‘‘Key Indicators comments on the collection of Component’’ will be available for them information by: May 23, 2016. core set of service provision standards and best practices. to submit data on a smaller set of core ADDRESSES: Submit electronic items. comments on the collection of Background ACL will provide technical assistance information to Stephanie Whittier From 2013–2015, ACL, in partnership to states to assist in the preparation of Eliason at stephanie.whittiereliason@ with the U.S. Department of Health & their data submissions. Respondents acl.hhs.gov. Human Services’ Office of the Assistant will be state APS agencies and APS Submit written comments on the Secretary for Planning and Evaluation agencies in the District of Columbia, collection of information to: (ASPE), developed and pilot tested Puerto Rico, Guam, Northern Marianas Administration for Community Living, NAMRS. When implemented, NAMRS Islands, Virgin Islands, and American Attention: Stephanie Whittier Eliason, will be the first comprehensive, national Samoa. No personally identifiable 330 C St SW., Washington, DC 20201. reporting system for APS programs. information will be collected. ACL has FOR FURTHER INFORMATION CONTACT: NAMRS is intended to collect calculated the following burden Stephanie Whittier Eliason at quantitative and qualitative data on the estimates (information on how the 202.795.7467. practices and policies of adult estimates were calculated is available in SUPPLEMENTARY INFORMATION: Under the protective services (APS) agencies, as the NAMRS section of the ACL Web PRA (44 U.S.C. 3501–3520), Federal well as the outcomes of investigations site):

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

Agency Component ...... 56 1 13 728 Key Indicators Component ...... 31 1 40 1,240

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

Case Component ...... 25 1 150 3,750

Estimated Total Annual Burden Hours ...... 5,718

With respect to the collection of Conditional labeling claim for Dockets Management (HFA–305), Food information via NAMRS, ACL multiconfiguration passive medical and Drug Administration, 5630 Fishers specifically requests comments on: devices. The assessment of Lane, Rm. 1061, Rockville, MD 20852. (a) Whether the proposed collection of radiofrequency (RF)-induced heating of • For written/paper comments information is necessary for the proper such devices, typically comprised of submitted to the Division of Dockets performance of the functions of the many parts, strongly depends on the Management, FDA will post your agency, including whether the specific device geometry and can comment, as well as any attachments, information shall have practical utility; therefore lead to a prohibitively large except for information submitted, (b) the accuracy of the agency’s number of test cases. This guidance marked and identified, as confidential, estimate of the burden of the proposed provides an approach to reduce the if submitted as detailed in collection of information; number of possible device ‘‘Instructions.’’ (c) the quality, utility, and clarity of configurations to a manageable number, Instructions: All submissions received the information to be collected; and and it provides guidance on how to must include the Docket No. FDA– (d) ways to minimize the burden of assess the RF-induced device heating for 2015–D–2104 for ‘‘Assessment of the collection of information on an individual configuration. Radiofrequency-Induced Heating in the respondents, including through the use DATES: Submit either electronic or Magnetic Resonance (MR) Environment of automated collection techniques or written comments on this guidance at for Multi-Configuration Passive Medical other forms of information technology. any time. General comments on Agency Devices.’’ Received comments will be Consideration will be given to guidance documents are welcome at any placed in the docket and, except for comments and suggestions submitted time. those submitted as ‘‘Confidential within 60 days of this publication. The Submissions,’’ publicly viewable at ADDRESSES: You may submit comments proposed collection of information tools http://www.regulations.gov or at the as follows: may be found in the NAMRS section of Division of Dockets Management the ACL Web site. Electronic Submissions between 9 a.m. and 4 p.m., Monday Dated: March 16, 2016. Submit electronic comments in the through Friday. • Confidential Submissions—To Kathy Greenlee, following way: • Federal eRulemaking Portal: http:// submit a comment with confidential Administrator and Assistant Secretary for information that you do not wish to be Aging. www.regulations.gov. Follow the instructions for submitting comments. made publicly available, submit your [FR Doc. 2016–06342 Filed 3–21–16; 8:45 am] comments only as a written/paper BILLING CODE 4154–01–P Comments submitted electronically, including attachments, to http:// submission. You should submit two www.regulations.gov will be posted to copies total. One copy will include the information you claim to be confidential DEPARTMENT OF HEALTH AND the docket unchanged. Because your with a heading or cover note that states HUMAN SERVICES comment will be made public, you are solely responsible for ensuring that your ‘‘THIS DOCUMENT CONTAINS Food and Drug Administration comment does not include any CONFIDENTIAL INFORMATION.’’ The Agency will review this copy, including [Docket No. FDA–2015–D–2104] confidential information that you or a third party may not wish to be posted, the claimed confidential information, in its consideration of comments. The Assessment of Radiofrequency- such as medical information, your or anyone else’s Social Security number, or second copy, which will have the Induced Heating in the Magnetic claimed confidential information Resonance Environment for Multi- confidential business information, such as a manufacturing process. Please note redacted/blacked out, will be available Configuration Passive Medical for public viewing and posted on Devices; Guidance for Industry and that if you include your name, contact information, or other information that http://www.regulations.gov. Submit Food and Drug Administration Staff; both copies to the Division of Dockets Availability identifies you in the body of your comments, that information will be Management. If you do not wish your AGENCY: Food and Drug Administration, posted on http://www.regulations.gov. name and contact information to be HHS. • If you want to submit a comment made publicly available, you can ACTION: Notice of availability. with confidential information that you provide this information on the cover do not wish to be made available to the sheet and not in the body of your SUMMARY: The Food and Drug public, submit the comment as a comments and you must identify this Administration (FDA or Agency) is written/paper submission and in the information as ‘‘confidential.’’ Any announcing the availability of the manner detailed (see ‘‘Written/Paper information marked as ‘‘confidential’’ guidance entitled ‘‘Assessment of Submissions’’ and ‘‘Instructions’’). will not be disclosed except in Radiofrequency-Induced Heating in the accordance with 21 CFR 10.20 and other Magnetic Resonance (MR) Environment Written/Paper Submissions applicable disclosure law. For more for Multi-Configuration Passive Medical Submit written/paper submissions as information about FDA’s posting of Devices.’’ FDA is confronted with an follows: comments to public dockets, see 80 FR increasing number of premarket • Mail/Hand delivery/Courier (for 56469, September 18, 2015, or access submissions that include an MR written/paper submissions): Division of the information at: http://www.fda.gov/

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regulatoryinformation/dockets/ testing of RF-induced heating in the MR OMB control number 0910–0332; the default.htm. environment. Additionally, this collections of information in 21 CFR Docket: For access to the docket to guidance provides recommendations on part 807, subpart E, are approved under read background documents or the how to assess the RF-induced device OMB control number 0910–0120; the electronic and written/paper comments heating for multiconfiguration passive collections of information in 21 CFR received, go to http:// medical devices. part 812 are approved under OMB www.regulations.gov and insert the In the Federal Register of June 29, control number 0910–0078; the docket number, found in brackets in the 2015 (80 FR 36996), the Agency collections of information in 21 CFR heading of this document, into the announced the issuance of the draft parts 801 and 809 are approved under ‘‘Search’’ box and follow the prompts guidance entitled ‘‘Assessment of OMB control number 0910–0485; and and/or go to the Division of Dockets Radiofrequency-Induced Heating in the the collections of information in the Management, 5630 Fishers Lane, Rm. Magnetic Resonance (MR) Environment guidance document entitled ‘‘Requests 1061, Rockville, MD 20852. for Multi-Configuration Passive Medical for Feedback on Medical Device An electronic copy of the guidance Devices.’’ Interested persons were Submissions: The Pre-Submission document is available for download invited to comment by August 28, 2015. Program and Meetings with Food and from the Internet. See the II. Significance of Guidance Drug Administration Staff’’ are SUPPLEMENTARY INFORMATION section for approved under OMB control number information on electronic access to the This guidance is being issued 0910–0756. consistent with FDA’s good guidance guidance. Submit written requests for a Dated: March 16, 2016. single hard copy of the guidance practices regulation (21 CFR 10.115). Leslie Kux, document entitled ‘‘Assessment of The guidance represents the current Radiofrequency-Induced Heating in the thinking of FDA on the assessment of Associate Commissioner for Policy. Magnetic Resonance (MR) Environment RF-induced heating of multicomponent, [FR Doc. 2016–06361 Filed 3–21–16; 8:45 am] for Multi-Configuration Passive Medical or multiconfiguration, passive medical BILLING CODE 4164–01–P Devices’’ to the Office of the Center devices in the MR environment. It does Director, Guidance and Policy not establish any rights for any person DEPARTMENT OF HEALTH AND Development, Center for Devices and and is not binding on FDA or the public. HUMAN SERVICES Radiological Health, Food and Drug You can use an alternative approach if it satisfies the requirements of the Administration, 10903 New Hampshire Food and Drug Administration Ave., Bldg. 66, Rm. 5431, Silver Spring, applicable statutes and regulations. MD 20993–0002. Send one self- III. Electronic Access [Docket No. FDA–2016–N–0001] addressed adhesive label to assist that Persons interested in obtaining a copy office in processing your request. 2016 Parenteral Drug Association/Food of the guidance may do so by and Drug Administration Joint FOR FURTHER INFORMATION CONTACT: downloading an electronic copy from Conference: Aligning Manufacturing Wolfgang Kainz, Center for Devices and the Internet. A search capability for all Goals With Patient Needs Through Radiological Health, Food and Drug Center for Devices and Radiological Successful Innovation and Compliance Administration, 10903 New Hampshire Health guidance documents is available Ave., Bldg. 62, Rm. 1115, Silver Spring, at http://www.fda.gov/MedicalDevices/ AGENCY: Food and Drug Administration, MD 20993–0002, 301–661–7595. DeviceRegulationandGuidance/ HHS. SUPPLEMENTARY INFORMATION: GuidanceDocuments/default.htm. ACTION: Notice of public conference. I. Background Guidance documents are also available at http://www.regulations.gov. Persons SUMMARY: The Food and Drug FDA is announcing the availability of unable to download an electronic copy Administration (FDA) is announcing a a guidance to provide an assessment of ‘‘Assessment of Radiofrequency- public conference, to be held in paradigm for RF-induced heating on or Induced Heating in the Magnetic cosponsorship with the Parenteral Drug near multicomponent or Resonance (MR) Environment for Multi- Association (PDA), entitled ‘‘Aligning multiconfiguration passive medical Configuration Passive Medical Devices’’ Manufacturing Goals with Patient Needs devices in the MR environment. During may send an email request to CDRH- through Successful Innovation and MR scanning, applied RF excitation [email protected] to receive an Compliance.’’ The conference will cover pulses induce currents that can cause electronic copy of the document. Please current issues affecting the industry as heating of electrically conductive use the document number 1500001 to well as explore strategies to facilitate the materials. RF-induced heating of identify the guidance you are development and continuous medical devices made with conductive requesting. improvement of safe and effective materials may lead to patient burns. To medical products. The conference minimize the risk of patient burns IV. Paperwork Reduction Act of 1995 establishes a unique forum to discuss during MR scanning, sponsors should This draft guidance refers to the foundations, emerging technologies, comprehensively assess devices in all previously approved collections of and innovations in regulatory science, configurations and combinations. information found in FDA regulations as well as the current quality and However, multicomponent passive and guidance. These collections of compliance areas of concerns. Meeting devices, such as orthopedic fixation information are subject to review by the participants will hear from FDA and devices, may permit a very large number Office of Management and Budget industry speakers about the of possible device configurations and (OMB) under the Paperwork Reduction requirements and best practices to combinations of individual components. Act of 1995 (44 U.S.C. 3501–3520). The consider while implementing robust Testing all possibilities may be collections of information in 21 CFR quality systems in order to deliver the impractical and unnecessary. This part 814, subparts B and E, are approved best quality product. guidance provides an approach to under OMB control number 0910–0231; DATES: The public conference will be identify a manageable number of device the collections of information in 21 CFR held on September 12, 2016, from 7 a.m. configurations or combinations for the part 814, subpart H, are approved under to 7:30 p.m.; September 13, 2016, from

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7 a.m. to 9:30 p.m.; and September 14, hear directly from FDA experts and • Compliance Update 2016, from 7 a.m. to 12:30 p.m. representatives of global regulatory • Center Initiatives—Regulatory ADDRESSES: The public conference will authorities on best practices, including: Submission Update be held at the Renaissance Washington, • Product Quality • To help ensure the quality of FDA- DC Downtown Hotel, 999 Ninth Street Data Integrity regulated products, the workshop helps NW., Washington, DC 20001, 202–898– • Breakthrough Therapies • to achieve objectives set forth in section 9000, FAX: 202–289–0947. Regulatory Challenges and 406 of the FDA Modernization Act of FOR FURTHER INFORMATION CONTACT: Opportunities • 1997 (21 U.S.C. 393), which includes Wanda Neal, Parenteral Drug Lifecycle Management working closely with stakeholders and Association, PDA Global Headquarters, • Clinically Relevant Specifications • maximizing the availability and clarity Bethesda Towers, 4350 East West Hwy., Food and Drug Administration of information to stakeholders and the Suite 150, Bethesda, MD 20814, 301– Safety and Innovation Act public. The workshop also is consistent 656–5900, ext. 111, FAX: 301–986– • Quality Metrics/Quality Culture • with the Small Business Regulatory 1093, email: [email protected]; or Ken Manufacturing of the Future With Enforcement Fairness Act of 1996 (Pub. Nolan, Office of Communications, Food Submissions • L. 104–121), as outreach activities by and Drug Administration 10903 New Continuous Verification and government agencies to small Hampshire Ave., Silver Spring, MD Validation businesses. 20993, 301–796–8629, email: • Continuous Manufacturing [email protected]. • ‘‘Fishbowl’’ Role Play II. Registration and Accommodations • SUPPLEMENTARY INFORMATION: Quality Systems A. Registration • Contract Manufacturing I. Background Organizations Attendees are encouraged to register The PDA/FDA Joint Regulatory • Maturity of Quality Systems at their earliest convenience. The PDA Conference offers the unique • Investigations registration fees cover the cost of opportunity for participants to join FDA • Case Studies for Quality facilities, materials, and refreshments. representatives and industry experts in • Quality Submissions Seats are limited; please submit your face-to-face dialogues. Each year, FDA • Prescription Drug User Fee Act registration as soon as possible. speakers provide updates on current • Risk-Based Control Strategies Conference space will be filled in order efforts affecting the development of • Supply Chain of receipt of registration. Those accepted global regulatory strategies, while • Quality Risk Management Systems for the conference will receive industry professionals from • Drug Shortages confirmation. Registration will close pharmaceutical companies present case • Customer Complaint Reviews and after the conference is filled. Onsite studies on how they employ global Trending registration will be available on a space strategies in their daily processes. • Human Factors available basis beginning at 1 p.m. on Through a series of sessions and • Office of Pharmaceutical Quality September 11, 2016, and at 7 a.m. from meetings, the conference will provide and Program Alignment Group September 12 through 14, 2016. The participants with the opportunity to • Patient Perspective cost of registration is as follows:

COST OF REGISTRATION

July 1– Affiliation Before July August 2, After August 1, 2016 2016 2, 2016

Premier Package (Includes Conference and Workshop Registration)

Member ...... $3,740 $4,190 $4,640 Nonmember ...... 4,199 4,649 5,099

Conference Only

Member ...... 2,395 2,795 2,995 Nonmember ...... 2,654 3,054 3,254 Government/Health Authority Member ...... 700 700 700 Government/Health Authority Nonmember 1 ...... 800 800 800 Academic Member ...... 700 700 700 Academic Nonmember 1 ...... 800 800 800 Student Member ...... 280 280 280 Student Nonmember 1 ...... 310 310 310 1For this member type, online registration is not available and must be faxed in.

Please visit PDA’s Web site: If you need special accommodations and email address, along with a check www.pda.org/pdafda2016 to confirm due to a disability, please contact or money order payable to ‘‘PDA.’’ Mail the prevailing registration fees. (FDA Wanda Neal (see FOR FURTHER to: PDA, Global Headquarters, Bethesda has verified the Web site address, but INFORMATION CONTACT), at least 7 days in Towers, 4350 East West Hwy., Suite FDA is not responsible for any advance of the conference. 150, Bethesda, MD 20814. To register subsequent changes to the Web site after Registration Instructions: To register, via the Internet, go to PDA’s Web site: this document publishes in the Federal please submit your name, affiliation, www.pda.org/pdafda2016. Register.) mailing address, telephone, fax number,

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The registrar will also accept payment Contact Person: Leroy Worth, Ph.D., Intellectual Property by major credit cards (VISA/American Scientific Review Officer, Scientific Review Branch, Division of Extramural Research and United States Provisional Patent Express/MasterCard only). For more Application No. 60/476,467, filed June information on the meeting, or for Training, Nat. Institute of Environmental Health Sciences, P.O. Box 12233, MD EC–30/ 5, 2003, entitled ‘‘Immunogenic questions on registration, contact PDA Room 3171, Research Triangle Park, NC Peptides and Peptide Derivatives For (see FOR FURTHER INFORMATION CONTACT). 27709, (919) 541–0670, [email protected]. The Treatment of Prostate And Breast B. Accommodations Name of Committee: National Institute of Cancer Treatment’’ [HHS Reference No. Environmental Health Sciences Special E–116–2003/0–US–01]; International Attendees are responsible for their Emphasis Panel; Small Business Innovation own accommodations. To make Patent Application No. PCT/US2004/ Research (SBIR) Applications Teleconference 17574 filed June 2, 2004 entitled reservations, contact the Renaissance Review. ‘‘Immunogenic Peptides and Peptide Washington Hotel (see ADDRESSES) and Date: April 7, 2016. reference ‘‘the 2016 PDA/FDA Joint Time: 1:00 p.m. to 4:00 p.m. Derivatives or The Treatment of Prostate Regulatory Conference’’ to receive the Agenda: To review and evaluate grant And Breast Cancer Treatment’’ [HHS PDA group rate. Room rates are: Single: applications. Reference No. E–116–2003/0–PCT–02]; Place: NIEHS, Keystone Building, 530 $305 plus 14.5 percent State and local United States Patent No.7,541,035, Davis Drive, Suite 3118, Research Triangle issued June 2, 2009, entitled taxes. Requests will be processed on a Park, NC 27709, (Telephone Conference first-come, first-served basis. ‘‘Immunogenic Peptides and Peptide Call). Derivatives For The Treatment of Transcripts: As soon as a transcript is Contact Person: Leroy Worth, Ph.D., available, it can be obtained in either Scientific Review Officer, Scientific Review Prostate And Breast Cancer Treatment’’ hardcopy or on CD–ROM, after Branch, Division of Extramural Research and [HHS Reference No. E–116–2003/0–US– submission of a Freedom of Information Training, Nat. Institute of Environmental 03]; United States Patent No. 8,043,623, request. The Freedom of Information Health Sciences, P.O. Box 12233, MD EC–30/ issued 25 Oct 2011, entitled office address is available on the Room 3171, Research Triangle Park, NC ‘‘Immunogenic Peptides and Peptide 27709, (919) 541–0670, [email protected]. Agency’s Web site at http:// Derivatives For The Treatment of www.fda.gov. (Catalogue of Federal Domestic Assistance Prostate And Breast Cancer Treatment’’ Program Nos. 93.115, Biometry and Risk [HHS Reference No. E–116–2003/0–US– Dated: March 16, 2016. Estimation—Health Risks from 04]; United States Provisional Patent Leslie Kux, Environmental Exposures; 93.142, NIEHS Application No. 61/915,948, filed Associate Commissioner for Policy. Hazardous Waste Worker Health and Safety Training; 93.143, NIEHS Superfund December 13, 2013, entitled ‘‘Multi- [FR Doc. 2016–06366 Filed 3–21–16; 8:45 am] Hazardous Substances—Basic Research and Epitope TARP Peptide Vaccine and BILLING CODE 4164–01–P Education; 93.894, Resources and Manpower Uses Thereof’’ [HHS Reference No. E– Development in the Environmental Health 047–2014/0–US–01]; International Sciences; 93.113, Biological Response to Patent Application No. PCT/US2014/ DEPARTMENT OF HEALTH AND Environmental Health Hazards; 93.114, 070144 filed December 12, 2014 entitled HUMAN SERVICES Applied Toxicological Research and Testing, ‘‘Multi-Epitope TARP Peptide Vaccine National Institutes of Health, HHS) and Uses Thereof’’ [HHS Reference No. National Institutes of Health Dated: March 15, 2016. E–047–2014/0–PCT–02]; and all National Institute of Environmental Carolyn Baum, continuation applications, divisional Health Sciences, Notice of Closed Program Analyst, Office of Federal Advisory applications and foreign counterpart Meetings Committee Policy. applications claiming priority to the US [FR Doc. 2016–06337 Filed 3–21–16; 8:45 am] provisional application no. 61/915, 948 Pursuant to section 10(d) of the BILLING CODE 4140–01–P and U.S. Provisional Application No. Federal Advisory Committee Act, as 62/248,964 filed October 30, 2015 titled amended (5 U.S.C. App.), notice is ‘‘Compositions and Methods for the hereby given of the following meetings. DEPARTMENT OF HEALTH AND Treatment of HER2-Expressing Solid The meetings will be closed to the HUMAN SERVICES Tumors’’ [HHS Reference No. E–187– public in accordance with the 2015/0–US–01] and continuation provisions set forth in sections National Institutes of Health applications, divisional applications 552b(c)(4) and 552b(c)(6), title 5 U.S.C., and foreign counterpart applications Prospective Grant of Exclusive as amended. The grant applications and claiming priority to the US provisional License: Development and the discussions could disclose application no. 62/248,964. confidential trade secrets or commercial Commercialization of Cancer The patent rights in these inventions property such as patentable material, Immunotherapy have been assigned to the government of and personal information concerning AGENCY: National Institutes of Health, the United States of America. individuals associated with the grant HHS. The prospective exclusive license applications, the disclosure of which ACTION: Notice. territory may be worldwide and the would constitute a clearly unwarranted field of use may be limited to the use invasion of personal privacy. SUMMARY: This notice, in accordance of Licensed Patent Rights for the Name of Committee: National Institute of with 35 U.S.C. 209 and 37 CFR part 404, following: Environmental Health Sciences Special that the National Institutes of Health, (1) Development and Emphasis Panel; Evaluation of the U01 Department of Health and Human commercialization of a therapeutic Engineered Nanomaterials (ENMs) Grant Services, is contemplating the grant of cancer vaccine specifically in Applications. an exclusive patent license to practice combination with Licensee’s proprietary Date: April 4, 2016. the inventions embodied in the or exclusively in-licensed vectors/ Time: 8:00 a.m. to 5:00 p.m. Agenda: To review and evaluate grant following U.S. Patents and Patent adjuvants and ME–TARP; applications. Applications to Midissia Therapeutics (2) Development and Place: Sheraton Chapel Hill Hotel, 1 (‘‘MIDISSIA’’) located in San Francisco, commercialization of a combination Europa Drive, Chapel Hill, NC 27517. California, USA. product using Licensee’s proprietary or

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exclusively in-licensed check point granted unless within fifteen (15) days Place: National Institutes of Health, Porter inhibitor with Ad-Her2 and ME–TARP from the date of this published notice, Neuroscience Research Center, Building 35A vaccine within the Licensed Patent the NIH receives written evidence and Convent Drive, Rooms 620/630, Bethesda, Rights. argument that establishes that the grant MD 20892. Close: April 14, 2016, 8:15 a.m. to 4:40 DATES: Only written comments and/or of the license would not be consistent p.m. applications for a license which are with the requirements of 35 U.S.C. 209 Agenda: To review and evaluate personal received by the NIH Office of and 37 CFR part 404.7. qualifications and performance, and Technology Transfer on or before April Applications for a license in the field competence of individual investigators. 6, 2016 will be considered. of use filed in response to this notice Place: National Institutes of Health, Porter will be treated as objections to the grant Neuroscience Research Center, Building 35A ADDRESSES: Requests for copies of the of the contemplated exclusive license. Convent Drive, Rooms 620/630, Bethesda, patent application, inquiries, and MD 20892. comments relating to the contemplated Comments and objections submitted to this notice will not be made available Close: April 15, 2016, 8:00 a.m. to 4:30 exclusive license should be directed to: p.m. Sabarni K. Chatterjee, Ph.D., M.B.A. for public inspection and, to the extent Agenda: To review and evaluate personal Senior Licensing and Patenting permitted by law, will not be released qualifications and performance, and Manager, NCI Technology Transfer under the Freedom of Information Act, competence of individual investigators. Center, 9609 Medical Center Drive, RM 5 U.S.C. 552. Place: National Institutes of Health, Porter Neuroscience Research Center, Building 35A Dated: March 16, 2016. 1E530 MSC 9702, Bethesda, MD 20892– Convent Drive, Rooms 620/630, Bethesda, 9702 (for business mail), Rockville, MD Richard U. Rodriguez, MD 20892. 20850–9702 Telephone: (240)–276– Associate Director, Technology Transfer Contact Person: Michael W. Krause, Ph.D., 5530; Facsimile: (240)–276–5504E-mail: Center, National Cancer Institute. Scientific Director, National Institute of [email protected]. [FR Doc. 2016–06374 Filed 3–21–16; 8:45 am] Diabetes and Digestive and Kidney Diseases, National Institute of Health, Building 5, SUPPLEMENTARY INFORMATION: This BILLING CODE 4140–01–P invention concerns the identification of Room B104, Bethesda, MD 20892–1818, (301) 402–4633, [email protected]. immunogenic peptides within TARP, and their use to create an anti-cancer DEPARTMENT OF HEALTH AND In the interest of security, NIH has HUMAN SERVICES instituted stringent procedures for entrance immune response in patients. By onto the NIH campus. All visitor vehicles, introducing these peptides into a National Institutes of Health including taxicabs, hotel, and airport shuttles patient, an immune response against will be inspected before being allowed on these cancer cells can be initiated by the National Institute of Diabetes and campus. Visitors will be asked to show one peptides, resulting in treatment of the form of identification (for example, a Digestive and Kidney Diseases; Notice cancer. A phase I clinical trial in stage government-issued photo ID, driver’s license, of Meeting D0 prostate cancer patients is nearing or passport) and to state the purpose of their completion. Initial results indicate a Pursuant to section 10(d) of the visit. statistically significant decrease in the Federal Advisory Committee Act, as (Catalogue of Federal Domestic Assistance slope of PSA for 48 weeks after amended (5 U.S.C. App.), notice is Program Nos. 93.847, Diabetes, vaccination. hereby given of a meeting of the Board Endocrinology and Metabolic Research; Additionally, a novel vaccine 93.848, Digestive Diseases and Nutrition of Scientific Counselors, NIDDK. Research; 93.849, Kidney Diseases, Urology candidate using recombinant The meeting will be open to the and Hematology Research, National Institutes adenoviruses expressing the public as indicated below, with of Health, HHS) extracellular (EC) and transmembrane attendance limited to space available. (TM) domains of human HER2 Individuals who plan to attend and Dated: March 15, 2016. (HER2ECTM) are also being developed need special assistance, such as sign David Clary, that is within the scope of the field of language interpretation or other Program Analyst, Office of Federal Advisory use licensed to Midissia. The reasonable accommodations, should Committee Policy. recombinant adenovirus expresses a notify the Contact Person listed below [FR Doc. 2016–06336 Filed 3–21–16; 8:45 am] chimeric fiber protein having the in advance of the meeting. BILLING CODE 4140–01–P adenovirus type 35 (Ad5) shaft and The meeting will be closed to the knob domains, which facilitates public as indicated below in accordance transduction of human dendritic cells with the provisions set forth in section DEPARTMENT OF HEALTH AND by the recombinant HER2ECTM 552b(c)(6), Title 5 U.S.C., as amended HUMAN SERVICES expressing adenovirus. The vaccine for the review, discussion, and National Institutes of Health candidate, namely, AdHer2ECTM) can evaluation of individual intramural potentially to treat patients with Her2 programs and projects conducted by the Submission for OMB Review; 30-day expressing tumors. Clinical studies with NATIONAL INSTITUTE OF DIABETES Comment Request: Cancer Genomics this adenovirus based vaccine is AND DIGESTIVE AND KIDNEY Cloud Pilots Survey (NCI) currently being planned. DISEASES, including consideration of Both technologies have the potential personnel qualifications and SUMMARY: Under the provisions of of being developed into a vaccine for performance, and the competence of Section 3507(a)(1)(D) of the Paperwork several cancer indications or for the individual investigators, the disclosure Reduction Act of 1995, the National treatment of any cancer associated with of which would constitute a clearly Cancer Institute (NCI), the National increased or preferential expression of unwarranted invasion of personal Institutes of Health, has submitted to the TARP and Her 2/neu. privacy. Office of Management and Budget The prospective exclusive license will Name of Committee: Board of Scientific (OMB) a request for review and be royalty bearing and will comply with Counselors, NIDDK approval of the information collection the terms and conditions of 35 U.S.C. Date: April 14–15, 2016. listed below. This proposed information 209 and 37 CFR part 404.7. The Open: April 14, 2016, 8:00 a.m. to 8:15 a.m. collection was previously published in prospective exclusive license may be Agenda: Introductions and Overview. the Federal Register on January 13,

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2016, Vol. 81 pp.1633 and allowed 60- FOR FURTHER INFORMATION CONTACT: To scale cancer genomic data and days for public comment. No public obtain a copy of the data collection associated clinical information. The goal comments were received. The purpose plans and instruments, or request more of this effort is to develop an innovative, of this notice is to allow an additional information on the proposed project, cost-effective model for computational 30 days for public comment. The contact: Anthony Kerlavage, NCI CBIIT, analysis of biological data and provide National Cancer Institute (NCI), Program Manager, 9609 Medical Center broader yet secure access to genomic National Institutes of Health (NIH), may Drive, Room 1W–436, Rockville, MD data that NCI generates. Cloud not conduct or sponsor, and the 20850 or call non-toll-free number 240– computing will be a valuable tool to respondent is not required to respond 276–5190 or email your request, support studies related to the to, an information collection that has including your address to: mechanisms of cancer. This capability been extended, revised, or implemented [email protected]. Formal will be equally valuable to other NCI on or after October 1, 1995, unless it requests for additional plans and displays a currently valid OMB control instruments must be requested in scientific areas, including clinical trials number. writing. and other types of patient-focused Direct Comments to OMB: Written Proposed Collection: Cancer research. In order to understand the comments and/or suggestions regarding Genomics Cloud Pilots Survey, 0925– utility and value of the tools being the item(s) contained in this notice, NEW, National Cancer Institute (NCI), developed, the NCI has developed a especially regarding the estimated National Institutes of Health (NIH). survey instrument to capture feedback public burden and associated response Need and Use of Information from the cancer research community. time, should be directed to the: Office Collection Need and Use of Information The information collected as part of this of Management and Budget, Office of Collection: The Center for Biomedical survey process will be used exclusively Regulatory Affairs, Informatics and Information Technology by the NCI to determine future funding [email protected] or by (CBIIT), in collaboration with the Center of cloud technology projects. fax to 202–395–6974, Attention: NIH for Cancer Genomics at the National OMB approval is requested for 3 Desk Officer. Cancer Instititues (NCI) in the National Comment Due Date: Comments Institutes of Health (NIH), is years. There are no costs to respondents regarding this information collection are coordinating a program to develop three other than their time. The total best assured of having their full effect if Cancer Genomics Cloud Pilots to help estimated annualized burden hours are received within 30 days of the date of meet the research community’s needs to 375. this publication. access and analyze high quality, large-

ESTIMATED ANNUALIZED BURDEN HOURS

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

Cloud Pilot Survey ...... Principal Investigator ...... 1500 1 15/60 375

Totals ...... 1500 1500 ...... 375

Dated: March 14, 2016. notify the Contact Person listed below Treatment Research; 93.396, Cancer Biology Karla Bailey, in advance of the meeting. Research; 93.397, Cancer Centers Support; 93.398, Cancer Research Manpower; 93.399, Project Clearance Liaison, National Cancer Name of Committee: President’s Cancer Cancer Control, National Institutes of Health, Institute, NIH. Panel. HHS) [FR Doc. 2016–06332 Filed 3–21–16; 8:45 am] Date: June 10, 2016. Dated: March 16, 2016. BILLING CODE 4140–01–P Time: 9:00 a.m. to 4:00 p.m. Agenda: Examining the Cancer Drug Cost Melanie Gray, and Access Landscape. Program Analyst, Office of Federal Advisory DEPARTMENT OF HEALTH AND Place: New York Hilton Midtown, 1335 Committee Policy. Avenue of the Americas, New York, NY HUMAN SERVICES 10019. [FR Doc. 2016–06335 Filed 3–21–16; 8:45 am] Contact Person: Abby B. Sandler, Ph.D., BILLING CODE 4140–01–P National Institutes of Health Executive Secretary, President’s Cancer Panel, Special Assistant to the Director, NCI National Cancer Institute, Notice of Center for Cancer Research, 9000 Rockville DEPARTMENT OF HEALTH AND Meeting Pike, Building 31, Room B2B37, MSC 2590, HUMAN SERVICES Bethesda, MD 20892–8349, 301–451–9399, Pursuant to section 10(a) of the [email protected]. National Institutes of Health Federal Advisory Committee Act, as Information is also available on the amended (5 U.S.C. App.), notice is Institute’s/Center’s home page: http:// Final Action Under the NIH Guidelines hereby given of the meeting of the deainfo.nci.nih.gov/advisory/pcp/index.htm, for Research Involving Recombinant or President’s Cancer Panel. where an agenda and any additional Synthetic Nucleic Acid Molecules (NIH information for the meeting will be posted Guidelines) The meeting will be open to the when available. public, with attendance limited to space (Catalogue of Federal Domestic Assistance AGENCY: National Institutes of Health available. Individuals who plan to Program Nos. 93.392, Cancer Construction; (NIH), HHS. attend and need special assistance, such 93.393, Cancer Cause and Prevention ACTION: Notice of changes to the NIH as sign language interpretation or other Research; 93.394, Cancer Detection and Guidelines. reasonable accommodations, should Diagnosis Research; 93.395, Cancer

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SUMMARY: This notice sets forth final IOM review whether gene transfer This request must include the rationale changes to the National Institutes of research raises issues of concern that for why the protocol satisfies both items Health Guidelines for Research warrant the current level of RAC 1 and 2 of the NIH RAC review criteria. Involving Recombinant or Synthetic oversight of individual clinical trials The NIH will review the request and Nucleic Acid Molecules (NIH involving gene transfer techniques. The notify the requestor of a decision within Guidelines) to incorporate the IOM noted that the RAC has served a 10 working days. recommendations of the Institute of valuable role, but concluded that the 1. If the NIH determines that the Medicine (IOM) regarding human gene current level of oversight over criteria listed in both 1 and 2 above are transfer protocols, as initially outlined individual clinical trials is no longer satisfied, the NIH Director will convene by the NIH Office of Science Policy justifiable. In an effort to maximize the the RAC. (OSP) in a Federal Register notice benefits of the RAC review process, the 2. If the NIH receives a request for issued on October 16, 2015 (80 FR IOM recommended that the NIH RAC review of a protocol that the NIH 62543). Following the solicitation of maintain its protocol submission and determines does not meet both of these public comment on its original safety reporting requirements, but criteria, the NIH will: proposal, the NIH is amending the NIH restrict individual gene transfer protocol a. Inform the requestor that RAC Guidelines in the following areas: (A) reviews to exceptional cases that meet review is not warranted, and The criteria for selecting protocols for specified criteria (full recommendations b. indicate that information regarding in-depth review and public discussion are listed in the IOM report Oversight human gene transfer trials is available in by the NIH Recombinant DNA Advisory and Review of Clinical Gene Transfer the Genetic Modification Clinical Committee (RAC), (B) the process by Protocols: Assessing the Role of the Research Information System ® which human gene transfer protocols Recombinant DNA Advisory Committee (GeMCRIS ), which may be found at are reviewed and registered with the (http://www.iom.edu/Reports/2013/ https://www.gemcris.od.nih.gov. NIH, and (C) the streamlining of the NIH Oversight-and-Review-of-Clinical-Gene- 3. Even if the protocol does not meet protocol submission requirements under Transfer-Protocols.aspx)). the proposed criteria listed in both Appendix M–I–A of the NIH Guidelines. After careful consideration of the items 1 and 2 above, the NIH Director, In a continuing effort to harmonize with IOM’s recommendations and public in consultation (if necessary) with the Food and Drug Administration consultation, the NIH is amending the appropriate regulatory authorities (e.g., (FDA) regulations, a change is being NIH Guidelines in the following areas: the Office for Human Research made to the reporting requirement for A. Criteria and process for selecting Protections, the Food and Drug additional clinical trial sites allowing protocols for RAC review. The following Administration), can select protocols for for a delay of 30 days to submit criteria (subsequently referred to as the review that may present significant appropriate documentation. NIH RAC review criteria) are being scientific, societal, or ethical concerns. The changes set forth in this notice do implemented for initiating RAC review B. Process by which human gene not affect the responsibility of the of individual human gene transfer transfer protocols are registered with the Principal Investigator to submit protocols (criteria listed in both items 1 NIH. All human gene transfer protocols documentation to his or her local and 2 must be met): subject to Section III–C of the NIH oversight bodies and to the NIH, nor do 1. An oversight body (an Institutional Guidelines will continue to be registered they affect the requirement to submit Biosafety Committee (IBC) or an with the NIH. However, the following appropriate documentation to the NIH Institutional Review Board (IRB)) changes are being implemented: when new clinical trial sites are determines that a human gene transfer 1. The Principal Investigator will registered. The changes also do not protocol submitted to it for approval continue to be responsible for affect the responsibility of a Principal would significantly benefit from RAC submitting documentation regarding a Investigator (or a delegated clinical trial review; and proposed human gene transfer protocol sponsor) to submit appropriate and 2. One or more of the criteria below to his or her local oversight bodies. The timely follow up information to the NIH are satisfied: Principal Investigator will also continue as outlined in the NIH Guidelines (e.g., a. The protocol uses a new vector, to be responsible for submitting protocol amendments, serious adverse genetic material, or delivery documentation as outlined in Appendix events, annual reports with cumulative methodology that represents a first-in- M–I–A to the NIH. As part of the safety data). human experience, thus presenting an submission to the NIH, documentation unknown risk. shall also include written assessments DATES: Changes outlined in this notice b. The protocol relies on preclinical originating from all oversight bodies will be effective April 27, 2016, to safety data that were obtained using a involved in the review at an initial coincide with the RAC review cycle and new preclinical model system of site(s) as to whether or not RAC review to allow institutions and investigators to unknown and unconfirmed value. is warranted. establish processes for implementing c. The proposed vector, gene 2. Completion of the protocol the new review procedures. construct, or method of delivery is registration process: FOR FURTHER INFORMATION CONTACT: If associated with possible toxicities that a. If no oversight body involved in the you have questions, or require are not widely known and that may review at an initial site(s) requests additional background information render it difficult for oversight bodies to public RAC review, the IBC(s) may about these changes, please contact the evaluate the protocol rigorously. proceed with its approval process upon NIH by email at SciencePolicy@ The chair of an oversight body or an receipt of documentation from the NIH od.nih.gov, by telephone at 301–496– authorized oversight body indicating that the initial protocol 9838, by fax at 301–496–9839, or by representative may submit a request for registration process is complete. This mail to the Office of Science Policy, RAC review by sending the request to documentation will be provided by the National Institutes of Health, 6705 the NIH as part of the submission NIH to the Principal Investigator within Rockledge Drive, Suite 750, Bethesda, materials provided by the Principal 10 working days. Maryland 20892–7985. Investigator. Requests for RAC review b. If one or more oversight bodies SUPPLEMENTARY INFORMATION: The NIH must originate from oversight bodies involved in the review at an initial Office of the Director requested that the involved in the initial site(s) review. site(s) requests public RAC review and

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the NIH agrees that the submission has federal reporting requirements. In its amended to specify that a request for met the above criteria in (A), the report, the IOM recognized the value of RAC review must be made by oversight protocol will undergo RAC review and ongoing registration of all protocols, the bodies involved in the review at an public discussion. The IBC(s) may not dissemination of that information on initial site(s) registering the protocol approve a protocol until the RAC has these protocols through GeMCRIS, the with the NIH. completed its review. The IBC(s) may ongoing reporting and analysis of safety RAC expertise and review. Several proceed with the approval process upon data, and their public discussion at comments discussed the value of RAC receipt of a letter from the NIH scientific workshops and symposia for review in terms of scientific expertise, summarizing the RAC’s comments and the benefit of this field. Thus, to and expressed concerns about removing recommendations (if any) regarding the continue the NIH’s role in fostering a this resource for local oversight bodies. protocol. Unless the NIH determines public discussion of human gene The NIH recognizes the value of the that there are exceptional transfer research, no further changes to RAC and intends to continue to support circumstances, the NIH will send the material required under Appendix its review of those protocols that would notification to the Principal Investigator M–I–A are being made. benefit from additional expertise and within 10 working days after the Criteria by which human gene transfer public discussion. Historically, only a completion of the RAC meeting at protocols will be selected. Some entities fraction of all protocols registered with which the experiment was reviewed. raised concerns about the difficulty in the NIH are publicly reviewed and it is Receipt of this letter concludes the applying the IOM criteria to human expected that oversight bodies will protocol registration process. gene transfer protocols, specifically in continue to review and approve C. Streamlining the submission terms of defining ‘‘novelty.’’ Given the protocols in the same manner they requirements for protocol registration. evolving field of human gene transfer always have. In cases where an Section III–C–1 and Appendix M of the research, it is important that the RAC oversight body feels additional expertise NIH Guidelines specify the review criteria maintain a degree of is needed, it is encouraged to augment requirements for protocol submission, flexibility. Thus, the NIH intends to its membership with ad hoc experts. RAC review, and reporting requirements implement the IOM criteria as outlined Proprietary confidential information. for human gene transfer experiments. In in its report. Of relevance, the IOM did Comments were raised regarding the an effort to streamline the protocol elaborate that ‘‘[n]ovelty indicates an confidentiality of information submitted submission process, the NIH is reducing untested area of science, one that brings to the NIH, especially in cases where the the submission requirements as outlined an additional layer of uncertainty as submitter considers the information to in Appendix M–I–A. Specifically, only compared to research in areas of greater be confidential or proprietary. The NIH a subset of the information listed under experience and one for which Guidelines state that documents the current Appendices M–II through institutional review bodies typically do submitted to the NIH should not contain M–V will be required mainly for not have the requisite expertise.’’ This information considered ‘‘confidential’’ oversight bodies to determine RAC may include a novel approach, and that the amended NIH Guidelines review eligibility and to support application of a new technology, or a will further indicate that an entire GeMCRIS®, which facilitates safety data new route of administration of a gene document such as a clinical protocol reporting and enables public access to transfer product to target a disease. cannot be classified as ‘‘confidential’’ in information about human gene transfer Process by which human gene transfer its entirety. Should a submitter choose protocols registered with the NIH. protocols will be selected. Several to provide information that is The changes to the RAC review comments requested clarification considered to be trade secret, process, outlined above, will require regarding the process by which a RAC confidential commercial, or financial in amendment of multiple portions of the public discussion would occur, whether nature, it is incumbent on the submitter NIH Guidelines (see section below on entities other than oversight bodies (e.g. to identify clearly these specific ‘‘Amendments to the NIH Guidelines’’). investigational new drug sponsors or portions, outlining how the release of Principal Investigators) could request this information would cause financial Overview of Comments Received in review, or in the case of trials being or competitive harm. All records Response to the October 16, 2015 Notice conducted at more than one site, submitted to the NIH, including human In response to its October 16, 2015, whether a clinical trial site added after gene transfer clinical trial information, Federal Register notice, the NIH completion of the protocol registration are subject to the Freedom of received 11 letters of comment from process for the initial site(s) could Information Act (FOIA—5 U.S.C. 552) academic institutions, private request RAC review. The ability to and the Department of Health and companies, and trade organizations request RAC review lies initially and Human Services FOIA regulations (45 representing the biosafety and solely within the purview of the local CFR part 5). Details about the FOIA and biomedical research communities. The oversight bodies (i.e., IBC and IRB), the regulations can be found on the NIH majority of letters endorsed the although the NIH Director in Web site at this address: http:// proposed changes to the review process; consultation (as needed) with the www.nih.gov/institutes-nih/nih-office- however commenters suggested that appropriate regulatory authorities may director/office-communications-public- some revisions would be helpful to also require it. Since both the expertise liaison/freedom-information-act-office. clarify the proposal. All comments, that these oversight bodies (IBCs and regardless of position, were reviewed IRBs) have regarding the review of Amendments to the NIH Guidelines and considered by the NIH. These human gene transfer trials and their Throughout the document the comments, along with the NIH rationale for requesting public review following global changes will be made: responses, are summarized below: are potentially very different, a (i) The NIH OSP will replace the NIH Submission requirements for human recommendation for public review from OBA, (ii) the term ‘‘RAC review’’ will be gene transfer protocols. Several either oversight body will be sufficient replaced with the term ‘‘NIH protocol comments focused on the appropriate to trigger a determination from the NIH registration process’’ as appropriate; (iii) amount of documentation needed for as to whether the IOM criteria are met. the title for Appendix M–I–B will be the registration of human gene transfer To clarify the process for requesting changed; and (iv) the requirement for a protocols, especially in light of other RAC review, the NIH Guidelines will be CV/biosketch of key personnel will be

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deleted (except for the requirements safety, social, and ethical implications contain any confidential commercial or under the membership provisions of of the research. financial information or trade secrets, IBCs, Section IV–B–2–a). Public RAC review and discussion of enabling all aspects of RAC review to be Section I–E will be amended to a human gene transfer experiment will open to the public. include the following new definitions: be initiated in two exceptional Note: For specific directives I–E–11. An ‘‘oversight body’’ is an circumstances: (1) Following a request concerning the use of retroviral vectors institutional entity (an Institutional for public RAC review from one or more for gene delivery, consult Appendix B– Biosafety Committee or an Institutional oversight bodies involved in the review V–1, Murine, Retroviral Vectors. Review Board) that must review and at an initial site(s), the NIH concurs that Section IV–B–1–f will be amended as approve a human gene transfer trial. the submission meets one or more of the follows: I–E–12. A ‘‘regulatory authority’’ in following NIH RAC review criteria: (i) Section IV–B–1–f. Ensure that when the context of human gene transfer The protocol uses a new vector, genetic the institution participates in or research is a federal entity that by material, or delivery methodology that sponsors recombinant or synthetic statute has oversight over research represents a first-in-human experience, nucleic acid molecule research involving human subjects. thus presenting an unknown risk; (ii) involving human subjects: (i) The Section III–C–1 will be amended as the protocol relies on preclinical safety Institutional Biosafety Committee has follows: data that were obtained using a new adequate expertise and training (using Section III–C–1. Experiments preclinical model system of unknown ad hoc consultants as deemed Involving the Deliberate Transfer of and unconfirmed value; or (iii) the necessary), (ii) all aspects of Appendix Recombinant or Synthetic Nucleic Acid proposed vector, gene construct, or M have been appropriately addressed by Molecules, or DNA or RNA Derived method of delivery is associated with the Principal Investigator; and (iii) no from Recombinant or Synthetic Nucleic possible toxicities that are not widely research participant shall be enrolled Acid Molecules, into One or More known and that may render it difficult (see definition of enrollment in Section Human Research Participants Human for oversight bodies involved in the I–E–7) in a human gene transfer gene transfer is the deliberate transfer review at an initial site(s) to evaluate the experiment until the NIH protocol into human research participants of protocol rigorously. However, if one or registration process has been completed either: more oversight bodies involved in the (see Appendix M–I–B, Selection of 1. Recombinant nucleic acid review at an initial site(s) requests Individual Protocols for Public RAC molecules, or DNA or RNA derived from public RAC review, but the NIH does Review and Discussion), Institutional recombinant nucleic acid molecules, or not concur that the submission meets Biosafety Committee approval has been 2. Synthetic nucleic acid molecules, one or more of the RAC review criteria obtained, Institutional Review Board or DNA or RNA derived from synthetic (listed in i, ii, or iii), then the NIH OSP approval has been obtained, and all nucleic acid molecules that meet any will inform, within 10 working days, the applicable regulatory authorizations one of the following criteria: requesting and other oversight bodies have been obtained. Institutional a. Contain more than 100 nucleotides; involved in the review at an initial Biosafety Committee approval must be or site(s) that public RAC review is not obtained from the clinical trial site. b. Possess biological properties that warranted. (2) The NIH Director, in None of the other sub-sections under enable integration into the genome (e.g., consultation (if needed) with Section IV–B–1. General Information are cis elements involved in integration); or appropriate regulatory authorities, to be amended. c. Have the potential to replicate in a determines that the submission: (a) Section IV–B–2–a–(1) will be amended cell; or Meets one or more of the NIH RAC as follows: d. Can be translated or transcribed. review criteria (listed in i, ii, or iii) and Section IV–B–2–a–(1). The No research participant shall be that public RAC review and discussion Institutional Biosafety Committee must enrolled (see definition of enrollment in would provide a clear and obvious be composed of no fewer than five Section I–E–7) until the NIH protocol benefit to the scientific community or members so selected that they registration process has been completed the public; or (b) raises significant collectively have experience and (see Appendix M–I–B, Selection of scientific, societal, or ethical concerns. expertise in recombinant or synthetic Individual Protocols for Public RAC For a clinical trial site that is added nucleic acid molecule technology and Review and Discussion). after completion of the NIH protocol the capability to assess the safety of In its evaluation of human gene registration process, no research recombinant or synthetic nucleic acid transfer protocols, the NIH will make a participant shall be enrolled (see molecule research and to identify any determination, following a request from definition of enrollment in Section I–E– potential risk to public health or the one or more oversight bodies involved 7) at the clinical trial site until the environment. At least two members in the review at an initial site(s), following documentation has been shall not be affiliated with the whether a proposed human gene submitted to the NIH OSP: (1) institution (apart from their membership transfer experiment has one or more of Institutional Biosafety Committee on the Institutional Biosafety the characteristics that warrant public approval (from the clinical trial site); (2) Committee) and who represent the RAC review and discussion (See Institutional Review Board approval; (3) interest of the surrounding community Appendix M–1–B–1). The process of Institutional Review Board-approved with respect to health and protection of public RAC review and discussion is informed consent document; and (4) the the environment (e.g., officials of state intended to foster the safe and ethical NIH grant number(s) if applicable. or local public health or environmental conduct of human gene transfer In order to maintain public access to protection agencies, members of other experiments. Public review and information regarding human gene local governmental bodies, or persons discussion of a human gene transfer transfer (including protocols that are not active in medical, occupational health, experiment (and access to relevant publicly reviewed by the RAC), the NIH or environmental concerns in the information) also serves to inform the OSP will maintain the documentation community). The Institutional Biosafety public about the technical aspects of the described in Appendices M–I through Committee shall include at least one proposal, the meaning and significance M–II. The information provided in individual with expertise in plant, plant of the research, and any significant response to Appendix M should not pathogen, or plant pest containment

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principles when experiments utilizing Section IV–B–2–b–(1). Reviewing Synthetic Nucleic Acid Molecules into Appendix P, Physical and Biological recombinant or synthetic nucleic acid One or More Human Subjects (Points to Containment for Recombinant or molecule research conducted at or Consider), have been appropriately Synthetic Nucleic Acid Molecule sponsored by the institution for addressed by the Principal Investigator Research Involving Plants, require prior compliance with the NIH Guidelines as prior to its approval. approval by the Institutional Biosafety specified in Section III, Experiments Section IV–B–7–b–(6) will be amended Committee. The Institutional Biosafety Covered by the NIH Guidelines, and as follows: Committee shall include at least one approving those research projects that Section IV–B–7–b–(6). Ensure that all scientist with expertise in animal are found to conform to the NIH aspects of Appendix M have been containment principles when Guidelines. This review shall include: appropriately addressed prior to experiments utilizing Appendix Q, (i) Independent assessment of the submission. No research participant Physical and Biological Containment for containment levels required by the NIH shall be enrolled (see definition of Recombinant or Synthetic Nucleic Acid Guidelines for the proposed research; enrollment in Section I–E–7) in a Molecule Research Involving Animals, (ii) assessment of the facilities, human gene transfer experiment until require Institutional Biosafety procedures, practices, and training and the NIH protocol registration process Committee prior approval. When the expertise of personnel involved in has been completed (see Appendix M– institution conducts recombinant or recombinant or synthetic nucleic acid I–B, Selection of Individual Protocols synthetic nucleic acid molecule molecule research; (iii) ensuring that all for Public RAC Review and Discussion); research at BL3, BL4, or Large Scale aspects of Appendix M have been IBC approval (from the clinical trial site) (greater than 10 liters), a Biological appropriately addressed by the has been obtained; Institutional Review Safety Officer is mandatory and shall be Principal Investigator (iv) ensuring that Board (IRB) approval has been obtained; a member of the Institutional Biosafety no research participant is enrolled (see and all applicable regulatory Committee (see Section IV–B–3, definition of enrollment in Section I–E– authorization(s) have been obtained. Biological Safety Officer). When the 7) in a human gene transfer experiment For a clinical trial site that is added institution participates in or sponsors until the NIH protocol registration after completion of the NIH protocol recombinant or synthetic nucleic acid process has been completed (see registration process, no research molecule research involving human Appendix M–I–B, Selection of participant shall be enrolled (see research participants, the institution Individual Protocols for Public RAC definition of enrollment in Section I–E– must ensure that: (i) The Institutional Review and Discussion), Institutional 7) at the clinical trial site until the Biosafety Committee has adequate Biosafety Committee approval (from the following documentation has been expertise and training (using ad hoc clinical trial site) has been obtained, submitted to the NIH OSP: (1) IBC consultants as deemed necessary); (ii) Institutional Review Board approval has approval (from the clinical trial site); (2) all aspects of Appendix M have been been obtained, and all applicable IRB approval; (3) IRB-approved appropriately addressed by the regulatory authorizations have been informed consent document; and (4) Principal Investigator; (iii) no research obtained; (v) for human gene transfer NIH grant number(s) if applicable. participant shall be enrolled (see protocols selected for public RAC To implement this new process, the definition of enrollment in Section I–E– review and discussion, consideration of NIH will amend Appendix M, Points to 7) in a human gene transfer experiment the issues raised and recommendations Consider in the Design and Submission until the NIH protocol registration made as a result of this review and of Protocols for the Transfer of process has been completed (see consideration of the Principal Recombinant or Synthetic Nucleic Acid Appendix M–I–B, Selection of Investigator’s response to the RAC Molecules into One or More Human Individual Protocols for Public RAC recommendations; (vi) ensuring that Research Participants (Points to Review and Discussion); and (iv) final final IBC approval is granted only after Consider). IBC approval is granted only after the the NIH protocol registration process Appendix M will be amended as NIH protocol registration process has has been completed (see Appendix M– follows: been completed (see Appendix M–I–B, I–B, Selection of Individual Protocols Appendix M applies to research Selection of Individual Protocols for for Public RAC Review and Discussion); conducted at or sponsored by an Public RAC Review and Discussion). and (vii) ensuring compliance with all institution that receives any support for Institutional Biosafety Committee surveillance, data reporting, and adverse recombinant or synthetic nucleic acid approval must be obtained from the event reporting requirements set forth in molecule research from NIH. clinical trial site. the NIH Guidelines. Researchers not covered by the NIH Note: Individuals, corporations, and None of the other sub-sections under Guidelines are encouraged to use institutions not otherwise covered by Section IV–B–2–b. Functions of the IBC Appendix M (see Section I–C, General the NIH Guidelines, are encouraged to are to be amended. Applicability). adhere to the standards and procedures Section IV–B–6 will be amended as The acceptability of human somatic set forth in Sections I through IV (see follows: cell gene transfer has been addressed in Section IV–D, Voluntary Compliance. Section IV–B–6. Human Gene Therapy several public documents as well as in The policy and procedures for Expertise. When the institution numerous academic studies. In establishing an Institutional Biosafety participates in or sponsors recombinant November 1982, the President’s Committee under Voluntary or synthetic nucleic acid molecule Commission for the Study of Ethical Compliance, are specified in Section research involving human subjects, the Problems in Medicine and Biomedical IV–D–2, Institutional Biosafety institution must ensure that: (i) The and Behavioral Research published a Committee Approval). Institutional Biosafety Committee has report, Splicing Life, which resulted None of the other sub-sections under adequate expertise and training (using from a two-year process of public Section IV–B2–a. Membership and ad hoc consultants as deemed deliberation and hearings. Upon release Procedures of the IBC are to be necessary) and (ii) all aspects of of that report, a U.S. House of amended. Appendix M, Points to Consider in the Representatives subcommittee held Section IV–B–2–b–(1) will be amended Design and Submission of Protocols for three days of public hearings with as follows: the Transfer of Recombinant or witnesses from a wide range of fields

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from the biomedical and social sciences submit the relevant information on the will be included in the material for the to theology, philosophy, and law. In proposed human gene transfer RAC meeting at which the human gene December 1984, the Office of experiment to the oversight bodies transfer trial is scheduled to be Technology Assessment released a involved in the review at an initial discussed. RAC meetings will be open background paper, Human Gene site(s) and then to the NIH. The format to the public except where trade secrets Therapy, which concluded that civic, of the submission is described in and proprietary information are religious, scientific, and medical groups Appendix M–I–A, Requirements for reviewed (see Section IV–D–5, have all accepted, in principle, the Protocol Submission. Submission to the Protection of Proprietary Data— appropriateness of gene transfer of NIH OSP shall be for registration Voluntary Compliance). Information somatic cells in humans for specific purposes and will ensure continued provided in response to Appendix M genetic diseases. Somatic cell gene public access to relevant human gene should not contain any proprietary data transfer is seen as an extension of transfer information conducted in or trade secrets, enabling all aspects of present methods that might be compliance with the NIH Guidelines. the review to be open to the public. preferable to other technologies. In light Public RAC review and discussion of Some but not all sections of Appendix of this public support, the NIH is a human gene transfer experiment will M–I Requirements for Protocol prepared to consider proposals for be initiated in two exceptional Submission, Review, and Reporting— somatic cell gene transfer. circumstances: (1) Following a request Human Gene Transfer Experiments will The NIH will not at present entertain for public RAC review from one or more be amended to decrease the number and proposals for germ line alterations but oversight bodies involved in the review amount of supporting documentation will consider proposals involving at an initial site(s), the NIH concurs that that must be submitted upon protocol somatic cell gene transfer. The purpose the submission meets one or more of the registration, and to modify the timing of of somatic cell gene transfer is to treat following NIH RAC review criteria: (i) the registration processes. Principal an individual patient, e.g., by inserting The protocol uses a new vector, genetic Investigators must submit the material a properly functioning gene into the material, or delivery methodology that as outlined below to oversight bodies at subject’s somatic cells. Germ line represents a first-in-human experience, the proposed clinical trial sites; alteration involves a specific attempt to thus presenting an unknown risk; (ii) however, submission of responses to introduce genetic changes into the germ the protocol relies on preclinical safety Appendices M–II through M–V or (reproductive) cells of an individual, data that were obtained using a new curriculum vitae will no longer be with the aim of changing the set of preclinical model system of unknown required. genes passed on to the individual’s and unconfirmed value; or (iii) the Appendix M–I–A will be amended as offspring. proposed vector, gene construct, or follows: The NIH continues to explore the method of delivery is associated with issues raised by the potential of in utero possible toxicities that are not widely Appendix M–I–A. Requirements for gene transfer clinical research. However, known and that may render it difficult Protocol Submission the NIH concludes that, at present, it is for oversight bodies involved in the The following documentation must be premature to undertake any in utero review at an initial site(s) to evaluate the submitted according to institutional gene transfer clinical trial. Significant protocol rigorously. However, if one or policy, to the appropriate oversight additional preclinical and clinical more oversight bodies involved in the bodies involved in the review at an studies addressing vector transduction review at an initial site(s) requests initial site(s) and subsequently in efficacy, biodistribution, and toxicity public RAC review, but the NIH does electronic form to the NIH OSP: are required before a human in utero not concur that the submission meets 1. A scientific abstract. gene transfer protocol can proceed. In one or more of the RAC review criteria addition, a more thorough (listed in i, ii, or iii), then the NIH OSP 2. The proposed clinical protocol, understanding of the development of will inform, within 10 working days, the including tables, figures, and any human organ systems, such as the requesting and other oversight bodies relevant publications. immune and nervous systems, is needed involved in the review at an initial 3. Summary of preclinical studies to better define the potential efficacy site(s) that public RAC review is not conducted in support of the proposed and risks of human in utero gene warranted. (2) The NIH Director, in clinical trial or reference to the specific transfer. Prerequisites for considering consultation (if needed) with section of the protocol providing this any specific human in utero gene appropriate regulatory authorities, information. transfer procedure include an determines that the submission: (a) 4. A description of the product: understanding of the pathophysiology of Meets one or more of the NIH RAC a. Describe the derivation of the the candidate disease and a review criteria (listed in i, ii, or iii) and delivery vector system including the demonstrable advantage to the in utero that public RAC review and discussion source (e.g., viral, bacterial, or plasmid approach. Once the above criteria are would provide a clear and obvious vector); and modifications (e.g., met, the NIH would be willing to benefit to the scientific community or deletions to attenuate or self-inactivate, consider well rationalized human in the public; or (b) raises significant encapsulation in any synthetic complex, utero gene transfer clinical trials. scientific, societal, or ethical concerns. changes to tropisms, etc.). Please Research proposals involving the If it is determined that a human gene reference any previous clinical deliberate transfer of recombinant or transfer trial will undergo public RAC experience with this vector or similar synthetic nucleic acid molecules, or review, the NIH will immediately notify vectors. DNA or RNA derived from such nucleic the Principal Investigator. RAC b. Describe the genetic content of the acid molecules, into one or more human recommendations following public transgene or nucleic acid delivered subjects (human gene transfer) will be review on a specific human gene including the species source of the considered through a registration transfer experiment shall be forwarded sequence and whether any process involving the NIH, oversight to the Principal Investigator, oversight modifications have been made (e.g. bodies involved in the review at an bodies involved in the review at an mutations, deletions, and truncations). initial site(s), and regulatory authorities, initial site(s), and regulatory authorities, What are the regulatory elements when appropriate. Investigators shall as appropriate. Relevant documentation contained in the construct?

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c. Describe any other material to be as follows to form a consolidated possible toxicities that are not widely used in preparation of the agent (vector Appendix M–1–B: known and that may render it difficult and transgene) that will be administered for local and federal regulatory bodies to Appendix M–1–B. Selection of to the human research subject (e.g., evaluate the protocol rigorously, and is Individual Protocols for Public RAC therefore requesting RAC review and helper virus, packaging cell line, carrier Review and Discussion particles). public discussion, the Principal d. Describe the methods for As part of the NIH protocol Investigator shall submit the replication-competent virus testing, if registration process, documentation documentation as outlined in Appendix applicable. originating from all oversight bodies M–I–A at least 8 weeks prior to the next e. Describe the intended ex vivo or in involved in the review at an initial scheduled meeting in order to be vivo target cells and transduction site(s) regarding their assessment of reviewed at that RAC meeting. The efficiency. whether public RAC review is submission shall include f. Describe the gene transfer agent warranted must accompany the documentation originating from delivery method. Principal Investigator’s submission to oversight bodies involved in the review 5. The proposed informed consent the NIH. If no oversight body involved at an initial site(s) regarding their document. in the review at an initial site(s) requests assessment of whether public RAC public RAC review, then the required 6. Specifically for submission to the review is warranted and that one or both documentation to register the protocol NIH OSP, the Principal Investigator have justified their request according (see Appendix M–I–A) shall be shall provide additional documentation the NIH RAC review criteria listed submitted to the NIH OSP at any time, originating from oversight bodies above. The submission shall be but not less than 10 working days prior involved in the review at an initial provided to the NIH in electronic form to the anticipated date of enrollment of site(s) regarding their assessment of to the Office of Science Policy, National the first subject (see definition of whether public RAC review is Institutes of Health, 6705 Rockledge enrollment in Section I–E–7). This Drive, Suite 750, Bethesda, MD 20892– warranted. In the event that review is information shall be provided in requested, a justification that the NIH 7985 (20817 for non-USPS mail), 301– electronic form to the Office of Science 496–9838, 301–496–9839 (fax), Email: RAC review criteria (see Section III–C– Policy, National Institutes of Health, 1) are met shall be included. [email protected]. If the NIH 6705 Rockledge Drive, Suite 750, concurs that the submission meets one Note: Any application submitted shall Bethesda, MD 20892–7985 (20817 for not contain any document that is or more of the following NIH RAC non-USPS mail), 301–496–9838, 301– review criteria above, the protocol will designated as ‘confidential’ in its 496–9839 (fax), Email: HGTprotocols@ undergo public RAC review and entirety. In the event that a mail.nih.gov. An acknowledgement that discussion. determination has been made that a the protocol registration process is Even if an oversight body involved in specific portion of a document should complete will occur within the 10 the review at an initial site(s) does not be considered proprietary or trade working days period prior to the request public RAC review, the NIH secret, each specific portion should be anticipated date of enrollment. Final Director, after consultation (if needed) clearly identified as such. In the event IBC approval may then be granted. with appropriate regulatory authorities, that a specific portion of the submission If one or more oversight bodies may initiate public RAC review if (a) the is identified to be proprietary or trade involved in the review at an initial protocol has one or more of the secret, the submission to the NIH OSP site(s) requests public RAC review, but characteristics listed above (i, ii, or iii) must contain a letter that: (1) Clearly the NIH does not concur that the and public RAC review and discussion indicates what select portions of the submission meets one or more of the would provide a clear and obvious application contain information RAC review criteria, the NIH OSP will benefit to the scientific community or considered as proprietary or trade notify the Principal Investigator, public; or (b) the protocol otherwise secret, and (2) provides justification as oversight bodies involved in the review raises significant scientific, societal, or to why this information is considered to at an initial site(s), and regulatory ethical concerns. If a protocol is to be proprietary or trade secret. The authorities, as appropriate, that public undergo RAC public discussion a justification must be able to demonstrate RAC review is not warranted. An complete human gene transfer protocol with specificity how release of that acknowledgement that the protocol package must be submitted at least 8 information will reveal a trade secret or registration process is complete will weeks before a scheduled RAC meeting will result in substantial competitive accompany this decision. Final IBC to be reviewed at that upcoming harm. approval may then be granted. meeting. Appendix M–I–B, RAC Review If an oversight body involved in the After a human gene transfer Requirements will be amended to review at an initial site(s) determines experiment is publicly reviewed by the change the process and timing of public that: (1) A protocol submission would full RAC at a regularly scheduled RAC review. Currently, investigators are significantly benefit from public RAC meeting, the NIH OSP will send a letter informed within 15 working days review and discussion and (2) that one summarizing the RAC’s comments and whether or not the protocol requires or more of the following NIH RAC recommendations (if any) regarding the public RAC review. Public discussion of review criteria are met: (i) The protocol protocol to the Principal Investigator(s), selected protocols then occurs at the uses a new vector, genetic material, or oversight bodies involved in the review next quarterly RAC meeting, which delivery methodology that represents a at an initial site(s), and regulatory occurs, at a minimum of, eight weeks first-in-human experience, thus authorities as appropriate. Unless the after receipt of a complete protocol presenting an unknown risk; or (ii) the NIH determines that there are submission. Individual RAC members protocol relies on preclinical safety data exceptional circumstances, the NIH will will no longer make a recommendation that were obtained using a new send this letter to the Principal regarding whether a protocol should be preclinical model system of unknown Investigator within 10 working days selected for review at a public meeting. and unconfirmed value; or (iii) the after the completion of the RAC meeting Therefore, Appendix M–1–B–1 and proposed vector, gene construct, or at which the experiment was reviewed. Appendix M–1–B–2 are being amended method of delivery is associated with Receipt of this letter concludes the

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protocol registration process. Final IBC M–V, Special Issues will be deleted in 779–9040 and use Participant Passcode approval may then be granted. their entirety, except for Appendix M– 5055308 for access to the meeting. RAC meetings will be open to the III–B–2–b, Long Term Follow-Up which Individuals needing special assistance public except where trade secrets or will be updated to include a reference should notify the Contact Person listed confidential commercial information are to FDA’s current guidance on this issue below in advance of the meeting. reviewed. To enable all aspects of the and will become Appendix M–II. Name of Committee: Advisory Committee protocol review process to be open to Appendix M–II will be amended as to the Director, National Institutes of Health. the public, information provided in follows: Date: April 21, 2016. response to Appendix M–I–A should Time: 4:00 p.m. to 6:00 p.m. EDT. Appendix M–II. Long Term Follow-Up not contain trade secrets or confidential Agenda: The HeLa Genome Data Access commercial or financial information. To permit evaluation of long-term safety working group will report on the evaluation Documentation submitted to the NIH and efficacy of gene transfer, prospective of requests to access HeLa cell genome sequence data. The Clinical Center working OSP shall not be designated as subjects should be informed that they are expected to cooperate in long-term follow-up group will present their final report to the ‘confidential’ in its entirety. In the event that extends beyond the active phase of the Advisory Committee to the Director, NIH. that a determination has been made that study. A list of persons who can be contacted Place: National Institutes of Health, a specific portion of a document in the event that questions arise during the (Telephone Conference Call), Dial In Number submitted should be considered as follow-up period should be provided to the 800–779–9040, Participant Passcode: proprietary or trade secret, each specific investigator. In addition, the investigator 5055308. portion should be clearly identified as should request that subjects continue to Contact Person: Gretchen Wood, Staff such. The cover letter (attached to the provide a current address and telephone Assistant, National Institutes of Health, number. Office of the Director, One Center Drive, submitted material) shall: (1) Clearly The subjects should be informed of any Building 1, Room 126, Bethesda, MD 20892, indicate what select portions contain significant findings resulting from the study Telephone: 301–496–4272, Email: woodgs@ information considered as proprietary or will be made known in a timely manner to od.nih.gov. a trade secret; and (2) provide them and/or their parent or guardian Any interested person may file written including new information about the justification as to why this information comments with the committee by forwarding experimental procedure, the harms and is considered to be proprietary or trade their statement electronically to the Contact benefits experienced by other individuals secret. This justification must be able to Person at [email protected]. The statement involved in the study, and any long-term demonstrate with specificity how release should include the name, address, telephone effects that have been observed. number and when applicable, the business or of that information will reveal a trade Additional guidance is available in the professional affiliation of the interested of the secret or will result in substantial FDA Guidance for Industry: Gene Therapy interested person. competitive harm. Clinical Trials—Observing Subjects for Additional information for this meeting Appendix M–I–C–2 currently states: Delayed Adverse Events (available at the including both working group reports will be following URL: http://www.fda.gov/ posted, when available, on the Advisory Appendix M–I–C–2. Additional Clinical BiologicsBloodVaccines/ Committee to the Director, NIH, Web site Trial Sites GuidanceComplianceRegulatoryInformation/ (http://acd.od.nih.gov). Additional Guidances/CellularandGeneTherapy/ No research participant shall be enrolled information about the HeLA Genome Data default.htm). (see definition of enrollment in Section I–E– Access working group is available at http:// 7) at a clinical trial site until the following Appendix M–VI Footnotes of Appendix acd.od.nih.gov/hlgda.htm and additional documentation has been submitted to NIH M will be renumbered to Appendix M– information about the Clinical Center OBA: (1) Institutional Biosafety Committee III. Footnotes of Appendix M. There will working group is available at http:// approval (from the clinical trial site); (2) be no amendment to the language. acd.od.nih.gov/redteam.htm. Institutional Review Board approval; (3) Institutional Review Board-approved Dated: March 15, 2016. Dated: March 15, 2016. informed consent document; (4) curriculum Francis S. Collins, Anna Snouffer, vitae of the Principal Investigator(s) (no more Director, National Institutes of Health. Deputy Director, Office of Federal Advisory than two pages in biographical sketch Committee Policy. format); and (5) NIH grant number(s) if [FR Doc. 2016–06448 Filed 3–21–16; 8:45 am] applicable. BILLING CODE 4140–01–P [FR Doc. 2016–06333 Filed 3–21–16; 8:45 am] BILLING CODE 4140–01–P Appendix M–1–C–2 will be amended as follows: DEPARTMENT OF HEALTH AND Appendix M–I–C–2. Additional Clinical HUMAN SERVICES DEPARTMENT OF HEALTH AND Trial Sites HUMAN SERVICES National Institutes of Health Within 30 days of enrollment (see National Institutes of Health definition of enrollment in Section I–E–7) at Office of the Director, National a clinical trial site, the following Institutes of Health Notice of Meeting Center for Scientific Review, Notice of documentation shall be submitted to NIH Closed Meetings OSP: (1) Institutional Biosafety Committee Pursuant to section 10(a) of the approval (from the clinical trial site); (2) Federal Advisory Committee Act, as Pursuant to section 10(d) of the Institutional Review Board approval; (3) amended (5 U.S.C. App.), notice is Federal Advisory Committee Act, as Institutional Review Board-approved hereby given of a meeting of the amended (5 U.S.C. App.), notice is informed consent document; and (4) NIH Advisory Committee to the Director, hereby given of the following meetings. grant number(s) if applicable. National Institutes of Health. The meetings will be closed to the There are no amendments to Appendix This meeting is open to the public but public in accordance with the M–I–D, Safety Assessments in Human is being held by teleconference only. No provisions set forth in sections Gene Transfer Research. physical meeting location is provided 552b(c)(4) and 552b(c)(6), title 5 U.S.C., The current appendices Appendix M– for any interested individuals to listen as amended. The grant applications and II, Description of the Proposal; to and/or participate in the meeting. the discussions could disclose Appendix M–III, Informed Consent; Any individual interested in listening to confidential trade secrets or commercial Appendix M–IV, Privacy; and Appendix the meeting discussions must call 800– property such as patentable material,

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and personal information concerning ACTION: Sixty-Day Notice requesting the Coast Guard would appreciate individuals associated with the grant comments. comments addressing: (1) The practical applications, the disclosure of which utility of the Collection; (2) the accuracy would constitute a clearly unwarranted SUMMARY: In compliance with the of the estimated burden of the invasion of personal privacy. Paperwork Reduction Act of 1995, the Collection; (3) ways to enhance the U.S. Coast Guard intends to submit an quality, utility, and clarity of Name of Committee: Center for Scientific Information Collection Request (ICR) to Review Special Emphasis Panel; Member information subject to the Collection; Conflict: Addictions, Depression, Bipolar the Office of Management and Budget and (4) ways to minimize the burden of Disorder, Schizophrenia. (OMB), Office of Information and the Collection on respondents, Date: April 1, 2016. Regulatory Affairs (OIRA), requesting including the use of automated Time: 9:00 a.m. to 5:00 p.m. approval of revisions to the following collection techniques or other forms of Agenda: To review and evaluate grant collection of information: 1625–0104, information technology. In response to applications. Barges Carrying Bulk Hazardous Place: National Institutes of Health, 6701 your comments, we may revise this ICR Materials. Our ICR describes the or decide not to seek approval of Rockledge Drive, Bethesda, MD 20892, information we seek to collect from the (Virtual Meeting). revisions of the Collection. We will Contact Person: Samuel C Edwards, Ph.D., public. Before submitting this ICR to consider all comments and material IRG CHIEF, Center for Scientific Review, OIRA, the Coast Guard is inviting received during the comment period. National Institutes of Health, 6701 Rockledge comments as described below. We encourage you to respond to this Drive, Room 5210, MSC 7846, Bethesda, MD DATES: Comments must reach the Coast request by submitting comments and 20892, (301) 435–1246, edwardss@ Guard on or before May 23, 2016. related materials. Comments must csr.nih.gov. ADDRESSES: You may submit comments contain the OMB Control Number of the This notice is being published less than 15 identified by Coast Guard docket ICR and the docket number of this days prior to the meeting due to the timing request, [USCG–2016–0106], and must limitations imposed by the review and number [USCG–2016–0106] to the Coast funding cycle. Guard using the Federal eRulemaking be received by May 23, 2016. Name of Committee: Center for Scientific Portal at http://www.regulations.gov. Submitting Comments See the ‘‘Public participation and Review Special Emphasis Panel; Member We encourage you to submit Conflict: Developmental Brain Disorders, request for comments’’ portion of the Chronic and Clinical Neurodegeneration. SUPPLEMENTARY INFORMATION section for comments through the Federal Date: April 7, 2016. further instructions on submitting eRulemaking Portal at http:// Time: 2:00 p.m. to 4:00 p.m. comments. www.regulations.gov. If your material Agenda: To review and evaluate grant A copy of the ICR is available through cannot be submitted using http:// applications. the docket on the Internet at http:// www.regulations.gov, contact the person Place: National Institutes of Health, 6701 in the FOR FURTHER INFORMATION Rockledge Drive, Bethesda, MD 20892 www.regulations.gov. Additionally, copies are available from: CONTACT section of this document for (Telephone Conference Call). alternate instructions. Documents Contact Person: Seetha Bhagavan, Ph.D., COMMANDANT (CG–612), ATTN: Scientific Review Officer, Center for PAPERWORK REDUCTION ACT mentioned in this notice, and all public Scientific Review, National Institutes of MANAGER, U.S. COAST GUARD, 2703 comments, are in our online docket at Health, 6701 Rockledge Drive, Room 5194, MARTIN LUTHER KING JR. AVE. SE., http://www.regulations.gov and can be MSC 7846. Bethesda, MD 20892, (301) 237– STOP 7710, WASHINGTON, DC 20593– viewed by following that Web site’s 9838, [email protected]. 7710. instructions. Additionally, if you go to This notice is being published less than 15 the online docket and sign up for email FOR FURTHER INFORMATION CONTACT: days prior to the meeting due to the timing alerts, you will be notified when Contact Mr. Anthony Smith, Office of limitations imposed by the review and comments are posted. Information Management, telephone funding cycle. We accept anonymous comments. All 202–475–3532, or fax 202–372–8405, for (Catalogue of Federal Domestic Assistance comments received will be posted questions on these documents. Program Nos. 93.306, Comparative Medicine; without change to http:// 93.333, Clinical Research, 93.306, 93.333, SUPPLEMENTARY INFORMATION: www.regulations.gov and will include 93.337, 93.393–93.396, 93.837–93.844, 93.846–93.878, 93.892, 93.893, National Public Participation and Request for any personal information you have Institutes of Health, HHS) Comments provided. For more about privacy and the docket, you may review a Privacy Dated: March 16, 2016. This Notice relies on the authority of Act notice regarding the Federal Docket Natasha M. Copeland, the Paperwork Reduction Act of 1995; Management System in the March 24, Program Analyst, Office of Federal Advisory 44 U.S.C. Chapter 35, as amended. An 2005, issue of the Federal Register (70 Committee Policy. ICR is an application to OIRA seeking FR 15086). [FR Doc. 2016–06334 Filed 3–21–16; 8:45 am] the approval, extension, or renewal of a Information Collection Request BILLING CODE 4140–01–P Coast Guard collection of information (Collection). The ICR contains Title: Barges Carrying Bulk Hazardous information describing the Collection’s Materials. DEPARTMENT OF HOMELAND purpose, the Collection’s likely burden OMB Control Number: 1625–0104. SECURITY on the affected public, an explanation of SUMMARY: This information is the necessity of the Collection, and needed to ensure the safe shipment of Coast Guard other important information describing bulk hazardous liquids in barges. The the Collection. There is one ICR for each requirements are necessary to ensure [Docket No. USCG–2016–0106] Collection. that barges meet safety standards and to Information Collection Request to The Coast Guard invites comments on ensure that barge’s crewmembers have Office of Management and Budget; whether this ICR should be granted the information necessary to operate OMB Control Number: 1625–0104 based on the Collection being necessary barges safely. for the proper performance of Need: Title 46 U.S.C. 3703 authorizes AGENCY: Coast Guard, DHS. Departmental functions. In particular, the Coast Guard to prescribe rules

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related to the carriage of liquid bulk ADDRESSES: All meetings will be held in Boating Safety Advisory Council in dangerous cargoes. Title 46 CFR 151 the Ballroom of the Holiday Inn prescribing regulations for recreational prescribes rules for barges carrying bulk Arlington (http://www.hiarlington.com), vessels and associated equipment and liquid hazardous materials. 4610 N Fairfax Drive, Arlington, VA on other major safety matters. See 46 Forms: N/A. 22203. U.S.C. 4302(c) and 13110(c). Respondents: Owners and operators For information on facilities or Meeting Agenda of tank barges. services for individuals with disabilities Frequency: On occasion. or to request special assistance at the The agenda for the National Boating Hour Burden Estimate: The estimated meeting, contact Mr. Jeff Ludwig, Safety Advisory Council meeting is as burden has increased from 28,958 hours Alternate Designated Federal Officer, follows: a year to 40,307 hours a year. The telephone 202–372–1061, or at Thursday, April 21, 2016 change in burden is an ADJUSTMENT [email protected]. due to a change in the estimated annual To facilitate public participation, we (1) Opening remarks and swearing-in number of new construction (n/c) tank are inviting public comment on the of new members. barges. In the last ICR, the Coast Guard issues to be considered by the Council (2) Receipt and discussion of the estimated about 160 n/c tank barges per as listed in the ‘‘Agenda’’ section below. following reports: year. In this ICR, the Coast Guard Written comments for distribution to (a) Chief, Office of Auxiliary and estimates about 282 n/c tank barges per Council members must be submitted no Boating Safety, Update on the Coast year. later than April 14, 2016, if Council Guard’s implementation of National review is desired prior to the meeting, Boating Safety Advisory Council Authority: The Paperwork Reduction Act Resolutions and Recreational Boating of 1995; 44 U.S.C. Chapter 35, as amended. and must be identified by docket number USCG 2010–0164. Written Safety Program report. Dated: March 14, 2016. comments may be submitted using the (b) Alternate Designated Federal Thomas P. Michelli, Federal eRulemaking Portal at http:// Officer’s report concerning Council U.S. Coast Guard, Deputy Chief Information www.regulations.gov. If your material administrative and logistical matters. Officer. cannot be submitted using http:// (3) Subcommittee Session: [FR Doc. 2016–06430 Filed 3–21–16; 8:45 am] www.regulations.gov, contact the Boats and Associated Equipment BILLING CODE 9110–04–P Alternate Designated Federal Officer for Subcommittee alternate instructions. Instructions: All submissions received Issues to be discussed include DEPARTMENT OF HOMELAND must include the words ‘‘Department of alternatives to pyrotechnic visual SECURITY Homeland Security’’ and the docket distress signals; grant projects related to number of this action, USCG–2010– boats and associated equipment; and Coast Guard 0164. Comments received will be posted updates to 33 CFR 181 ‘‘Manufacturer without alteration at http:// Requirements’’ and 33 CFR 183 ‘‘Boats [Docket No. USCG–2010–0164] www.regulations.gov, including any and Associated Equipment.’’ personal information provided. You (4) Public comment period. National Boating Safety Advisory may review a Privacy Act notice (5) Meeting Recess. Council regarding the Federal Docket Friday, April 22, 2016 AGENCY: Coast Guard, DHS. Management System in the March 24, 2005, issue of the Federal Register (70 The day will be dedicated to ACTION: Notice of Federal Advisory FR 15086). Subcommittee sessions: Committee meeting. Docket: For access to the docket to (1) Prevention Through People Subcommittee. Issues to be discussed SUMMARY: The National Boating Safety read documents or comments related to this notice, go to http:// include paddlesports participation, Advisory Council and its boater education requirements, and Subcommittees will meet on April 21, www.regulations.gov insert USCG– 2010–0164 in the ‘‘Search’’ box, press licensing requirements for on-water 22, and 23, 2016, in Arlington, VA, to boating safety instruction providers. discuss issues relating to recreational Enter, then click the item you wish to view. (2) Recreational Boating Safety boating safety. These meetings will be Strategic Planning Subcommittee. FOR FURTHER INFORMATION CONTACT: Mr. open to the public. Issues to be discussed include Jeff Ludwig, Alternate Designated DATES: The National Boating Safety progress on implementation of the Federal Officer of the National Boating Advisory Council will meet on 2012–2016 Strategic Plan, and Safety Advisory Council, telephone Thursday, April 21, 2016, from 8:30 development of the 2017–2021 Strategic (202) 372–1061, or at jeffrey.a.ludwig@ a.m. to 12:00 p.m. and on Saturday, Plan. April 23, 2016 from 9:00 a.m. to 12:00 uscg.mil. p.m. The Boats and Associated SUPPLEMENTARY INFORMATION: Notice of Saturday, April 23, 2016 Equipment Subcommittee will meet on this meeting is given under the Federal The full Council will resume meeting. April 21, 2016, from 1:30 p.m. to 5:00 Advisory Committee Act, (Title 5 U.S.C. (1) Receipt and discussion of the p.m. The Recreational Boating Safety Appendix). Congress established the Boats and Associated Equipment, Strategic Planning Subcommittee will National Boating Safety Advisory Prevention through People and The meet on April 22, 2016, from 9:00 a.m. Council in the Federal Boat Safety Act Recreational Boating Safety Strategic to 12:00 p.m. The Prevention through of 1971 (Pub. L. 92–75). The National Planning Subcommittee reports. People Subcommittee will meet on Boating Safety Advisory Council (2) Discussion of any April 22, 2016, from 1:30 p.m. to 5:00 currently operates under the authority recommendations to be made to the p.m. Please note that these meetings of 46 U.S.C. 13110, which requires the Coast Guard. may conclude early if the National Secretary of Homeland Security and the (3) Public comment period. Boating Safety Advisory Council has Commandant of the Coast Guard by (4) Voting on any recommendations to completed all business. delegation to consult with the National be made to the Coast Guard.

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(5) Adjournment of meeting. OIRA, the Coast Guard is inviting consider all comments and material There will be a comment period for comments as described below. received during the comment period. the National Boating Safety Advisory DATES: Comments must reach the Coast We encourage you to respond to this Council members and a comment period Guard on or before May 23, 2016. request by submitting comments and for the public after each report related materials. Comments must ADDRESSES: presentation, but before each is voted on You may submit comments contain the OMB Control Number of the by the Council. The Council members identified by Coast Guard docket ICR and the docket number of this will review the information presented number [USCG–2016–0125] to the Coast request, [USCG–2016–0125], and must on each issue, deliberate on any Guard using the Federal eRulemaking be received by May 23, 2016. Portal at http://www.regulations.gov. recommendations presented in the Submitting Comments Subcommittees’ reports, and formulate See the ‘‘Public participation and recommendations for the Department’s request for comments’’ portion of the We encourage you to submit consideration. SUPPLEMENTARY INFORMATION section for comments through the Federal The meeting agenda and all meeting further instructions on submitting eRulemaking Portal at http:// documentation can be found at: http:// comments. www.regulations.gov. If your material homeport.uscg.mil/NBSAC. A copy of the ICR is available through cannot be submitted using http:// Alternatively, you may contact Mr. Jeff the docket on the Internet at http:// www.regulations.gov, contact the person Ludwig as noted in the FOR FURTHER www.regulations.gov. Additionally, in the FOR FURTHER INFORMATION INFORMATION CONTACT section above. copies are available from: CONTACT section of this document for Public oral comment periods will be COMMANDANT (CG–612), ATTN: alternate instructions. Documents held during the meetings after each PAPERWORK REDUCTION ACT mentioned in this notice, and all public presentation and at the end of each day. MANAGER, U.S. COAST GUARD, 2703 comments, are in our online docket at Speakers are requested to limit their MARTIN LUTHER KING JR. AVE. SE., http://www.regulations.gov and can be comments to 3 minutes. Please note that STOP 7710, WASHINGTON, DC 20593– viewed by following that Web site’s the public comment periods may end 7710. instructions. Additionally, if you go to before the time indicated, following the FOR FURTHER INFORMATION CONTACT: the online docket and sign up for email last call for comments. Contact Mr. Jeff Contact Mr. Anthony Smith, Office of alerts, you will be notified when Ludwig as indicated above to register as Information Management, telephone comments are posted. a speaker. 202–475–3532, or fax 202–372–8405, for We accept anonymous comments. All questions on these documents. comments received will be posted Dated: March 10, 2016. without change to SUPPLEMENTARY INFORMATION: Verne B. Gifford, http://www.regulations.gov and will Captain, U.S. Coast Guard, Director of Public Participation and Request for include any personal information you Inspections and Compliance. Comments have provided. For more about privacy [FR Doc. 2016–06426 Filed 3–21–16; 8:45 am] This Notice relies on the authority of and the docket, you may review a BILLING CODE 9110–04–P the Paperwork Reduction Act of 1995; Privacy Act notice regarding the Federal 44 U.S.C. Chapter 35, as amended. An Docket Management System in the ICR is an application to OIRA seeking March 24, 2005, issue of the Federal DEPARTMENT OF HOMELAND Register (70 FR 15086). SECURITY the approval, extension, or renewal of a Coast Guard collection of information Information Collection Request Coast Guard (Collection). The ICR contains Title: Regulated Navigation Area; information describing the Collection’s [Docket No. USCG–2016–0125] Reporting Requirements for Barges purpose, the Collection’s likely burden Loaded with Certain Dangerous Cargoes, on the affected public, an explanation of Information Collection Request to Inland Rivers, Eighth Coast Guard the necessity of the Collection, and Office of Management and Budget; District and the Illinois Waterway, other important information describing OMB Control Number: 1625–0105 Ninth Coast Guard District. the Collection. There is one ICR for each OMB Control Number: 1625–0105. AGENCY: Coast Guard, DHS. Collection. SUMMARY: The Coast Guard requires ACTION: Sixty-day notice requesting The Coast Guard invites comments on position and intended movement comments. whether this ICR should be granted reporting, and fleeting operations based on the Collection being necessary reporting, from barges carrying certain SUMMARY: In compliance with the for the proper performance of dangerous cargoes (CDCs) in the inland Paperwork Reduction Act of 1995, the Departmental functions. In particular, rivers within the Eighth and Ninth Coast U.S. Coast Guard intends to submit an the Coast Guard would appreciate Guard Districts. Information Collection Request (ICR) to comments addressing: (1) The practical Need: This information is used to the Office of Management and Budget utility of the Collection; (2) the accuracy ensure port safety and security and to (OMB), Office of Information and of the estimated burden of the ensure the uninterrupted flow of Regulatory Affairs (OIRA), requesting Collection; (3) ways to enhance the commerce. approval of revisions to the following quality, utility, and clarity of Forms: None. collection of information: 1625–0105, information subject to the Collection; Respondents: Owners, agents, Regulated Navigation Area; Reporting and (4) ways to minimize the burden of masters, towing vessel operators, or Requirements for Barges Loaded with the Collection on respondents, persons in charge of barges loaded with Certain Dangerous Cargoes, Inland including the use of automated CDCs or having CDC residue operating Rivers, Eighth Coast Guard District and collection techniques or other forms of on the inland rivers located within the the Illinois Waterway, Ninth Coast information technology. In response to Eighth and Ninth Coast Guard Districts. Guard District. Our ICR describes the your comments, we may revise this ICR Frequency: On occasion. information we seek to collect from the or decide not to seek approval of Hour Burden Estimate: The estimated public. Before submitting this ICR to revisions of the Collection. We will burden has decreased from 1,901 hours

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to 4 hours a year due to a decrease in major boating safety matters. The particular expertise, knowledge, and the estimated number of responses. The Council usually meets at least twice experience in recreational boating change in responses is due to recent each year at a location selected by the safety. The vacancies announced in this District 8 & District 9 administrative Coast Guard. It may also meet for notice apply to membership positions changes to the reporting requirements. extraordinary purposes. Subcommittees that become vacant on January 1, 2017. Authority: The Paperwork Reduction Act or working groups may also meet to Individuals who have applied for of 1995; 44 U.S.C. Chapter 35, as amended. consider specific issues. National Boating Safety Advisory Each member serves for a term of Council membership in any prior years Dated: March 14, 2016. three years. Members may be considered are asked to re-submit a complete Thomas P. Michelli, to serve a maximum of two consecutive application if the individual wishes to U.S. Coast Guard, Deputy Chief Information full terms. All members serve at their apply for any of the vacancies Officer. own expense and receive no salary, or announced in this notice. [FR Doc. 2016–06429 Filed 3–21–16; 8:45 am] other compensation from the Federal To be eligible, applicants should have BILLING CODE 9110–04–P Government. The exception to this experience in one of the categories policy is when attending National listed above. Boating Safety Advisory Council Registered lobbyists are not eligible to DEPARTMENT OF HOMELAND meetings; members may be reimbursed serve on federal advisory committees in SECURITY for travel expenses and provided per an individual capacity. See ‘‘Revised diem in accordance with Federal Travel Coast Guard Guidance on Appointment of Lobbyists Regulations. to Federal Advisory Committees, Boards [Docket No. USCG–2010–0316] We will consider applications for the and Commissions’’ (79 FR 47482, following seven positions that will be August 13, 2014). Registered lobbyists National Boating Safety Advisory vacant on December 31, 2016: • are lobbyists required to comply with Council; Vacancies Two representatives of State provisions contained in The Lobbying officials responsible for State boating AGENCY: Coast Guard, DHS. Disclosure Act of 1995 (2 U.S.C. 1605; safety programs; Pub. L. 104–65 as amended by Title II ACTION: Request for applications. • Three representatives of of Pub. L. 110–81). recreational boat and associated SUMMARY: The Coast Guard seeks The Department of Homeland equipment manufacturers; and applications for membership on the • Security does not discriminate in National Boating Safety Advisory Two representatives of national recreational boating organizations or the selection of Council members on the Council. This Council advises the Coast basis of race, color, religion, sex, Guard on recreational boating safety general public. Applications will also be considered national origin, political affiliation, regulations and other major boating for one vacancy in the national sexual orientation, gender identity, safety matters. recreational boating organizations or the marital status, disability and genetic DATES: Completed applications should general public membership category information, age, membership in an reach the Coast Guard on or before May that was caused by the inability of a employee organization, or other non- 23, 2016. person appointed in 2016 to accept their merit factor. The Department of ADDRESSES: Applicants should send a appointment. This position will serve a Homeland Security strives to achieve a cover letter expressing interest in an term that expires on December 31, 2018. widely diverse candidate pool for all of appointment to the National Boating If you are selected as a member from its recruitment actions. Safety Advisory Council and specifying the general public, you will be If you are interested in applying to which membership category the appointed and serve as a Special become a member of the Council, send applicant is applying under, along with Government Employee as defined in your cover letter and resume to Mr. Jeff a resume detailing the applicant’s section 202(a) of Title 18, United States Ludwig, Alternate Designated Federal boating experience via one of the Code. As a candidate for appointment as Officer of National Boating Safety following methods: a Special Government Employee, Advisory Council via one of the • By email: [email protected] applicants are required to complete a transmittal methods in the ADDRESSES (preferred). Confidential Financial Disclosure section by the deadline in the DATES • By mail: Commandant (CG–BSX–2)/ Report (OGE Form 450). Coast Guard section of this notice. NBSAC, Attn: Mr. Jeff Ludwig, U.S. may not release the reports or the Dated: March 10, 2016. Coast Guard, 2703 Martin Luther King information in them to the public except Verne B. Gifford, Ave. SE., Stop 7581, Washington, DC under an order issued by a Federal court 20593–7581. Captain, U.S. Coast Guard, Director of or as otherwise provided under the Inspections and Compliance. FOR FURTHER INFORMATION CONTACT: Mr. Privacy Act (5 U.S.C. 552a). Only the [FR Doc. 2016–06427 Filed 3–21–16; 8:45 am] Jeff Ludwig, Alternate Designated Designated Coast Guard Ethics Official BILLING CODE 9110–04–P Federal Officer of the National Boating or his or her designee may release a Safety Advisory Council; telephone Confidential Financial Disclosure 202–372–1061 or email at Report. Applicants can obtain this form DEPARTMENT OF HOMELAND [email protected]. by going to the Web site of the Office of SECURITY SUPPLEMENTARY INFORMATION: The Government Ethics (www.oge.gov) or by National Boating Safety Advisory contacting the individual listed above in Coast Guard Council is a Federal advisory committee FOR FURTHER INFORMATION CONTACT. [Docket No. USCG–2016–0201] which operates under the provisions of Applications for a member drawn from Federal Advisory Committee Act, (Title the general public that are not Notification of the Removal of 5 U.S.C., Appendix). It was established accompanied by a completed OGE Form Conditions of Entry on Vessels under the authority of 46 United States 450 will not be considered. Arriving From the Republic of Cuba Code 13110 and advises the Coast Guard Applicants are considered for on boating safety regulations and other membership on the basis of their AGENCY: Coast Guard, DHS.

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ACTION: Notice. this Notice, the ‘‘Unauthorized Entry consider all comments and material into Cuban Territorial Waters’’ received during the comment period. SUMMARY: The Coast Guard announces regulations located at 33 CFR part 107 B. Viewing Comments and that it is removing the conditions of remain in effect. Documents: To view comments, as well entry on vessels arriving from the This notice is issued under authority as documents mentioned in this country of the Republic of Cuba. of 46 U.S.C. 70110(d). preamble as being available in the DATES: The policy announced in this Dated: March 16, 2016. docket, go to http:// notice is effective on March 22, 2016. www.regulations.gov, type ‘‘USCG– Fred M. Midgette, ADDRESSES: This notice is part of docket 2016–0165’’ into the search bar and Vice Admiral, USCG, Deputy Commandant click search, next to the displayed USCG–2016–0201 and is available for Operations. online by going to http:// search results click ‘‘Open Docket [FR Doc. 2016–06431 Filed 3–21–16; 8:45 am] www.regulations.gov, inserting USCG– Folder’’, which will display all 2016–0201 in the ‘‘Keyword’’ box, and BILLING CODE 9110–04–P comments and documents associated then clicking ‘‘Search.’’ with this study. C. Public Meeting: The Coast Guard FOR FURTHER INFORMATION CONTACT: If DEPARTMENT OF HOMELAND may hold public meeting(s) if there is you have questions on this notice, SECURITY contact Mr. Michael Brown, Office of sufficient public interest. You must Domestic and International Port Coast Guard submit a request for one on or before April 12, 2016. You may submit your Security, United States Coast Guard, [Docket No. USCG–2016–0165] telephone 202–372–1081 and email request for a public meeting online via [email protected]. http://www.regulations.gov. Please Port Access Route Study (PARS): In explain why you believe a public SUPPLEMENTARY INFORMATION: Nantucket Sound meeting would be beneficial. If we Background and Purpose AGENCY: Coast Guard, DHS. determine that a public meeting would Section 70110 of title 46, United ACTION: Notice of study; request for aid in the study, we will hold a meeting States Code, enacted as part of section comments. at a time and place announced by a later 102(a) of the Maritime Transportation notice in the Federal Register. SUMMARY: The Coast Guard is D. Privacy Act: Anyone can search the Security Act of 2002 (Pub. L. 107–295, conducting a Port Access Route Study electronic form of comments received Nov. 25, 2002) authorizes the Secretary (PARS) to determine whether it should into any of our dockets by the name of of Homeland Security to impose revise existing regulations to improve the individual submitting the comment conditions of entry on vessels navigation safety in Nantucket Sound (or signing the comment, if submitted requesting entry into the United States due to factors such as increased vessels on behalf of an association, business, arriving from ports that are not traffic, changing vessel traffic patterns, labor union, etc.). You may review a maintaining effective anti-terrorism weather conditions, or navigational Privacy Act notice regarding our public measures. It also requires public notice difficulty. dockets in the January 17, 2008, issue of of the ineffective anti-terrorism the Federal Register (73 FR 3316). measures. The Secretary has delegated DATES: Comments and related material to the Coast Guard authority to carry out must be received on or before June 20, II. Definitions 2016. the provisions of this section. Previous The following definitions (except notices have imposed or removed ADDRESSES: You may submit comments, ‘‘Regulated Navigation Area’’) are from conditions of entry on vessels arriving or view documents noted to be available the International Maritime from certain countries, and those in the docket, and comments made in Organization’s (IMO’s) publication conditions of entry and the countries response to this notice using the Federal ‘‘Ships’ Routing’’ Tenth Edition 2010 they pertain to remain in effect unless eRulemaking Portal (http:// and should help you review this notice: modified by this notice. On April 4, www.regulations.gov), docket USCG– Area to be avoided (ATBA) means a 2008 the Coast Guard published a 2016–0165. routing measure comprising an area Notice of Policy in the Federal Register, FOR FURTHER INFORMATION CONTACT: If within defined limits in which either (73 FR 18546), announcing that it had you have questions on this notice, email navigation is particularly hazardous or determined that ports in the Republic of [email protected]. it is exceptionally important to avoid Cuba were not maintaining effective SUPPLEMENTARY INFORMATION: casualties and which should be avoided anti-terrorism measures, and imposed by all ships, or certain classes of ships. conditions of entry. I. Public Participation and Request for Deep-water route means a route Based on port assessments conducted Comments within defined limits, which has been in February 2016, the Coast Guard has We encourage you to participate in accurately surveyed for clearance of sea determined that the Republic of Cuba is this study by submitting comments and bottom and submerged obstacles as now maintaining effective anti-terrorism related materials. All comments indicated on the chart. measures, and is accordingly removing received will be posted without change Inshore traffic zone means a routing the conditions of entry announced in to http://www.regulations.gov and will measure comprising a designated area the previously published Notice of include any personal information you between the landward boundary of a Policy. With this notice, the current list have provided. traffic separation scheme and the of countries not maintaining effective A. Submitting Comments: You may adjacent coast, to be used in accordance anti-terrorism measures is as follows: submit your comments and material with the provisions of Rule 10(d), as Cambodia, Cameroon, Comoros, Cote online via http://www.regulations.gov. amended, of the International d’Ivoire, Equatorial Guinea, The Type ‘‘USCG–2016–0165’’ into the Regulations for Preventing Collisions at Gambia, Guinea-Bissau, Iran, Liberia, search bar and click search, next to the Sea, 1972 (COLREGS). Libya, Madagascar, Nigeria, Sao Tome displayed search results click Precautionary area means a routing and Principe, Syria, Timor-Leste, ‘‘Comment Now’’, which will open the measure comprising an area within Venezuela and Yemen. Notwithstanding comment page for this study. We will defined limits where ships must

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navigate with particular caution and Transportation of the Senate a Port DEPARTMENT OF HOMELAND within which the direction of traffic Access Route Study (PARS) of SECURITY flow may be recommended. Nantucket Sound using the standards Recommended route means a route of and methodology of the Atlantic Coast U.S. Citizenship and Immigration undefined width, for the convenience of Port Access Route Study, to determine Services ships in transit, which is often marked whether the Coast Guard should revise [CIS No. 2579–15; DHS Docket No. USCIS– by centerline buoys. existing regulations to improve 2014–0011] Recommended track is a route which navigation safety in Nantucket Sound has been specially examined to ensure due to factors such as increased vessel RIN 1615–ZB47 so far as possible that it is free of traffic, changing vessel traffic patterns, dangers and along which vessels are weather conditions, or navigational Extension of the Designation of Liberia advised to navigate. difficulty. The Atlantic Coast Port for Temporary Protected Status Regulated Navigation Area (RNA) Access Route Study contained in the AGENCY: U.S. Citizenship and means a water area within a defined ‘‘marine planning guidelines’’ of the Immigration Services, Department of boundary for which regulations for Study are included in the docket for this Homeland Security. vessels navigating within the area have notice. ACTION: Notice. been established under 33 CFR part 165. B. The purpose of this notice is to Roundabout means a routing measure announce commencement of this PARS SUMMARY: Through this Notice, the comprising a separation point or and to solicit public comments. We Department of Homeland Security circular separation zone and a circular encourage you to participate in the (DHS) announces that the Secretary of traffic lane within defined limits. Traffic study process by submitting comments Homeland Security (Secretary) is within the roundabout is separated by in response to this notice. Comments extending the designation of Liberia for moving in a counterclockwise direction should address impacts to navigation in Temporary Protected Status (TPS) for 6 around the separation point or zone. Nantucket Sound resulting from factors months, from May 22, 2016, through Separation zone or separation line such as increased vessel traffic, means a zone or line separating the November 21, 2016. changing vessel traffic patterns, weather The extension allows currently traffic lanes in which ships are conditions, or navigational difficulty. proceeding in opposite or nearly eligible TPS beneficiaries to retain TPS opposite directions; or separating a IV. This PARS: Timeline, Study Area, through November 21, 2016, so long as traffic lane from the adjacent sea area; and Process they otherwise continue to meet the eligibility requirements for TPS. The or separating traffic lanes designated for The First Coast Guard District will particular classes of ship proceeding in Secretary has determined that an conduct this PARS. The study will extension is warranted because, the same direction. commence upon publication of this Traffic lane means an area within although there have been significant notice and may take 10 months to improvements, conditions in Liberia defined limits in which one-way traffic complete. is established. Natural obstacles, supporting its November 2014 The study area is described as designation for TPS continue to be met. including those forming separation Nantucket Sound, an area bounded by a zones, may constitute a boundary. Through this Notice, DHS also sets line connecting the following forth procedures necessary for eligible Traffic Separation Scheme (TSS) geographic positions, including the means a routing measure aimed at the nationals of Liberia (or aliens having no entrance and exit routes to the sound nationality who last habitually resided separation of opposing streams of traffic but not the individual harbors. by appropriate means and by the • ° ′ ° ′ in Liberia) to re-register for TPS and to 41 41 N., 070 00 W.; apply for renewal of their Employment establishment of traffic lanes. • 41°20′ N., 070°00′ W.; Authorization Documents (EADs) with Two-way route means a route within • 41°16′ N., 070°15′ W. U.S. Citizenship and Immigration defined limits inside which two-way • 41°28′ N., 070°40′ W.; and Services (USCIS). Re-registration is traffic is established, aimed at providing • 41°34′ N., 070°40′ W.; safe passage of ships through waters An illustration showing the study area limited to persons who have previously where navigation is difficult or is available in the docket. registered for TPS under the designation dangerous. We will publish the results of the of Liberia and whose applications have Vessel routing system means any PARS in the Federal Register. It is been granted. Certain nationals of system of one or more routes or routing possible that the study may validate the Liberia (or aliens having no nationality measures aimed at reducing the risk of status quo (no routing measures) and who last habitually resided in Liberia) casualties; it includes traffic separation conclude that no changes are necessary. who have not previously applied for schemes, two-way routes, recommended It is also possible that the study may TPS may be eligible to apply under the tracks, areas to be avoided, no anchoring recommend one or more changes to late initial registration provisions if they areas, inshore traffic zones, address navigational safety and the meet (1) at least one of the late initial roundabouts, precautionary areas, and efficiency of vessel traffic management. filing criteria, and (2) all TPS eligibility deep-water routes. The recommendations may lead to criteria (including continuous residence in the United States since November 20, III. Background and Purpose future rulemakings or appropriate international agreements. 2014, and continuous physical presence A. Section 310 of the 2015 Coast This notice is published under the in the United States since November 21, Guard Authorization Act, Public Law authority of 5 U.S.C. 552(a). 2014). 114–120 signed by the President on For individuals who have already February 8, 2016, directs the Dated: March 10, 2016. been granted TPS under Liberia’s Commandant of the Coast Guard to L. L. Fagan, designation, the 60-day re-registration complete and submit to the Committee Rear Admiral, U.S. Coast Guard, Commander, period runs from March 22, 2016 on Transportation and Infrastructure of First Coast Guard District. through May 23, 2016. USCIS will issue the House of Representatives and the [FR Doc. 2016–06424 Filed 3–21–16; 8:45 am] new EADs with a November 21, 2016, Committee on Commerce, Science, and BILLING CODE 9110–04–P expiration date to eligible Liberia TPS

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beneficiaries who timely re-register and EAD—Employment Authorization Document earn a livelihood. See Designation of apply for EADs under this extension. EVD—Ebola Virus Disease Liberia for Temporary Protected Status, Given the timeframes involved with FNC—Final Nonconfirmation 79 FR 69502 (Nov. 21, 2014). processing TPS re-registration Government—U.S. Government IJ—Immigration Judge What authority does the Secretary have applications, DHS recognizes that not INA—Immigration and Nationality Act to extend the designation of Liberia for all re-registrants will receive new EADs OSC—U.S. Department of Justice, Office of TPS? before their current EADs expire on May Special Counsel for Immigration-Related 21, 2016. Accordingly, through this Unfair Employment Practices Section 244(b)(1) of the INA, 8 U.S.C. Notice, DHS automatically extends the SAVE—USCIS Systematic Alien Verification 1254a(b)(1), authorizes the Secretary, validity of EADs issued under the TPS for Entitlements Program after consultation with appropriate designation of Liberia for 6 months, Secretary—Secretary of Homeland Security agencies of the U.S. Government TNC—Tentative Nonconfirmation through November 21, 2016, and (Government), to designate a foreign TPS—Temporary Protected Status state (or part thereof) for TPS if the explains how TPS beneficiaries and TTY—Text Telephone their employers may determine which USCIS—U.S. Citizenship and Immigration Secretary determines that certain 1 EADs are automatically extended and Services country conditions exist. The Secretary their impact on the Employment may then grant TPS to eligible nationals What is temporary protected status Eligibility Verification (Form I–9) and E- of that foreign state (or eligible aliens (TPS)? Verify processes. having no nationality who last • habitually resided in the designated DATES: The 6-month extension of the TPS is a temporary immigration country). See INA section 244(a)(1)(A), TPS designation of Liberia is effective status granted to eligible nationals of a 8 U.S.C. 1254a(a)(1)(A). May 22, 2016, and will remain in effect country designated for TPS under the Immigration and Nationality Act (INA), At least 60 days before the expiration through November 21, 2016. The 60-day of a country’s TPS designation or re-registration period runs from March or to eligible persons without nationality who last habitually resided extension, the Secretary, after 22, 2016 through May 23, 2016. (Note: consultation with appropriate It is important for re-registrants to in the designated country. • During the TPS designation period, Government agencies, must review the timely re-register during this 60-day TPS beneficiaries are eligible to remain conditions in a foreign state designated period and not to wait until their EADs in the United States, may not be for TPS to determine whether the expire.) removed, and are authorized to work conditions for the TPS designation FOR FURTHER INFORMATION CONTACT: continue to be met. See INA section • and obtain EADs so long as they For further information on TPS, continue to meet the requirements of 244(b)(3)(A), 8 U.S.C. 1254a(b)(3)(A). If including guidance on the application TPS. the Secretary determines that a foreign process and additional information on • TPS beneficiaries may also be state continues to meet the conditions eligibility, please visit the USCIS TPS granted travel authorization as a matter for TPS designation, the designation Web page at http://www.uscis.gov/tps. of discretion. may be extended for an additional You can find specific information about • The granting of TPS does not result period of 6, 12, or 18 months. See INA Liberia’s TPS extension by selecting in or lead to permanent resident status. section 244(b)(3)(C), 8 U.S.C. ‘‘Liberia’’ from the menu on the left side • To qualify for TPS, beneficiaries 1254a(b)(3)(C). If the Secretary of the TPS Web page. must meet the eligibility requirements at determines that the foreign state no • For questions concerning this FRN, INA section 244(c)(2), 8 U.S.C. longer meets the conditions for TPS you can also contact Jerry Rigdon, Chief 1254a(c)(2). designation, the Secretary must of the Waivers and Temporary Services • When the Secretary terminates a terminate the designation. See INA Branch, Service Center Operations country’s TPS designation, although section 244(b)(3)(B), 8 U.S.C. Directorate, U.S. Citizenship and TPS benefits end, former TPS 1254a(b)(3)(B). Immigration Services, Department of beneficiaries continue to hold any Why is the Secretary extending the TPS Homeland Security, 20 Massachusetts lawful immigration status that they designation for Liberia through Avenue NW., Washington, DC 20529– maintained or obtained while holding November 21, 2016? 2060; or by phone at (202) 272–1533 TPS. (this is not a toll-free number). Note: DHS and the Department of State When and why was Liberia designated The phone number provided here is (DOS) have reviewed conditions in for TPS? solely for questions regarding this TPS Liberia. Based on the reviews and after Notice. It is not for individual case On November 21, 2014, the Secretary consulting with DOS, the Secretary has status inquires. designated Liberia for TPS for a period determined that a 6-month extension is • Applicants seeking information of 18 months due to the extraordinary warranted because, although there have about the status of their individual cases and temporary conditions caused by an been significant improvements, can check Case Status Online, available epidemic of Ebola Virus Disease (EVD) conditions in Liberia supporting its at the USCIS Web site at http:// in West Africa that prevented nationals November 2014 designation for TPS www.uscis.gov, or call the USCIS of Liberia from returning to Liberia in persist. National Customer Service Center at safety. The extraordinary and temporary Guinea, Liberia, and Sierra Leone 800–375–5283 (TTY 800–767–1833). conditions included high EVD were designated for TPS in the midst of • Further information will also be transmission rates in widespread the largest EVD outbreak in history. available at local USCIS offices upon geographic areas, overwhelmed health care systems unable to handle the large 1 As of March 1, 2003, in accordance with section publication of this Notice. 1517 of title XV of the Homeland Security Act of SUPPLEMENTARY INFORMATION: number of EVD patients or to provide 2002, Public Law 107–296, 116 Stat. 2135, any treatment for normally preventable or reference to the Attorney General in a provision of Table of Abbreviations treatable conditions, and containment the INA describing functions transferred from the measures that were causing significant Department of Justice to DHS ‘‘shall be deemed to BIA—Board of Immigration Appeals refer to the Secretary’’ of Homeland Security. See DHS—Department of Homeland Security disruptions to Liberia’s economy and 6 U.S.C. 557 (codifying the Homeland Security Act DOS—Department of State individuals’ ability to access food and of 2002, tit. XV, section 1517).

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From March 2014 through November Based upon this review and after 1. Application for Temporary Protected 2015, these three countries suffered over consultation with appropriate Status (Form I–821) 11,000 deaths among their more than Government agencies, the Secretary has • If you are filing an application for 28,500 cases of EVD. At the height of the determined that: late initial registration, you must pay • Conditions supporting the outbreak in late 2014, hundreds of new the fee for the Application for November 2014 designation of Liberia cases were being reported each week, Temporary Protected Status (Form I– for TPS continue to be met. See INA the health care systems were 821). See 8 CFR 244.2(f)(2) and 244.6 section 244(b)(3)(A) and (C), 8 U.S.C. overwhelmed, and containment and information on late initial filing on measures were causing significant 1254a(b)(3)(A) and (C). • the USCIS TPS Web page at http:// disruptions to individuals’ ability to There continue to be extraordinary and temporary conditions in Liberia that www.uscis.gov/tps. access food and earn a livelihood. A • If you are filing an application for robust response by the international prevent Liberian nationals (or aliens having no nationality who last re-registration, you do not need to pay community and the governments of the fee for the Application for Guinea, Liberia, and Sierra Leone has habitually resided in Liberia) from returning to Liberia in safety. See INA Temporary Protected Status (Form I– now brought EVD transmission in West 821). See 8 CFR 244.17. Africa substantially under control. The section 244(b)(1)(C), 8 U.S.C. 1254a(b)(1)(C). 2. Application for Employment World Health Organization declared • Liberia free of EVD transmission on It is not contrary to the national Authorization (Form I–765) interest of the United States to permit January 14, 2016. • Liberian nationals (or aliens having no If you are applying for late initial Despite the absence of current nationality who last habitually resided registration and want an EAD, you must widespread EVD transmission, Guinea, in Liberia) who meet the eligibility pay the fee for the Application for Liberia, and Sierra Leone still face requirements of TPS to remain in the Employment Authorization (Form I– containment and recovery challenges, United States temporarily. See INA 765) only if you are age 14 through 65. and the risk of flare-ups of EVD remains, section 244(b)(1)(C), 8 U.S.C. You do not need to pay this fee if you as demonstrated by the two cases 1254a(b)(1)(C). are under the age of 14 or are 66 or reported in Sierra Leone in January 2016 • The designation of Liberia for TPS older. after the country had previously been should be extended for a 6-month • If you are applying for re- declared free of EVD transmission. All period from May 22, 2016, through registration, you must pay the fee for the three countries continue to experience November 21, 2016. See INA section Application for Employment consequences of the epidemic, 244(b)(3)(C), 8 U.S.C. 1254a(b)(3)(C). Authorization (Form I–765), regardless including the ongoing medical issues • Requests for advance travel of your age, if you want an EAD. and mental trauma experienced by EVD authorization (‘‘advance parole’’) for • You do not pay the fee for the survivors; challenges in rebuilding travel to Guinea, Liberia, or Sierra Leone Application for Employment fragile healthcare systems; and lingering no longer require demonstration of Authorization (Form I–765) if you are food insecurity due to the epidemic’s extraordinary circumstances in order to not requesting an EAD, regardless of impact on economic activity, be approvable. whether you are applying for late initial productivity, and livelihoods. The • There are approximately 2,085 registration or re-registration. World Health Organization continues to current Liberia TPS beneficiaries who You must submit both completed consider the EVD outbreak a Public are expected to file for re-registration application forms together. If you are Health Emergency of International under the extension. unable to pay the application fee and/ Concern. Notice of Extension of the TPS or biometrics fee, you may complete a Although the countries continue to Designation of Liberia Request for Fee Waiver (Form I–912) or struggle with the effects of the epidemic, submit a personal letter requesting a fee in light of the absence of widespread By the authority vested in me as waiver with satisfactory supporting transmission of EVD, the U.S. Secretary under INA section 244, 8 documentation. For more information Department of Health and Human U.S.C. 1254a, I have determined, after on the application forms and fees for Services, Centers for Disease Control consultation with the appropriate TPS, please visit the USCIS TPS Web and Prevention has removed warnings Government agencies, that conditions page at http://www.uscis.gov/tps. Fees for travel to Guinea, Liberia, and Sierra supporting Liberia’s November 2014 for the Application for Temporary Leone. Accordingly, the restrictions designation for TPS continue to be met. Protected Status (Form I–821), the placed on grants of advance parole for See INA section 244(b)(3)(A), 8 U.S.C. Application for Employment travel to Guinea, Liberia, and Sierra 1254a(b)(3)(A). On the basis of this Authorization (Form I–765), and Leone in conjunction with these determination, I am extending the biometric services are also described in countries’ designations for TPS in existing designation of Liberia for TPS 8 CFR 103.7(b). November 2014 are removed. for 6 months, from May 22, 2016, Beneficiaries of TPS Liberia who wish through November 21, 2016. See INA Biometric Services Fee to travel abroad must still comply with section 244(b)(3)(C), 8 U.S.C. Biometrics (such as fingerprints) are the requirements for obtaining advance 1254a(b)(3)(C). required for all applicants 14 years and parole stated in the Instructions to Form Jeh Charles Johnson, older. Those applicants must submit a I–131, Application for Travel Document. Secretary. biometric services fee. As previously They should also be aware that travel stated, if you are unable to pay for the abroad may cause a break in their Required Application Forms and biometric services fee, you may continuous residence and continuous Application Fees To Register or Re- complete a Request for Fee Waiver physical presence in the United States, register for TPS (Form I–912) or submit a personal letter making them ineligible for TPS, unless To register or re-register for TPS based requesting a fee waiver with satisfactory the absence from the United States is on the designation of Liberia, you must supporting documentation. For more considered by USCIS to be ‘‘brief, casual submit each of the following information on the biometric services and innocent’’ under 8 CFR 244.1. applications: fee, please visit the USCIS Web site at

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http://www.uscis.gov. If necessary, you registering for the first time following a EAD inquiry appointment with USCIS may be required to visit an Application grant of TPS by an IJ or the BIA, please by using the InfoPass system at Support Center to have your biometrics mail your application to the appropriate https://infopass.uscis.gov. However, we captured. mailing address in Table 1. After you strongly encourage you first to check submit your application and receive a Case Status Online or call the USCIS Re-filing a Re-registration TPS USCIS receipt number, please send an National Customer Service Center for Application After Receiving a Denial of email to the appropriate USCIS Service assistance before making an InfoPass a Fee Waiver Request Center handling your application, appointment. You should file as soon as possible providing the receipt number and within the 60-day re-registration period stating that you submitted a re- Am I eligible to receive an automatic 6- so USCIS can process your application registration and/or request for an EAD month extension of my current EAD and issue any EAD promptly. Filing based on an IJ/BIA grant of TPS. This through November 21, 2016? early will also allow you to have time will aid in the verification of your grant Provided that you currently have TPS to re-file your application before the of TPS and processing of your under the designation of Liberia, this deadline, should USCIS deny your fee application, as USCIS may not have Notice automatically extends your EAD waiver request. If, however, you receive received records of your grant of TPS by by 6 months if you: a denial of your fee waiver request and either the IJ or the BIA. To get • Are a national of Liberia (or an alien are unable to re-file by the re- additional information, including the having no nationality who last registration deadline, you may still re- email address of the appropriate Service habitually resided in Liberia); file your application. This situation will Center, you may go to the USCIS TPS • Received an EAD under the be reviewed to determine whether you Web page at http://www.uscis.gov/tps. November 2014 designation of Liberia established good cause for late re- for TPS; and E-Filing • registration. However, you are urged to Have an EAD with a marked re-file within 45 days of the date on any You cannot electronically file your expiration date of May 21, 2016, bearing USCIS fee waiver denial notice, if application when re-registering or the notation ‘‘A–12’’ or ‘‘C–19’’ on the possible. See INA section 244(c)(3)(C); 8 submitting an initial registration for face of the card under ‘‘Category.’’ U.S.C. 1254a(c)(3)(C); 8 CFR 244.17(c). Liberia TPS. Please mail your Although this Notice automatically For more information on good cause for application to the mailing address listed extends your EAD through November late re-registration, visit the USCIS TPS in Table 1. 21, 2016, you must re-register timely for TPS in accordance with the procedures Web page at http://www.uscis.gov/tps. Supporting Documents Note: Although a re-registering TPS described in this Notice if you would beneficiary age 14 and older must pay The filing instructions on the like to maintain your TPS. Application for Temporary Protected the biometric services fee (but not the When hired, what documentation may I initial TPS application fee) when filing Status (Form I–821) list all the documents needed to establish basic show to my employer as proof of a TPS re-registration application, you employment authorization and identity may decide to wait to request an EAD, eligibility for TPS. You must also submit two color passport-style when completing Employment and therefore not pay the Application Eligibility Verification (Form I–9)? for Employment Authorization (Form I– photographs of yourself. You may also 765) fee until after USCIS has approved find information on the acceptable You can find a list of acceptable your TPS re-registration, if you are documentation and other requirements document choices on the ‘‘Lists of for applying or registering for TPS on eligible. If you choose to do this, you Acceptable Documents’’ for the USCIS Web site at www.uscis.gov/ would file the Application for Employment Eligibility Verification tps under ‘‘Liberia.’’ Temporary Protected Status (Form I– (Form I–9). You can find additional 821) with the biometrics fee and the Do I need to submit additional detailed information on the USCIS I–9 Application for Employment supporting documentation? Central Web page at http:// www.uscis.gov/I–9Central. Employers Authorization (Form I–765) without the If one or more of the questions listed fee and without requesting an EAD. are required to verify the identity and in Part 4, Question 2 of the Application employment authorization of all new Mailing Information for Temporary Protected Status (Form I– employees by using Employment 821) applies to you, then you must Mail your application for TPS to the Eligibility Verification (Form I–9). submit an explanation on a separate proper address in Table 1. Within 3 days of being hired, you must sheet(s) of paper and/or additional present proof of identity and documentation. TABLE 1—MAILING ADDRESSES employment authorization to your Employment Authorization Document employer. If . . . Mail to . . . (EAD) You may present any document from List A (reflecting both your identity and You are applying USCIS, Attn: TPS Li- How can I obtain information on the employment authorization) or one through the U.S. beria, P.O. Box status of my EAD request? document from List B (reflecting Postal Service. 6943, Chicago, IL To get case status information about identity) together with one document 60680–6943. from List C (reflecting employment You are using a non- USCIS, Attn: TPS Li- your TPS application, including the U.S. Postal Service beria, 131 S. Dear- status of a request for an EAD, you can authorization). An EAD is an acceptable delivery service. born Street, 3rd check Case Status Online at http:// document under ‘‘List A.’’ You may Floor, Chicago, IL www.uscis.gov, or call the USCIS present an acceptable receipt for a List 60603–5517. National Customer Service Center at A, List B, or List C document as 800–375–5283 (TTY 800–767–1833). If described in the Employment Eligibility If you were granted TPS by an your Application for Employment Verification (Form I–9) Instructions. An Immigration Judge (IJ) or the Board of Authorization (Form I–765) has been acceptable receipt is one that shows an Immigration Appeals (BIA) and you pending for more than 90 days, and you employee has applied to replace a wish to request an EAD or are re- still need assistance, you may request an document that was lost, stolen or

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damaged. If you present an acceptable employment authorization expiration the ‘‘Lists of Acceptable Documents.’’ receipt, you must present your employer dates in Section 1 and Section 2 of Therefore, employers may not request with the actual document within 90 Employment Eligibility Verification proof of Liberian citizenship or proof of days. Employers may not reject a (Form I–9) (see the subsection titled re-registration for TPS when completing document based on a future expiration ‘‘What corrections should my current Employment Eligibility Verification date. employer and I make to Employment (Form I–9) for new hires or reverifying If your EAD has an expiration date of Eligibility Verification (Form I–9) if my the employment authorization of May 21, 2016, and states ‘‘A–12’’ or ‘‘C– EAD has been automatically extended?’’ current employees. Refer to the ‘‘Note to 19’’ under ‘‘Category,’’ it has been for further information). You are also Employees’’ section of this Notice for extended automatically for 6 months by strongly encouraged, although not important information about your rights virtue of this Federal Register Notice, required, to show this Federal Register if your employer rejects lawful and you may choose to present your Notice to your employer to explain what documentation, requires additional EAD to your employer as proof of to do for Employment Eligibility documentation, or otherwise identity and employment authorization Verification (Form I–9). discriminates against you based on your for Employment Eligibility Verification By November 21, 2016, the expiration citizenship or immigration status, or (Form I–9) through November 21, 2016 date of the automatic extension, your your national origin. Note that although (see the subsection titled ‘‘How do my employer must reverify your you are not required to provide your employer and I complete the employment authorization. At that time, employer with a copy of this Federal Employment Eligibility Verification you must present any unexpired Register Notice, you are strongly (Form I–9) using an automatically document from List A or any unexpired encouraged to do so to help avoid extended EAD for a new job?’’ for document from List C on Employment confusion. further information). To minimize Eligibility Verification (Form I–9) to confusion over this extension at the reverify employment authorization, or What happens after November 21, 2016, time of hire, you should explain to your an acceptable List A or List C receipt for purposes of employment employer that USCIS has automatically described in the Employment Eligibility authorization? extended your EAD through November Verification (Form I–9) instructions. After November 21, 2016, employers 21, 2016, based on your Temporary Your employer is required to reverify on may no longer accept the EADs that this Protected Status. You are also strongly Employment Eligibility Verification Federal Register Notice automatically encouraged, although not required, to (Form I–9) the employment extended. New EADs requested and show your employer a copy of this authorization of current employees issued under this TPS extension will Federal Register Notice confirming the upon the automatically extended also expire on November 21, 2016, automatic extension of employment expiration date of a TPS-related EAD, unless automatically extended by a authorization through November 21, which is November 21, 2016, in this subsequent Federal Register Notice. 2016. As an alternative to presenting case. Your employer should use either your automatically extended EAD, you Section 3 of the Employment Eligibility How do my employer and I complete may choose to present any other Verification (Form I–9) originally Employment Eligibility Verification acceptable document from List A, or a completed for the employee or, if this (Form I–9) using an automatically combination of one selection from List section has already been completed or if extended EAD for a new job? B and one selection from List C. the version of Employment Eligibility When using an automatically Verification (Form I–9) is no longer What documentation may I show my extended EAD to complete Employment valid, complete Section 3 of a new employer if I am already employed but Eligibility Verification (Form I–9) for a Employment Eligibility Verification my current TPS-related EAD is set to new job before November 21, 2016, you (Form I–9) using the most current expire? and your employer should do the version. Note that your employer may following: Even though EADs with an expiration not specify which List A or List C 1. For Section 1, you should: date of May 21, 2016, that state ‘‘A–12’’ document employees must present, and a. Check ‘‘An alien authorized to or ‘‘C–19’’ under ‘‘Category’’ have been cannot reject an acceptable receipt. An work;’’ automatically extended for 6 months by acceptable receipt is one that shows an b. Write the automatically extended this Federal Register Notice, your employee has applied to replace a EAD expiration date (November 21, employer will need to ask you about document that was lost, stolen or 2016) in the first space; and your continued employment damaged. c. Write your alien number (USCIS authorization once May 21, 2016, is Can my employer require that I produce number or A-number) in the second reached to meet its responsibilities for space (your EAD or other document Employment Eligibility Verification any other documentation to prove my current TPS status, such as proof of my from DHS will have your USCIS number (Form I–9). Your employer does not or A-number printed on it; the USCIS need to complete a new Employment Liberian citizenship or proof that I have re-registered for TPS? number is the same as your A-number Eligibility Verification (Form I–9) to without the A prefix). reverify your employment authorization No. When completing Employment 2. For Section 2, employers should until November 21, 2016, the expiration Eligibility Verification (Form I–9), record the: date of the automatic extension, but may including reverifying employment a. Document title; need to reinspect your automatically authorization, employers must accept b. Issuing authority; extended EAD to check the expiration any documentation that appears on the c. Document number; and date and code to record the updated ‘‘Lists of Acceptable Documents’’ for d. Automatically extended EAD expiration date on your Employment Employment Eligibility Verification expiration date (November 21, 2016). Eligibility Verification (Form I–9) if (Form I–9) that reasonably appears to be By November 21, 2016, employers your employer did not keep a copy of genuine and that relates to you or an must reverify the employee’s this EAD at the time you initially acceptable List A, List B, or List C employment authorization in Section 3 presented it. You and your employer receipt. Employers may not request of the Employment Eligibility must make corrections to the documentation that does not appear on Verification (Form I–9).

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What corrections should my current Note to All Employers case result means that the information employer and I make to Employment Employers are reminded that the laws entered into E-Verify from Employment Eligibility Verification (Form I–9) if my requiring proper employment eligibility Eligibility Verification (Form I–9) differs EAD has been automatically extended? verification and prohibiting unfair from Federal or state government If you are an existing employee who immigration-related employment records. Employers may not terminate, presented a TPS-related EAD that was practices remain in full force. This suspend, delay training, withhold pay, valid when you first started your job but Notice does not supersede or in any way lower pay, or take any adverse action limit applicable employment that EAD has now been automatically against you based on your decision to verification rules and policy guidance, extended, your employer may reinspect contest a TNC or because the case is still including those rules setting forth your automatically extended EAD if the pending with E-Verify. A Final reverification requirements. For general employer does not have a photocopy of Nonconfirmation (FNC) case result is the EAD on file, and you and your questions about the employment received when E-Verify cannot verify employer should correct your eligibility verification process, your employment eligibility. An previously completed Employment employers may call USCIS at 888–464– employer may terminate employment Eligibility Verification (Form I–9) as 4218 (TTY 877–875–6028) or email I- based on a case result of FNC. Work- follows: [email protected]. Calls and emails are authorized employees who receive an 1. For Section 1, you should: accepted in English and many other FNC may call USCIS for assistance at a. Draw a line through the expiration languages. For questions about avoiding 888–897–7781 (TTY 877–875–6028). If date in the first space; discrimination during the employment you believe you were discriminated b. Write ‘‘November 21, 2016’’ above eligibility verification process, against by an employer in the E-Verify the previous date; employers may also call the U.S. process based on citizenship or c. Write ‘‘TPS Ext.’’ in the margin of Department of Justice, Office of Special immigration status or based on national Section 1; and Counsel for Immigration-Related Unfair origin, you may contact OSC’s Worker d. Initial and date the correction in Employment Practices (OSC) Employer Information Hotline at 800–255–7688 the margin of Section 1. Hotline, at 800–255–8155 (TTY 800– (TTY 800–237–2515). Additional 2. For Section 2, employers should: 237–2515), which offers language information about proper a. Draw a line through the expiration interpretation in numerous languages, nondiscriminatory Employment date written in Section 2; or email OSC at [email protected]. Eligibility Verification (Form I–9) and E- b. Write ‘‘November 21, 2016’’ above Note to Employees Verify procedures is available on the the previous date; OSC Web site at http://www.justice.gov/ c. Write ‘‘EAD Ext.’’ in the margin of For general questions about the crt/about/osc/ and the USCIS Web site Section 2; and employment eligibility verification at http://www.dhs.gov/E-verify. d. Initial and date the correction in process, you may call USCIS at 888– the margin of Section 2. 897–7781 (TTY 877–875–6028) or email Note Regarding Federal, State, and By November 21, 2016, when the [email protected]. Calls are accepted Local Government Agencies (Such as automatic extension of EADs expires, in English and many other languages. Departments of Motor Vehicles) employers must reverify the employee’s You may also call the OSC Worker While Federal Government agencies employment authorization in Section 3. Information Hotline at 800–255–7688 must follow the guidelines laid out by (TTY 800–237–2515) for information If I am an employer enrolled in E-Verify, the Federal Government, State and local regarding employment discrimination government agencies establish their own what do I do when I receive a ‘‘Work based upon citizenship status, Authorization Documents Expiration’’ rules and guidelines when granting immigration status, or national origin, or certain benefits. Each State may have alert for an automatically extended for information regarding discrimination EAD? different laws, requirements, and related to Employment Eligibility determinations about what documents If you are an employer who Verification (Form I–9) and E-Verify. you need to provide to prove eligibility participates in E-Verify and you have an The OSC Worker Information Hotline for certain benefits. Whether you are employee who is a TPS beneficiary who provides language interpretation in applying for a Federal, State, or local provided a TPS-related EAD when he or numerous languages. government benefit, you may need to she first started working for you, you To comply with the law, employers provide the government agency with will receive a ‘‘Work Authorization must accept any document or documents that show you are a TPS Documents Expiring’’ case alert when combination of documents from the beneficiary and/or show you are this EAD is about to expire. Usually, Lists of Acceptable Documents if the authorized to work based on TPS. this message is an alert to complete documentation reasonably appears to be Examples are: Section 3 of the Employment Eligibility genuine and to relate to the employee, (1) Your unexpired EAD; Verification (Form I–9) to reverify an or an acceptable List A, List B, or List (2) A copy of this Federal Register employee’s employment authorization. C receipt described in the Employment Notice if your EAD is automatically For existing employees with TPS-related Eligibility Verification (Form I–9) extended under this Notice; EADs that have been automatically Instructions. Employers may not require (3) A copy of your Application for extended, employers should dismiss extra or additional documentation Temporary Protected Status Notice of this alert by clicking the red ‘‘X’’ in the beyond what is required for Action (Form I–797) for this re- ‘‘dismiss alert’’ column and follow the Employment Eligibility Verification registration; instructions above explaining how to (Form I–9) completion. Further, (4) A copy of your past or current correct the Employment Eligibility employers participating in E-Verify who Application for Temporary Protected Verification (Form I–9). By November receive an E-Verify case result of Status Approval Notice (Form I–797), if 21, 2016, employment authorization ‘‘Tentative Nonconfirmation’’ (TNC) you received one from USCIS; and/or must be reverified in Section 3. must promptly inform employees of the (5) If there is an automatic extension Employers should never use E-Verify for TNC and give such employees an of work authorization, a copy of the fact reverification. opportunity to contest the TNC. A TNC sheet from the USCIS TPS Web site that

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provides information on the automatic although there have been significant • For further information on TPS, extension. improvements, conditions in Sierra including guidance on the application Check with the government agency Leone supporting its November 2014 process and additional information on regarding which document(s) the agency designation for TPS continue to be met. eligibility, please visit the USCIS TPS will accept. You may also provide the Through this Notice, DHS also sets Web page at http://www.uscis.gov/tps. agency with a copy of this Federal forth procedures necessary for eligible You can find specific information about Register Notice. nationals of Sierra Leone (or aliens Sierra Leone’s TPS extension by Some benefit-granting agencies use having no nationality who last selecting ‘‘Sierra Leone’’ from the menu the USCIS Systematic Alien Verification habitually resided in Sierra Leone) to re- on the left side of the TPS Web page. • for Entitlements Program (SAVE) to register for TPS and to apply for renewal For questions concerning this FRN, verify the current immigration status of of their Employment Authorization you can also contact Jerry Rigdon, Chief applicants for public benefits. If such an Documents (EADs) with U.S. of the Waivers and Temporary Services agency has denied your application Citizenship and Immigration Services Branch, Service Center Operations based solely or in part on a SAVE (USCIS). Re-registration is limited to Directorate, U.S. Citizenship and response, the agency must offer you the persons who have previously registered Immigration Services, Department of opportunity to appeal the decision in for TPS under the designation of Sierra Homeland Security, 20 Massachusetts accordance with the agency’s Leone and whose applications have Avenue NW., Washington, DC 20529– procedures. If the agency has received been granted. Certain nationals of Sierra 2060; or by phone at (202) 272–1533 and acted upon or will act upon a SAVE Leone (or aliens having no nationality (this is not a toll-free number). Note: verification and you do not believe the who last habitually resided in Sierra The phone number provided here is response is correct, you may make an Leone) who have not previously applied solely for questions regarding this TPS InfoPass appointment for an in-person for TPS may be eligible to apply under Notice. It is not for individual case interview at a local USCIS office. the late initial registration provisions if status inquires. • Detailed information on how to make they meet (1) at least one of the late Applicants seeking information corrections, make an appointment, or initial filing criteria, and (2) all TPS about the status of their individual cases submit a written request to correct eligibility criteria (including continuous can check Case Status Online, available records under the Freedom of residence in the United States since at the USCIS Web site at http:// Information Act can be found at the November 20, 2014, and continuous www.uscis.gov, or call the USCIS SAVE Web site at http://www.uscis.gov/ physical presence in the United States National Customer Service Center at save, then by choosing ‘‘How to Correct since November 21, 2014). 800–375–5283 (TTY 800–767–1833). • Further information will also be Your Records’’ from the menu on the For individuals who have already available at local USCIS offices upon right. been granted TPS under Sierra Leone’s publication of this Notice. [FR Doc. 2016–06328 Filed 3–21–16; 8:45 am] designation, the 60-day re-registration SUPPLEMENTARY INFORMATION: BILLING CODE 9111–97–P period runs from March 22, 2016 through May 23, 2016. USCIS will issue Table of Abbreviations new EADs with a November 21, 2016, DEPARTMENT OF HOMELAND BIA—Board of Immigration Appeals expiration date to eligible Sierra Leone DHS—Department of Homeland Security SECURITY TPS beneficiaries who timely re-register DOS—Department of State and apply for EADs under this EAD—Employment Authorization Document U.S. Citizenship and Immigration extension. Given the timeframes EVD—Ebola Virus Disease Services involved with processing TPS re- FNC—Final Nonconfirmation [CIS No. 2580–15; DHS Docket No. USCIS– registration applications, DHS Government—U.S. Government IJ—Immigration Judge 2014–0009] recognizes that not all re-registrants will INA—Immigration and Nationality Act receive new EADs before their current RIN 1615–ZB48 OSC—U.S. Department of Justice, Office of EADs expire on May 21, 2016. Special Counsel for Immigration-Related Extension of the Designation of Sierra Accordingly, through this Notice, DHS Unfair Employment Practices Leone for Temporary Protected Status automatically extends the validity of SAVE—USCIS Systematic Alien Verification EADs issued under the TPS designation for Entitlements Program AGENCY: U.S. Citizenship and of Sierra Leone for 6 months, through Secretary—Secretary of Homeland Security Immigration Services, Department of November 21, 2016, and explains how TNC—Tentative Nonconfirmation Homeland Security. TPS—Temporary Protected Status TPS beneficiaries and their employers TTY—Text Telephone ACTION: Notice. may determine which EADs are USCIS—U.S. Citizenship and Immigration automatically extended and their impact Services SUMMARY: Through this Notice, the on the Employment Eligibility Department of Homeland Security Verification (Form I–9) and E-Verify What is temporary protected status (DHS) announces that the Secretary of processes. (TPS)? Homeland Security (Secretary) is • TPS is a temporary immigration DATES: extending the designation of Sierra The 6-month extension of the status granted to eligible nationals of a Leone for Temporary Protected Status TPS designation of Sierra Leone is country designated for TPS under the (TPS) for 6 months, from May 22, 2016, effective May 22, 2016, and will remain Immigration and Nationality Act (INA), through November 21, 2016. in effect through November 21, 2016. or to eligible persons without The extension allows currently The 60-day re-registration period runs nationality who last habitually resided eligible TPS beneficiaries to retain TPS from March 22, 2016 through May 23, in the designated country. through November 21, 2016, so long as 2016. (Note: It is important for re- • During the TPS designation period, they otherwise continue to meet the registrants to timely re-register during TPS beneficiaries are eligible to remain eligibility requirements for TPS. The this 60-day period and not to wait until in the United States, may not be Secretary has determined that an their EADs expire.) removed, and are authorized to work extension is warranted because, FOR FURTHER INFORMATION CONTACT: and obtain EADs so long as they

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continue to meet the requirements of country). See INA section 244(a)(1)(A), Sierra Leone free of EVD transmission as TPS. 8 U.S.C. 1254a(a)(1)(A). of November 7, 2015; however, two new • TPS beneficiaries may also be At least 60 days before the expiration cases were subsequently reported in granted travel authorization as a matter of a country’s TPS designation or January 2016. Since that time, no of discretion. extension, the Secretary, after additional cases have been reported. If • The granting of TPS does not result consultation with appropriate no further cases are detected, the World in or lead to permanent resident status. Government agencies, must review the Health Organization will again declare conditions in a foreign state designated Sierra Leone free of EVD transmission • To qualify for TPS, beneficiaries for TPS to determine whether the on March 17, 2016. must meet the eligibility requirements at conditions for the TPS designation INA section 244(c)(2), 8 U.S.C. Despite the absence of current continue to be met. See INA section widespread EVD transmission, Guinea, 1254a(c)(2). 244(b)(3)(A), 8 U.S.C. 1254a(b)(3)(A). If • Liberia, and Sierra Leone still face When the Secretary terminates a the Secretary determines that a foreign containment and recovery challenges, country’s TPS designation, although state continues to meet the conditions and the risk of flare-ups of EVD remains, TPS benefits end, former TPS for TPS designation, the designation as demonstrated by the two cases beneficiaries continue to hold any may be extended for an additional reported in Sierra Leone in January 2016 lawful immigration status that they period of 6, 12, or 18 months. See INA after the country had previously been maintained or obtained while holding section 244(b)(3)(C), 8 U.S.C. declared free of EVD transmission. All TPS. 1254a(b)(3)(C). If the Secretary three countries continue to experience When and why was Sierra Leone determines that the foreign state no consequences of the epidemic, designated for TPS? longer meets the conditions for TPS including the ongoing medical issues designation, the Secretary must and mental trauma experienced by EVD On November 21, 2014, the Secretary terminate the designation. See INA survivors; challenges in rebuilding designated Sierra Leone for TPS for a section 244(b)(3)(B), 8 U.S.C. fragile healthcare systems; and lingering period of 18 months due to the 1254a(b)(3)(B). food insecurity due to the epidemic’s extraordinary and temporary conditions Why is the Secretary extending the TPS impact on economic activity, caused by an epidemic of Ebola Virus designation for Sierra Leone through productivity, and livelihoods. The Disease (EVD) in West Africa that November 21, 2016? World Health Organization continues to prevented nationals of Sierra Leone consider the EVD outbreak a Public from returning to Sierra Leone in safety. DHS and the Department of State (DOS) have reviewed conditions in Health Emergency of International The extraordinary and temporary Concern. conditions included high EVD Sierra Leone. Based on the reviews and after consulting with DOS, the Secretary Although the countries continue to transmission rates in widespread struggle with the effects of the epidemic, geographic areas, overwhelmed health has determined that a 6-month extension is warranted because, in light of the absence of widespread care systems unable to handle the large transmission of EVD, the U.S. number of EVD patients or to provide although there have been significant improvements, conditions in Sierra Department of Health and Human treatment for normally preventable or Services, Centers for Disease Control treatable conditions, and containment Leone supporting its November 2014 designation for TPS persist. and Prevention has removed warnings measures that were causing significant for travel to Guinea, Liberia, and Sierra disruptions to Sierra Leone’s economy Guinea, Liberia, and Sierra Leone were designated for TPS in the midst of Leone. Accordingly, the restrictions and individuals’ ability to access food placed on grants of advance parole for and earn a livelihood. See Designation the largest EVD outbreak in history. From March 2014 through November travel to Guinea, Liberia, and Sierra of Sierra Leone for Temporary Protected Leone in conjunction with these Status, 79 FR 69506 (Nov. 21, 2014). 2015, these three countries suffered over 11,000 deaths among their more than countries’ designations for TPS in What authority does the Secretary have 28,500 cases of EVD. At the height of the November 2014 are removed. to extend the designation of Sierra outbreak in late 2014, hundreds of new Beneficiaries of TPS Sierra Leone who Leone for TPS? cases were being reported each week, wish to travel abroad must still comply the health care systems were with the requirements for obtaining Section 244(b)(1) of the INA, 8 U.S.C. advance parole stated in the Instructions 1254a(b)(1), authorizes the Secretary, overwhelmed, and containment measures were causing significant to Form I–131, Application for Travel after consultation with appropriate Document. They should also be aware agencies of the U.S. Government disruptions to individuals’ ability to access food and earn a livelihood. A that travel abroad may cause a break in (Government), to designate a foreign their continuous residence and state (or part thereof) for TPS if the robust response by the international community and the governments of continuous physical presence in the Secretary determines that certain United States, making them ineligible country conditions exist.1 The Secretary Guinea, Liberia, and Sierra Leone has now brought EVD transmission in West for TPS, unless the absence from the may then grant TPS to eligible nationals United States is considered by USCIS to of that foreign state (or eligible aliens Africa substantially under control. In Sierra Leone, the EVD epidemic be ‘‘brief, casual and innocent’’ under 8 having no nationality who last started in May 2014 and peaked CFR 244.1. habitually resided in the designated between October and December 2014. Based upon this review and after Sierra Leone’s government and consultation with appropriate 1 As of March 1, 2003, in accordance with section Government agencies, the Secretary has 1517 of title XV of the Homeland Security Act of international partners mounted an 2002, Public Law 107–296, 116 Stat. 2135, any effective response that dramatically determined that: reference to the Attorney General in a provision of decreased the number of new EVD cases • Conditions supporting the the INA describing functions transferred from the from a high of 500 per week in late 2014 November 2014 designation of Sierra Department of Justice to DHS ‘‘shall be deemed to refer to the Secretary’’ of Homeland Security. See to between 8 to 12 cases in June 2015, Leone for TPS continue to be met. See 6 U.S.C. 557 (codifying the Homeland Security Act to single digits in August 2015. The INA section 244(b)(3)(A) and (C), 8 of 2002, tit. XV, section 1517). World Health Organization declared U.S.C. 1254a(b)(3)(A) and (C).

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• There continue to be extraordinary and information on late initial filing on Re-filing a Re-registration TPS and temporary conditions in Sierra the USCIS TPS Web page at http:// Application after Receiving a Denial of Leone that prevent nationals of Sierra www.uscis.gov/tps. a Fee Waiver Request Leone (or aliens having no nationality • If you are filing an application for You should file as soon as possible who last habitually resided in Sierra re-registration, you do not need to pay within the 60-day re-registration period Leone) from returning to Sierra Leone in the fee for the Application for so USCIS can process your application safety. See INA section 244(b)(1)(C), 8 Temporary Protected Status (Form I– and issue any EAD promptly. Filing U.S.C. 1254a(b)(1)(C). • 821). See 8 CFR 244.17. early will also allow you to have time It is not contrary to the national to re-file your application before the interest of the United States to permit 2. Application for Employment deadline, should USCIS deny your fee nationals of Sierra Leone (or aliens Authorization (Form I–765) waiver request. If, however, you receive having no nationality who last a denial of your fee waiver request and habitually resided in Sierra Leone) who • If you are applying for late initial registration and want an EAD, you must are unable to re-file by the re- meet the eligibility requirements of TPS registration deadline, you may still re- pay the fee for the Application for to remain in the United States file your application. This situation will Employment Authorization (Form I– temporarily. See INA section be reviewed to determine whether you 244(b)(1)(C), 8 U.S.C. 1254a(b)(1)(C). 765) only if you are age 14 through 65. • established good cause for late re- The designation of Sierra Leone for You do not need to pay this fee if you registration. However, you are urged to TPS should be extended for a 6-month are under the age of 14 or are 66 or re-file within 45 days of the date on any period from May 22, 2016, through older. USCIS fee waiver denial notice, if November 21, 2016. See INA section • If you are applying for re- possible. See INA section 244(c)(3)(C); 8 244(b)(3)(C), 8 U.S.C. 1254a(b)(3)(C). registration, you must pay the fee for the U.S.C. 1254a(c)(3)(C); 8 CFR 244.17(c). • Requests for advance travel Application for Employment For more information on good cause for authorization (‘‘advance parole’’) for Authorization (Form I–765), regardless late re-registration, visit the USCIS TPS travel to Guinea, Liberia, or Sierra Leone of your age, if you want an EAD. Web page at http://www.uscis.gov/tps. no longer require demonstration of Note: Although a re-registering TPS extraordinary circumstances in order to • You do not pay the fee for the beneficiary age 14 and older must pay be approvable. Application for Employment the biometric services fee (but not the • There are approximately 1,145 Authorization (Form I–765) if you are initial TPS application fee) when filing current Sierra Leone TPS beneficiaries not requesting an EAD, regardless of a TPS re-registration application, you who are expected to file for re- whether you are applying for late initial may decide to wait to request an EAD, registration under the extension. registration or re-registration. and therefore not pay the Application Notice of Extension of the TPS You must submit both completed for Employment Authorization (Form I– Designation of Sierra Leone application forms together. If you are 765) fee until after USCIS has approved unable to pay the application fee and/ By the authority vested in me as your TPS re-registration, if you are or biometrics fee, you may complete a Secretary under INA section 244, 8 eligible. If you choose to do this, you Request for Fee Waiver (Form I–912) or U.S.C. 1254a, I have determined, after would file the Application for consultation with the appropriate submit a personal letter requesting a fee Temporary Protected Status (Form I– Government agencies, that conditions waiver with satisfactory supporting 821) with the biometrics fee and the supporting Sierra Leone’s November documentation. For more information Application for Employment 2014 designation for TPS continue to be on the application forms and fees for Authorization (Form I–765) without the met. See INA section 244(b)(3)(A), 8 TPS, please visit the USCIS TPS Web fee and without requesting an EAD. U.S.C. 1254a(b)(3)(A). On the basis of page at http://www.uscis.gov/tps. Fees Mailing Information this determination, I am extending the for the Application for Temporary Mail your application for TPS to the existing designation of Sierra Leone for Protected Status (Form I–821), the proper address in Table 1. TPS for 6 months, from May 22, 2016, Application for Employment through November 21, 2016. See INA Authorization (Form I–765), and TABLE 1—MAILING ADDRESSES section 244(b)(3)(C), 8 U.S.C. biometric services are also described in 8 CFR 103.7(b). 1254a(b)(3)(C). If . . . Mail to . . . Jeh Charles Johnson, Biometric Services Fee You are applying USCIS, Attn: TPS Si- Secretary. Biometrics (such as fingerprints) are through the U.S. erra Leone, P.O. Required Application Forms and required for all applicants 14 years and Postal Service. Box 6943, Chicago, Application Fees to Register or Re- older. Those applicants must submit a IL 60680–6943. Register for TPS biometric services fee. As previously You are using a non- USCIS, Attn: TPS Si- U.S. Postal Service erra Leone, 131 S. To register or re-register for TPS based stated, if you are unable to pay for the delivery service. Dearborn Street, on the designation of Sierra Leone, you biometric services fee, you may 3rd Floor, Chicago, must submit each of the following complete a Request for Fee Waiver IL 60603–5517. applications: (Form I–912) or submit a personal letter requesting a fee waiver with satisfactory If you were granted TPS by an 1. Application for Temporary Protected supporting documentation. For more Immigration Judge (IJ) or the Board of Status (Form I–821) information on the biometric services Immigration Appeals (BIA) and you • If you are filing an application for fee, please visit the USCIS Web site at wish to request an EAD or are re- late initial registration, you must pay http://www.uscis.gov. If necessary, you registering for the first time following a the fee for the Application for may be required to visit an Application grant of TPS by an IJ or the BIA, please Temporary Protected Status (Form I– Support Center to have your biometrics mail your application to the appropriate 821). See 8 CFR 244.2(f)(2) and 244.6 captured. mailing address in Table 1. After you

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submit your application and receive a Case Status Online or call the USCIS document based on a future expiration USCIS receipt number, please send an National Customer Service Center for date. email to the appropriate USCIS Service assistance before making an InfoPass If your EAD has an expiration date of Center handling your application, appointment. May 21, 2016, and states ‘‘A–12’’ or ‘‘C– providing the receipt number and 19’’ under ‘‘Category,’’ it has been Am I eligible to receive an automatic 6- stating that you submitted a re- extended automatically for 6 months by month extension of my current EAD registration and/or request for an EAD virtue of this Federal Register Notice, through November 21, 2016? based on an IJ/BIA grant of TPS. This and you may choose to present your will aid in the verification of your grant Provided that you currently have TPS EAD to your employer as proof of of TPS and processing of your under the designation of Sierra Leone, identity and employment authorization application, as USCIS may not have this Notice automatically extends your for Employment Eligibility Verification received records of your grant of TPS by EAD by 6 months if you: (Form I–9) through November 21, 2016 either the IJ or the BIA. To get • Are a national of Sierra Leone (or an (see the subsection titled ‘‘How do my additional information, including the alien having no nationality who last employer and I complete the email address of the appropriate Service habitually resided in Sierra Leone); Employment Eligibility Verification Center, you may go to the USCIS TPS • Received an EAD under the (Form I–9) using an automatically Web page at http://www.uscis.gov/tps. November 2014 designation of Sierra extended EAD for a new job?’’ for Leone for TPS; and further information). To minimize E-Filing • Have an EAD with a marked confusion over this extension at the You cannot electronically file your expiration date of May 21, 2016, bearing time of hire, you should explain to your application when re-registering or the notation ‘‘A–12’’ or ‘‘C–19’’ on the employer that USCIS has automatically submitting an initial registration for face of the card under ‘‘Category.’’ extended your EAD through November Sierra Leone TPS. Please mail your Although this Notice automatically 21, 2016, based on your Temporary application to the mailing address listed extends your EAD through November Protected Status. You are also strongly in Table 1. 21, 2016, you must re-register timely for encouraged, although not required, to TPS in accordance with the procedures Supporting Documents show your employer a copy of this described in this Notice if you would Federal Register Notice confirming the The filing instructions on the like to maintain your TPS. automatic extension of employment Application for Temporary Protected When hired, what documentation may I authorization through November 21, Status (Form I–821) list all the 2016. As an alternative to presenting documents needed to establish basic show to my employer as proof of employment authorization and identity your automatically extended EAD, you eligibility for TPS. You must also may choose to present any other submit two color passport-style when completing Employment Eligibility Verification (Form I–9)? acceptable document from List A, or a photographs of yourself. You may also combination of one selection from List find information on the acceptable You can find a list of acceptable B and one selection from List C. documentation and other requirements document choices on the ‘‘Lists of for applying or registering for TPS on Acceptable Documents’’ for What documentation may I show my the USCIS Web site at www.uscis.gov/ Employment Eligibility Verification employer if I am already employed but tps under ‘‘Sierra Leone.’’ (Form I–9). You can find additional my current TPS-related EAD is set to detailed information on the USCIS I–9 expire? Do I need to submit additional Central Web page at http:// supporting documentation? Even though EADs with an expiration www.uscis.gov/I–9Central. Employers date of May 21, 2016, that state ‘‘A–12’’ If one or more of the questions listed are required to verify the identity and or ‘‘C–19’’ under ‘‘Category’’ have been in Part 4, Question 2 of the Application employment authorization of all new automatically extended for 6 months by for Temporary Protected Status (Form I– employees by using Employment this Federal Register Notice, your 821) applies to you, then you must Eligibility Verification (Form I–9). employer will need to ask you about submit an explanation on a separate Within 3 days of being hired, you must your continued employment sheet(s) of paper and/or additional present proof of identity and authorization once May 21, 2016, is documentation. employment authorization to your reached to meet its responsibilities for Employment Authorization Document employer. Employment Eligibility Verification (EAD) You may present any document from (Form I–9). Your employer does not List A (reflecting both your identity and need to complete a new Employment How can I obtain information on the employment authorization) or one Eligibility Verification (Form I–9) to status of my EAD request? document from List B (reflecting reverify your employment authorization To get case status information about identity) together with one document until November 21, 2016, the expiration your TPS application, including the from List C (reflecting employment date of the automatic extension, but may status of a request for an EAD, you can authorization). An EAD is an acceptable need to reinspect your automatically check Case Status Online at http:// document under ‘‘List A.’’ You may extended EAD to check the expiration www.uscis.gov, or call the USCIS present an acceptable receipt for a List date and code to record the updated National Customer Service Center at A, List B, or List C document as expiration date on your Employment 800–375–5283 (TTY 800–767–1833). If described in the Employment Eligibility Eligibility Verification (Form I–9) if your Application for Employment Verification (Form I–9) Instructions. An your employer did not keep a copy of Authorization (Form I–765) has been acceptable receipt is one that shows an this EAD at the time you initially pending for more than 90 days, and you employee has applied to replace a presented it. You and your employer still need assistance, you may request an document that was lost, stolen or must make corrections to the EAD inquiry appointment with USCIS damaged. If you present an acceptable employment authorization expiration by using the InfoPass system at receipt, you must present your employer dates in Section 1 and Section 2 of https://infopass.uscis.gov. However, we with the actual document within 90 Employment Eligibility Verification strongly encourage you first to check days. Employers may not reject a (Form I–9) (see the subsection titled

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‘‘What corrections should my current completing Employment Eligibility What corrections should my current employer and I make to Employment Verification (Form I–9) for new hires or employer and I make to Employment Eligibility Verification (Form I–9) if my reverifying the employment Eligibility Verification (Form I–9) if my EAD has been automatically extended?’’ authorization of current employees. EAD has been automatically extended? for further information). You are also Refer to the ‘‘Note to Employees’’ If you are an existing employee who strongly encouraged, although not section of this Notice for important presented a TPS-related EAD that was required, to show this Federal Register information about your rights if your valid when you first started your job but Notice to your employer to explain what employer rejects lawful documentation, that EAD has now been automatically to do for Employment Eligibility requires additional documentation, or extended, your employer may reinspect Verification (Form I–9). otherwise discriminates against you your automatically extended EAD if the By November 21, 2016, the expiration based on your citizenship or date of the automatic extension, your employer does not have a photocopy of immigration status, or your national the EAD on file, and you and your employer must reverify your origin. Note that although you are not employment authorization. At that time, employer should correct your required to provide your employer with previously completed Employment you must present any unexpired a copy of this Federal Register Notice, document from List A or any unexpired Eligibility Verification (Form I–9) as you are strongly encouraged to do so to follows: document from List C on Employment help avoid confusion. Eligibility Verification (Form I–9) to 1. For Section 1, you should: reverify employment authorization, or What happens after November 21, 2016, a. Draw a line through the expiration an acceptable List A or List C receipt for purposes of employment date in the first space; described in the Employment Eligibility authorization? b. Write ‘‘November 21, 2016’’ above Verification (Form I–9) instructions. the previous date; After November 21, 2016, employers Your employer is required to reverify on c. Write ‘‘TPS Ext.’’ in the margin of may no longer accept the EADs that this Employment Eligibility Verification Section 1; and Federal Register Notice automatically (Form I–9) the employment d. Initial and date the correction in extended. New EADs requested and authorization of current employees the margin of Section 1. issued under this TPS extension will upon the automatically extended 2. For Section 2, employers should: also expire on November 21, 2016, expiration date of a TPS-related EAD, a. Draw a line through the expiration unless automatically extended by a which is November 21, 2016, in this date written in Section 2; subsequent Federal Register Notice. case. Your employer should use either b. Write ‘‘November 21, 2016’’ above Section 3 of the Employment Eligibility How do my employer and I complete the previous date; Verification (Form I–9) originally Employment Eligibility Verification c. Write ‘‘EAD Ext.’’ in the margin of completed for the employee or, if this (Form I–9) using an automatically Section 2; and section has already been completed or if extended EAD for a new job? d. Initial and date the correction in the version of Employment Eligibility the margin of Section 2. Verification (Form I–9) is no longer When using an automatically By November 21, 2016, when the valid, complete Section 3 of a new extended EAD to complete Employment automatic extension of EADs expires, Employment Eligibility Verification Eligibility Verification (Form I–9) for a employers must reverify the employee’s (Form I–9) using the most current new job before November 21, 2016, you employment authorization in Section 3. version. Note that your employer may and your employer should do the If I am an employer enrolled in E-Verify, not specify which List A or List C following: what do I do when I receive a ‘‘Work document employees must present, and 1. For Section 1, you should: Authorization Documents Expiration’’ cannot reject an acceptable receipt. An a. Check ‘‘An alien authorized to alert for an automatically extended acceptable receipt is one that shows an work;’’ EAD? employee has applied to replace a document that was lost, stolen or b. Write the automatically extended If you are an employer who damaged. EAD expiration date (November 21, participates in E-Verify and you have an 2016) in the first space; and employee who is a TPS beneficiary who Can my employer require that I produce c. Write your alien number (USCIS provided a TPS-related EAD when he or any other documentation to prove my she first started working for you, you current TPS status, such as proof of my number or A-number) in the second space (your EAD or other document will receive a ‘‘Work Authorization Sierra Leonean citizenship or proof that Documents Expiring’’ case alert when I have re-registered for TPS? from DHS will have your USCIS number or A-number printed on it; the USCIS this EAD is about to expire. Usually, No. When completing Employment number is the same as your A-number this message is an alert to complete Eligibility Verification (Form I–9), without the A prefix). Section 3 of the Employment Eligibility including reverifying employment Verification (Form I–9) to reverify an authorization, employers must accept 2. For Section 2, employers should employee’s employment authorization. any documentation that appears on the record the: For existing employees with TPS-related ‘‘Lists of Acceptable Documents’’ for a. Document title; EADs that have been automatically Employment Eligibility Verification b. Issuing authority; extended, employers should dismiss (Form I–9) that reasonably appears to be c. Document number; and this alert by clicking the red ‘‘X’’ in the genuine and that relates to you or an ‘‘dismiss alert’’ column and follow the acceptable List A, List B, or List C d. Automatically extended EAD instructions above explaining how to receipt. Employers may not request expiration date (November 21, 2016). correct the Employment Eligibility documentation that does not appear on By November 21, 2016, employers Verification (Form I–9). By November the ‘‘Lists of Acceptable Documents.’’ must reverify the employee’s 21, 2016, employment authorization Therefore, employers may not request employment authorization in Section 3 must be reverified in Section 3. proof of Sierra Leonean citizenship or of the Employment Eligibility Employers should never use E-Verify for proof of re-registration for TPS when Verification (Form I–9). reverification.

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Note to All Employers case result means that the information provides information on the automatic Employers are reminded that the laws entered into E-Verify from Employment extension. requiring proper employment eligibility Eligibility Verification (Form I–9) differs Check with the government agency verification and prohibiting unfair from Federal or state government regarding which document(s) the agency immigration-related employment records. will accept. You may also provide the Employers may not terminate, practices remain in full force. This agency with a copy of this Federal suspend, delay training, withhold pay, Notice does not supersede or in any way Register Notice. lower pay, or take any adverse action limit applicable employment Some benefit-granting agencies use against you based on your decision to verification rules and policy guidance, the USCIS Systematic Alien Verification contest a TNC or because the case is still including those rules setting forth for Entitlements Program (SAVE) to pending with E-Verify. A Final reverification requirements. For general verify the current immigration status of Nonconfirmation (FNC) case result is questions about the employment applicants for public benefits. If such an received when E-Verify cannot verify agency has denied your application eligibility verification process, your employment eligibility. An employers may call USCIS at 888–464– based solely or in part on a SAVE employer may terminate employment response, the agency must offer you the 4218 (TTY 877–875–6028) or email I– based on a case result of FNC. Work- [email protected]. Calls and emails are opportunity to appeal the decision in authorized employees who receive an accordance with the agency’s accepted in English and many other FNC may call USCIS for assistance at languages. For questions about avoiding procedures. If the agency has received 888–897–7781 (TTY 877–875–6028). If and acted upon or will act upon a SAVE discrimination during the employment you believe you were discriminated eligibility verification process, verification and you do not believe the against by an employer in the E-Verify response is correct, you may make an employers may also call the U.S. process based on citizenship or Department of Justice, Office of Special InfoPass appointment for an in-person immigration status or based on national interview at a local USCIS office. Counsel for Immigration-Related Unfair origin, you may contact OSC’s Worker Employment Practices (OSC) Employer Detailed information on how to make Information Hotline at 800–255–7688 corrections, make an appointment, or Hotline, at 800–255–8155 (TTY 800– (TTY 800–237–2515). Additional 237–2515), which offers language submit a written request to correct information about proper records under the Freedom of interpretation in numerous languages, nondiscriminatory Employment or email OSC at [email protected]. Information Act can be found at the Eligibility Verification (Form I–9) and E- SAVE Web site at http://www.uscis.gov/ Note to Employees Verify procedures is available on the save, then by choosing ‘‘How to Correct For general questions about the OSC Web site at http://www.justice.gov/ Your Records’’ from the menu on the employment eligibility verification crt/about/osc/ and the USCIS Web site right. at http://www.dhs.gov/E-verify. process, you may call USCIS at 888– [FR Doc. 2016–06330 Filed 3–21–16; 8:45 am] 897–7781 (TTY 877–875–6028) or email Note Regarding Federal, State, and BILLING CODE 9111–97–P I–[email protected]. Calls are accepted Local Government Agencies (Such as in English and many other languages. Departments of Motor Vehicles) DEPARTMENT OF HOMELAND You may also call the OSC Worker While Federal Government agencies SECURITY Information Hotline at 800–255–7688 must follow the guidelines laid out by (TTY 800–237–2515) for information the Federal Government, State and local regarding employment discrimination U.S. Citizenship and Immigration government agencies establish their own Services based upon citizenship status, rules and guidelines when granting immigration status, or national origin, or certain benefits. Each State may have [CIS No. 2581–15; DHS Docket No. USCIS– for information regarding discrimination different laws, requirements, and 2014–0010] related to Employment Eligibility determinations about what documents RIN 1615–ZB49 Verification (Form I–9) and E-Verify. you need to provide to prove eligibility The OSC Worker Information Hotline for certain benefits. Whether you are Extension of the Designation of Guinea provides language interpretation in applying for a Federal, State, or local for Temporary Protected Status numerous languages. government benefit, you may need to To comply with the law, employers provide the government agency with AGENCY: U.S. Citizenship and must accept any document or documents that show you are a TPS Immigration Services, Department of combination of documents from the beneficiary and/or show you are Homeland Security. Lists of Acceptable Documents if the authorized to work based on TPS. ACTION: Notice. documentation reasonably appears to be Examples are: genuine and to relate to the employee, (1) Your unexpired EAD; SUMMARY: Through this Notice, the or an acceptable List A, List B, or List (2) A copy of this Federal Register Department of Homeland Security C receipt described in the Employment Notice if your EAD is automatically (DHS) announces that the Secretary of Eligibility Verification (Form I–9) extended under this Notice; Homeland Security (Secretary) is Instructions. Employers may not require (3) A copy of your Application for extending the designation of Guinea for extra or additional documentation Temporary Protected Status Notice of Temporary Protected Status (TPS) for 6 beyond what is required for Action (Form I–797) for this re- months, from May 22, 2016, through Employment Eligibility Verification registration; November 21, 2016. (Form I–9) completion. Further, (4) A copy of your past or current The extension allows currently employers participating in E-Verify who Application for Temporary Protected eligible TPS beneficiaries to retain TPS receive an E-Verify case result of Status Approval Notice (Form I–797), if through November 21, 2016, so long as ‘‘Tentative Nonconfirmation’’ (TNC) you received one from USCIS; and/or they otherwise continue to meet the must promptly inform employees of the (5) If there is an automatic extension eligibility requirements for TPS. The TNC and give such employees an of work authorization, a copy of the fact Secretary has determined that an opportunity to contest the TNC. A TNC sheet from the USCIS TPS Web site that extension is warranted because,

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although there have been significant eligibility, please visit the USCIS TPS • TPS beneficiaries may also be granted improvements, conditions in Guinea Web page at http://www.uscis.gov/tps. travel authorization as a matter of supporting its November 2014 You can find specific information discretion. designation for TPS continue to be met. about Guinea’s TPS extension by • The granting of TPS does not result in Through this Notice, DHS also sets selecting ‘‘Guinea’’ from the menu on or lead to permanent resident status. forth procedures necessary for eligible the left side of the TPS Web page. • To qualify for TPS, beneficiaries must nationals of Guinea (or aliens having no • For questions concerning this FRN, meet the eligibility requirements at nationality who last habitually resided you can also contact the Jerry Rigdon, INA section 244(c)(2), 8 U.S.C. in Guinea) to re-register for TPS and to 1254a(c)(2). Chief of the Waivers and Temporary • apply for renewal of their Employment Services Branch, Service Center When the Secretary terminates a Authorization Documents (EADs) with Operations Directorate, U.S. Citizenship country’s TPS designation, although U.S. Citizenship and Immigration and Immigration Services, Department TPS benefits end, former TPS Services (USCIS). Re-registration is of Homeland Security, 20 Massachusetts beneficiaries continue to hold any limited to persons who have previously Avenue NW., Washington, DC 20529– lawful immigration status that they registered for TPS under the designation 2060; or by phone at (202) 272–1533 maintained or obtained while holding of Guinea and whose applications have (this is not a toll-free number). Note: TPS. been granted. Certain nationals of The phone number provided here is When and why was Guinea designated Guinea (or aliens having no nationality solely for questions regarding this TPS for TPS? who last habitually resided in Guinea) Notice. It is not for individual case On November 21, 2014, the Secretary who have not previously applied for status inquires. • designated Guinea for TPS for a period TPS may be eligible to apply under the Applicants seeking information of 18 months due to the extraordinary late initial registration provisions if they about the status of their individual cases and temporary conditions caused by an meet (1) at least one of the late initial can check Case Status Online, available epidemic of Ebola Virus Disease (EVD) filing criteria, and (2) all TPS eligibility at the USCIS Web site at http:// in West Africa that prevented nationals criteria (including continuous residence www.uscis.gov, or call the USCIS of Guinea from returning to Guinea in in the United States since November 20, National Customer Service Center at safety. The extraordinary and temporary 2014, and continuous physical presence 800–375–5283 (TTY 800–767–1833). conditions included high EVD • in the United States since November 21, Further information will also be transmission rates in widespread 2014). available at local USCIS offices upon geographic areas, overwhelmed health For individuals who have already publication of this Notice. care systems unable to handle the large been granted TPS under Guinea’s SUPPLEMENTARY INFORMATION: number of EVD patients or to provide designation, the 60-day re-registration treatment for normally preventable or Table of Abbreviations period runs from March 22, 2016 treatable conditions, and containment through May 23, 2016. USCIS will issue BIA—Board of Immigration Appeals measures that were causing significant new EADs with a November 21, 2016, DHS—Department of Homeland Security disruptions to Guinea’s economy and expiration date to eligible Guinea TPS DOS—Department of State individuals’ ability to access food and beneficiaries who timely re-register and EAD—Employment Authorization Document earn a livelihood. See Designation of apply for EADs under this extension. EVD—Ebola Virus Disease Guinea for Temporary Protected Status, FNC—Final Nonconfirmation Government— Given the timeframes involved with 79 FR 69511 (Nov. 21, 2014). processing TPS re-registration U.S. Government applications, DHS recognizes that not IJ—Immigration Judge What authority does the Secretary have INA—Immigration and Nationality Act all re-registrants will receive new EADs to extend the designation of Guinea for OSC—U.S. Department of Justice, Office of TPS? before their current EADs expire on May Special Counsel for Immigration-Related 21, 2016. Accordingly, through this Unfair Employment Practices Section 244(b)(1) of the INA, 8 U.S.C. Notice, DHS automatically extends the SAVE—USCIS Systematic Alien Verification 1254a(b)(1), authorizes the Secretary, validity of EADs issued under the TPS for Entitlements Program Secretary— after consultation with appropriate designation of Guinea for 6 months, Secretary of Homeland Security agencies of the U.S. Government through November 21, 2016, and TNC—Tentative Nonconfirmation (Government), to designate a foreign explains how TPS beneficiaries and TPS—Temporary Protected Status state (or part thereof) for TPS if the their employers may determine which TTY—Text Telephone Secretary determines that certain USCIS—U.S. Citizenship and Immigration 1 EADs are automatically extended and Services country conditions exist. The Secretary their impact on the Employment may then grant TPS to eligible nationals Eligibility Verification (Form I–9) and E- What is Temporary Protected Status of that foreign state (or eligible aliens Verify processes. (TPS)? having no nationality who last DATES: The 6-month extension of the • TPS is a temporary immigration status habitually resided in the designated TPS designation of Guinea is effective granted to eligible nationals of a country). See INA section 244(a)(1)(A), May 22, 2016, and will remain in effect country designated for TPS under the 8 U.S.C. 1254a(a)(1)(A). through November 21, 2016. The 60-day Immigration and Nationality Act At least 60 days before the expiration re-registration period runs from March (INA), or to eligible persons without of a country’s TPS designation or 22, 2016 through May 23, 2016. (Note: nationality who last habitually extension, the Secretary, after It is important for re-registrants to resided in the designated country. timely re-register during this 60-day • 1 As of March 1, 2003, in accordance with section During the TPS designation period, 1517 of title XV of the Homeland Security Act of period and not to wait until their EADs TPS beneficiaries are eligible to 2002, Public Law 107–296, 116 Stat. 2135, any expire.) remain in the United States, may not reference to the Attorney General in a provision of FOR FURTHER INFORMATION CONTACT: be removed, and are authorized to the INA describing functions transferred from the • Department of Justice to DHS ‘‘shall be deemed to For further information on TPS, work and obtain EADs so long as they refer to the Secretary’’ of Homeland Security. See including guidance on the application continue to meet the requirements of 6 U.S.C. 557 (codifying the Homeland Security Act process and additional information on TPS. of 2002, tit. XV, section 1517).

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consultation with appropriate survivors; challenges in rebuilding travel to Guinea, Liberia, or Sierra Leone Government agencies, must review the fragile healthcare systems; and lingering no longer require demonstration of conditions in a foreign state designated food insecurity due to the epidemic’s extraordinary circumstances in order to for TPS to determine whether the impact on economic activity, be approvable. conditions for the TPS designation productivity, and livelihoods. The • There are approximately 990 continue to be met. See INA section World Health Organization continues to current Guinea TPS beneficiaries who 244(b)(3)(A), 8 U.S.C. 1254a(b)(3)(A). If consider the EVD outbreak a Public are expected to file for re-registration the Secretary determines that a foreign Health Emergency of International under the extension. state continues to meet the conditions Concern. for TPS designation, the designation Although the countries continue to Notice of Extension of the TPS may be extended for an additional struggle with the effects of the epidemic, Designation of Guinea period of 6, 12, or 18 months. See INA in light of the absence of widespread By the authority vested in me as section 244(b)(3)(C), 8 U.S.C. transmission of EVD, the U.S. Secretary under INA section 244, 8 1254a(b)(3)(C). If the Secretary Department of Health and Human U.S.C. 1254a, I have determined, after determines that the foreign state no Services, Centers for Disease Control consultation with the appropriate longer meets the conditions for TPS and Prevention has removed warnings Government agencies, that conditions designation, the Secretary must for travel to Guinea, Liberia, and Sierra supporting Guinea’s November 2014 terminate the designation. See INA Leone. Accordingly, the restrictions designation for TPS continue to be met. section 244(b)(3)(B), 8 U.S.C. placed on grants of advance parole for See INA section 244(b)(3)(A), 8 U.S.C. 1254a(b)(3)(B). travel to Guinea, Liberia, and Sierra 1254a(b)(3)(A). On the basis of this Leone in conjunction with these Why is the Secretary extending the TPS determination, I am extending the countries’ designations for TPS in existing designation of Guinea for TPS designation for Guinea through November 2014 are removed. November 21, 2016? for 6 months, from May 22, 2016, Beneficiaries of TPS Guinea who wish through November 21, 2016. See INA DHS and the Department of State to travel abroad must still comply with section 244(b)(3)(C), 8 U.S.C. (DOS) have reviewed conditions in the requirements for obtaining advance 1254a(b)(3)(C). Guinea. Based on the reviews and after parole stated in the Instructions to Form consulting with DOS, the Secretary has I–131, Application for Travel Document. Jeh Charles Johnson, determined that a 6-month extension is They should also be aware that travel Secretary. warranted because, although there have abroad may cause a break in their Required Application Forms and been significant improvements, continuous residence and continuous Application Fees To Register or Re- conditions in Guinea supporting its physical presence in the United States, Register for TPS November 2014 designation for TPS making them ineligible for TPS, unless persist. the absence from the United States is To register or re-register for TPS based Guinea, Liberia, and Sierra Leone considered by USCIS to be ‘‘brief, casual on the designation of Guinea, you must were designated for TPS in the midst of and innocent’’ under 8 CFR 244.1. submit each of the following the largest EVD outbreak in history. Based upon this review and after applications: From March 2014 through November consultation with appropriate 1. Application for Temporary 2015, these three countries suffered over Government agencies, the Secretary has Protected Status (Form I–821). • 11,000 deaths among their more than determined that: If you are filing an application for 28,500 cases of EVD. At the height of the • Conditions supporting the late initial registration, you must pay outbreak in late 2014, hundreds of new November 2014 designation of Guinea the fee for the Application for cases were being reported each week, for TPS continue to be met. See INA Temporary Protected Status (Form I– the health care systems were section 244(b)(3)(A) and (C), 8 U.S.C. 821). See 8 CFR 244.2(f)(2) and 244.6 overwhelmed, and containment 1254a(b)(3)(A) and (C). and information on late initial filing on measures were causing significant • There continue to be extraordinary the USCIS TPS Web page at http:// disruptions to individuals’ ability to and temporary conditions in Guinea www.uscis.gov/tps. access food and earn a livelihood. A that prevent Guinean nationals (or • If you are filing an application for robust response by the international aliens having no nationality who last re-registration, you do not need to pay community and the governments of habitually resided in Guinea) from the fee for the Application for Guinea, Liberia, and Sierra Leone has returning to Guinea in safety. See INA Temporary Protected Status (Form I– now brought EVD transmission in West section 244(b)(1)(C), 8 U.S.C. 821). See 8 CFR 244.17. Africa substantially under control. The 1254a(b)(1)(C). 2. Application for Employment World Health Organization declared • It is not contrary to the national Authorization (Form I–765). Guinea free of EVD transmission on interest of the United States to permit • If you are applying for late initial December 29, 2015. Guinean nationals (or aliens having no registration and want an EAD, you must Despite the absence of current nationality who last habitually resided pay the fee for the Application for widespread EVD transmission, Guinea, in Guinea) who meet the eligibility Employment Authorization (Form I– Liberia, and Sierra Leone still face requirements of TPS to remain in the 765) only if you are age 14 through 65. containment and recovery challenges, United States temporarily. See INA You do not need to pay this fee if you and the risk of flare-ups of EVD remains, section 244(b)(1)(C), 8 U.S.C. are under the age of 14 or are 66 or as demonstrated by the two cases 1254a(b)(1)(C). older. reported in Sierra Leone in January 2016 • The designation of Guinea for TPS • If you are applying for re- after the country had previously been should be extended for a 6-month registration, you must pay the fee for the declared free of EVD transmission. All period from May 22, 2016, through Application for Employment three countries continue to experience November 21, 2016. See INA section Authorization (Form I–765), regardless consequences of the epidemic, 244(b)(3)(C), 8 U.S.C. 1254a(b)(3)(C). of your age, if you want an EAD. including the ongoing medical issues • Requests for advance travel • You do not pay the fee for the and mental trauma experienced by EVD authorization (‘‘advance parole’’) for Application for Employment

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Authorization (Form I–765) if you are a TPS re-registration application, you documents needed to establish basic not requesting an EAD, regardless of may decide to wait to request an EAD, eligibility for TPS. You must also whether you are applying for late initial and therefore not pay the Application submit two color passport-style registration or re-registration. for Employment Authorization (Form I– photographs of yourself. You may also You must submit both completed 765) fee until after USCIS has approved find information on the acceptable application forms together. If you are your TPS re-registration, if you are documentation and other requirements unable to pay the application fee and/ eligible. If you choose to do this, you for applying or registering for TPS on or biometrics fee, you may complete a would file the Application for the USCIS Web site at www.uscis.gov/ Request for Fee Waiver (Form I–912) or Temporary Protected Status (Form I– tps under ‘‘Guinea.’’ submit a personal letter requesting a fee 821) with the biometrics fee and the Do I need to submit additional waiver with satisfactory supporting Application for Employment supporting documentation? documentation. For more information Authorization (Form I–765) without the on the application forms and fees for fee and without requesting an EAD. If one or more of the questions listed TPS, please visit the USCIS TPS Web Mailing Information in Part 4, Question 2 of the Application page at http://www.uscis.gov/tps. Fees for Temporary Protected Status (Form I– for the Application for Temporary Mail your application for TPS to the 821) applies to you, then you must Protected Status (Form I–821), the proper address in Table 1. submit an explanation on a separate Application for Employment sheet(s) of paper and/or additional Authorization (Form I–765), and TABLE 1—MAILING ADDRESSES documentation. biometric services are also described in 8 CFR 103.7(b). If . . . Mail to . . . Employment Authorization Document (EAD) Biometric Services Fee You are applying USCIS, Attn: TPS How can I obtain information on the Biometrics (such as fingerprints) are through the U.S. Guinea, P.O. Box status of my EAD request? required for all applicants 14 years and Postal Service. 6943, Chicago, IL older. Those applicants must submit a 60680–6943. You are using a non- USCIS, Attn: TPS To get case status information about biometric services fee. As previously U.S. Postal Service Guinea, 131 S. your TPS application, including the stated, if you are unable to pay for the delivery service. Dearborn Street, status of a request for an EAD, you can biometric services fee, you may 3rd Floor, Chicago, check Case Status Online at http:// complete a Request for Fee Waiver IL 60603–5517. www.uscis.gov, or call the USCIS (Form I–912) or submit a personal letter National Customer Service Center at requesting a fee waiver with satisfactory If you were granted TPS by an 800–375–5283 (TTY 800–767–1833). If supporting documentation. For more Immigration Judge (IJ) or the Board of your Application for Employment information on the biometric services Immigration Appeals (BIA) and you Authorization (Form I–765) has been fee, please visit the USCIS Web site at wish to request an EAD or are re- pending for more than 90 days, and you http://www.uscis.gov. If necessary, you registering for the first time following a still need assistance, you may request an may be required to visit an Application grant of TPS by an IJ or the BIA, please EAD inquiry appointment with USCIS Support Center to have your biometrics mail your application to the appropriate by using the InfoPass system at https:// captured. mailing address in Table 1. After you infopass.uscis.gov. However, we Re-Filing a Re-Registration TPS submit your application and receive a strongly encourage you first to check Application After Receiving a Denial of USCIS receipt number, please send an Case Status Online or call the USCIS a Fee Waiver Request email to the appropriate USCIS Service National Customer Service Center for Center handling your application, assistance before making an InfoPass You should file as soon as possible providing the receipt number and appointment. within the 60-day re-registration period stating that you submitted a re- so USCIS can process your application registration and/or request for an EAD Am I eligible to receive an automatic 6- and issue any EAD promptly. Filing based on an IJ/BIA grant of TPS. This month extension of my current EAD early will also allow you to have time will aid in the verification of your grant through November 21, 2016? to re-file your application before the of TPS and processing of your Provided that you currently have TPS deadline, should USCIS deny your fee application, as USCIS may not have under the designation of Guinea, this waiver request. If, however, you receive received records of your grant of TPS by Notice automatically extends your EAD a denial of your fee waiver request and either the IJ or the BIA. To get by 6 months if you: are unable to re-file by the re- additional information, including the • Are a national of Guinea (or an registration deadline, you may still re- email address of the appropriate Service alien having no nationality who last file your application. This situation will Center, you may go to the USCIS TPS habitually resided in Guinea); be reviewed to determine whether you Web page at http://www.uscis.gov/tps. • established good cause for late re- Received an EAD under the registration. However, you are urged to E-Filing November 2014 designation of Guinea re-file within 45 days of the date on any You cannot electronically file your for TPS; and • USCIS fee waiver denial notice, if application when re-registering or Have an EAD with a marked possible. See INA section 244(c)(3)(C); 8 submitting an initial registration for expiration date of May 21, 2016, bearing U.S.C. 1254a(c)(3)(C); 8 CFR 244.17(c). Guinea TPS. Please mail your the notation ‘‘A–12’’ or ‘‘C–19’’ on the For more information on good cause for application to the mailing address listed face of the card under ‘‘Category.’’ late re-registration, visit the USCIS TPS in Table 1. Although this Notice automatically Web page at http://www.uscis.gov/tps. extends your EAD through November Note: Although a re-registering TPS Supporting Documents 21, 2016, you must re-register timely for beneficiary age 14 and older must pay The filing instructions on the TPS in accordance with the procedures the biometric services fee (but not the Application for Temporary Protected described in this Notice if you would initial TPS application fee) when filing Status (Form I–821) list all the like to maintain your TPS.

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When hired, what documentation may I authorization through November 21, which is November 21, 2016, in this show to my employer as proof of 2016. As an alternative to presenting case. Your employer should use either employment authorization and identity your automatically extended EAD, you Section 3 of the Employment Eligibility when completing Employment may choose to present any other Verification (Form I–9) originally Eligibility Verification (Form I–9)? acceptable document from List A, or a completed for the employee or, if this You can find a list of acceptable combination of one selection from List section has already been completed or if document choices on the ‘‘Lists of B and one selection from List C. the version of Employment Eligibility Acceptable Documents’’ for What documentation may I show my Verification (Form I–9) is no longer Employment Eligibility Verification employer if I am already employed but valid, complete Section 3 of a new (Form I–9). You can find additional my current TPS-related EAD is set to Employment Eligibility Verification detailed information on the USCIS I–9 expire? (Form I–9) using the most current Central Web page at http:// version. Note that your employer may Even though EADs with an expiration not specify which List A or List C www.uscis.gov/I-9Central. Employers date of May 21, 2016, that state ‘‘A–12’’ are required to verify the identity and document employees must present, and or ‘‘C–19’’ under ‘‘Category’’ have been cannot reject an acceptable receipt. An employment authorization of all new automatically extended for 6 months by employees by using Employment acceptable receipt is one that shows an this Federal Register Notice, your employee has applied to replace a Eligibility Verification (Form I–9). employer will need to ask you about Within 3 days of being hired, you must document that was lost, stolen or your continued employment damaged. present proof of identity and authorization once May 21, 2016, is employment authorization to your reached to meet its responsibilities for Can my employer require that I produce employer. Employment Eligibility Verification any other documentation to prove my You may present any document from (Form I–9). Your employer does not current TPS status, such as proof of my List A (reflecting both your identity and need to complete a new Employment Guinean citizenship or proof that I have employment authorization) or one Eligibility Verification (Form I–9) to re-registered for TPS? document from List B (reflecting reverify your employment authorization No. When completing Employment identity) together with one document until November 21, 2016, the expiration Eligibility Verification (Form I–9), from List C (reflecting employment date of the automatic extension, but may including reverifying employment authorization). An EAD is an acceptable need to reinspect your automatically document under ‘‘List A.’’ You may extended EAD to check the expiration authorization, employers must accept present an acceptable receipt for a List date and code to record the updated any documentation that appears on the A, List B, or List C document as expiration date on your Employment ‘‘Lists of Acceptable Documents’’ for described in the Employment Eligibility Eligibility Verification (Form I–9) if Employment Eligibility Verification Verification (Form I–9) Instructions. An your employer did not keep a copy of (Form I–9) that reasonably appears to be acceptable receipt is one that shows an this EAD at the time you initially genuine and that relates to you or an employee has applied to replace a presented it. You and your employer acceptable List A, List B, or List C document that was lost, stolen or must make corrections to the receipt. Employers may not request damaged. If you present an acceptable employment authorization expiration documentation that does not appear on receipt, you must present your employer dates in Section 1 and Section 2 of the ‘‘Lists of Acceptable Documents.’’ with the actual document within 90 Employment Eligibility Verification Therefore, employers may not request days. Employers may not reject a (Form I–9) (see the subsection titled proof of Guinean citizenship or proof of document based on a future expiration ‘‘What corrections should my current re-registration for TPS when completing date. employer and I make to Employment Employment Eligibility Verification If your EAD has an expiration date of Eligibility Verification (Form I–9) if my (Form I–9) for new hires or reverifying May 21, 2016, and states ‘‘A–12’’ or ‘‘C– EAD has been automatically extended?’’ the employment authorization of 19’’ under ‘‘Category,’’ it has been for further information). You are also current employees. Refer to the ‘‘Note to extended automatically for 6 months by strongly encouraged, although not Employees’’ section of this Notice for virtue of this Federal Register Notice, required, to show this Federal Register important information about your rights and you may choose to present your Notice to your employer to explain what if your employer rejects lawful EAD to your employer as proof of to do for Employment Eligibility documentation, requires additional identity and employment authorization Verification (Form I–9). documentation, or otherwise for Employment Eligibility Verification By November 21, 2016, the expiration discriminates against you based on your (Form I–9) through November 21, 2016 date of the automatic extension, your citizenship or immigration status, or (see the subsection titled ‘‘How do my employer must reverify your your national origin. Note that although employer and I complete the employment authorization. At that time, you are not required to provide your Employment Eligibility Verification you must present any unexpired employer with a copy of this Federal (Form I–9) using an automatically document from List A or any unexpired Register Notice, you are strongly extended EAD for a new job?’’ for document from List C on Employment encouraged to do so to help avoid further information). To minimize Eligibility Verification (Form I–9) to confusion. confusion over this extension at the reverify employment authorization, or What happens after November 21, 2016, time of hire, you should explain to your an acceptable List A or List C receipt for purposes of employment employer that USCIS has automatically described in the Employment Eligibility authorization? extended your EAD through November Verification (Form I–9) instructions. 21, 2016, based on your Temporary Your employer is required to reverify on After November 21, 2016, employers Protected Status. You are also strongly Employment Eligibility Verification may no longer accept the EADs that this encouraged, although not required, to (Form I–9) the employment Federal Register Notice automatically show your employer a copy of this authorization of current employees extended. New EADs requested and Federal Register Notice confirming the upon the automatically extended issued under this TPS extension will automatic extension of employment expiration date of a TPS-related EAD, also expire on November 21, 2016,

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unless automatically extended by a c. Write ‘‘EAD Ext.’’ in the margin of Note to Employees subsequent Federal Register Notice. Section 2; and For general questions about the How do my employer and I complete d. Initial and date the correction in employment eligibility verification Employment Eligibility Verification the margin of Section 2. process, you may call USCIS at 888– (Form I–9) using an automatically By November 21, 2016, when the 897–7781 (TTY 877–875–6028) or email extended EAD for a new job? automatic extension of EADs expires, [email protected]. Calls are accepted in English and many other languages. When using an automatically employers must reverify the employee’s You may also call the OSC Worker extended EAD to complete Employment employment authorization in Section 3. Information Hotline at 800–255–7688 Eligibility Verification (Form I–9) for a If I am an employer enrolled in E-Verify, (TTY 800–237–2515) for information new job before November 21, 2016, you what do I do when I receive a ‘‘Work regarding employment discrimination and your employer should do the Authorization Documents Expiration’’ based upon citizenship status, following: alert for an automatically extended immigration status, or national origin, or 1. For Section 1, you should: EAD? for information regarding discrimination a. Check ‘‘An alien authorized to related to Employment Eligibility work;’’ If you are an employer who Verification (Form I–9) and E-Verify. b. Write the automatically extended participates in E-Verify and you have an The OSC Worker Information Hotline EAD expiration date (November 21, employee who is a TPS beneficiary who provides language interpretation in 2016) in the first space; and provided a TPS-related EAD when he or c. Write your alien number (USCIS numerous languages. she first started working for you, you To comply with the law, employers number or A-number) in the second will receive a ‘‘Work Authorization must accept any document or space (your EAD or other document Documents Expiring’’ case alert when combination of documents from the from DHS will have your USCIS number this EAD is about to expire. Usually, Lists of Acceptable Documents if the or A-number printed on it; the USCIS this message is an alert to complete documentation reasonably appears to be number is the same as your A-number Section 3 of the Employment Eligibility genuine and to relate to the employee, without the A prefix). Verification (Form I–9) to reverify an or an acceptable List A, List B, or List 2. For Section 2, employers should employee’s employment authorization. C receipt described in the Employment record the: For existing employees with TPS-related Eligibility Verification (Form I–9) a. Document title; EADs that have been automatically b. Issuing authority; Instructions. Employers may not require extended, employers should dismiss extra or additional documentation c. Document number; and this alert by clicking the red ‘‘X’’ in the d. Automatically extended EAD beyond what is required for ‘‘dismiss alert’’ column and follow the Employment Eligibility Verification expiration date (November 21, 2016). instructions above explaining how to By November 21, 2016, employers (Form I–9) completion. Further, correct the Employment Eligibility employers participating in E-Verify who must reverify the employee’s Verification (Form I–9). By November employment authorization in Section 3 receive an E-Verify case result of 21, 2016, employment authorization ‘‘Tentative Nonconfirmation’’ (TNC) of the Employment Eligibility must be reverified in Section 3. Verification (Form I–9). must promptly inform employees of the Employers should never use E-Verify for TNC and give such employees an What corrections should my current reverification. opportunity to contest the TNC. A TNC employer and I make to Employment Note to All Employers case result means that the information Eligibility Verification (Form I–9) if my entered into E-Verify from Employment EAD has been automatically extended? Employers are reminded that the laws Eligibility Verification (Form I–9) differs If you are an existing employee who requiring proper employment eligibility from Federal or state government presented a TPS-related EAD that was verification and prohibiting unfair records. valid when you first started your job but immigration-related employment Employers may not terminate, that EAD has now been automatically practices remain in full force. This suspend, delay training, withhold pay, extended, your employer may reinspect Notice does not supersede or in any way lower pay, or take any adverse action your automatically extended EAD if the limit applicable employment against you based on your decision to employer does not have a photocopy of verification rules and policy guidance, contest a TNC or because the case is still the EAD on file, and you and your including those rules setting forth pending with E-Verify. A Final employer should correct your reverification requirements. For general Nonconfirmation (FNC) case result is previously completed Employment questions about the employment received when E-Verify cannot verify Eligibility Verification (Form I–9) as eligibility verification process, your employment eligibility. An follows: employers may call USCIS at 888–464– employer may terminate employment 1. For Section 1, you should: 4218 (TTY 877–875–6028) or email I- based on a case result of FNC. Work- a. Draw a line through the expiration [email protected]. Calls and emails are authorized employees who receive an date in the first space; accepted in English and many other FNC may call USCIS for assistance at b. Write ‘‘November 21, 2016’’ above languages. For questions about avoiding 888–897–7781 (TTY 877–875–6028). If the previous date; discrimination during the employment you believe you were discriminated c. Write ‘‘TPS Ext.’’ in the margin of eligibility verification process, against by an employer in the E-Verify Section 1; and employers may also call the U.S. process based on citizenship or d. Initial and date the correction in Department of Justice, Office of Special immigration status or based on national the margin of Section 1. Counsel for Immigration-Related Unfair origin, you may contact OSC’s Worker 2. For Section 2, employers should: Employment Practices (OSC) Employer Information Hotline at 800–255–7688 a. Draw a line through the expiration Hotline, at 800–255–8155 (TTY 800– (TTY 800–237–2515). Additional date written in Section 2; 237–2515), which offers language information about proper b. Write ‘‘November 21, 2016’’ above interpretation in numerous languages, nondiscriminatory Employment the previous date; or email OSC at [email protected]. Eligibility Verification (Form I–9) and E-

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Verify procedures is available on the save, then by choosing ‘‘How to Correct incidental take permit (ITP) and a OSC Web site at http://www.justice.gov/ Your Records’’ from the menu on the habitat conservation plan (HCP). JKAF crt/about/osc/ and the USCIS Web site right. Investments, LLC, and Kathryn at http://www.dhs.gov/E-verify. [FR Doc. 2016–06325 Filed 3–21–16; 8:45 am] Kendrick Davidow Trust (applicants) request ITP TE81666B–0 under the Note Regarding Federal, State, and BILLING CODE 9111–97–P Local Government Agencies (Such as Endangered Species Act of 1973, as Departments of Motor Vehicles) amended (16 U.S.C. 1531 et seq.; Act). DEPARTMENT OF THE INTERIOR The applicants anticipate taking about While Federal Government agencies 0.5 acre of feeding, breeding, and must follow the guidelines laid out by Fish and Wildlife Service sheltering habitat used by the sand the Federal Government, State and local skink (Neoseps reynoldsi) and blue- government agencies establish their own [FWS–R4–ES–2016–N047; tailed mole skink (Eumeces egregius FXES11120400000–156–FF04EF2000] rules and guidelines when granting lividus) (skinks) incidental to land certain benefits. Each State may have Endangered and Threatened Wildlife preparation and construction in Osceola different laws, requirements, and and Plants; Receipt of Application for County, Florida. The applicant’s HCP determinations about what documents an Incidental Take Permit; Availability describes proposed minimization you need to provide to prove eligibility of Low-Effect Habitat Conservation measures and mitigation measures to for certain benefits. Whether you are Plan and Associated Documents; address the effects of development on applying for a Federal, State, or local Osceola County, FL the covered species. government benefit, you may need to provide the government agency with AGENCY: Fish and Wildlife Service, Submitting Comments documents that show you are a TPS Interior. If you wish to comment on the ITP beneficiary and/or show you are ACTION: Notice of availability; request application or HCP, you may submit authorized to work based on TPS. for comment/information. comments by any one of the following Examples are: methods: (1) Your unexpired EAD; SUMMARY: We, the Fish and Wildlife Email: [email protected]. Use (2) A copy of this Federal Register Service (Service), announce the ‘‘Attn: Permit number ‘‘TE81666B–0’’ as Notice if your EAD is automatically availability of an incidental take permit your message subject line. extended under this Notice; (ITP) and a habitat conservation plan Fax: Alfredo Begazo, 772–469–4234, (3) A copy of your Application for (HCP). JKAF Investments, LLC, and Attn.: Permit number ‘‘TE81666B–0.’’ Temporary Protected Status Notice of Kathryn Kendrick Davidow Trust U.S. mail: Alfredo Begazo, South Action (Form I–797) for this re- (applicants) request ITP TE81666B–0 Florida Ecological Services Field Office, registration; under the Endangered Species Act of Attn: Permit number ‘‘TE81666B–0,’’ (4) A copy of your past or current 1973, as amended (Act). The applicants U.S. Fish and Wildlife Service, 1339 Application for Temporary Protected anticipate taking about 0.5 acre of 20th Street, Vero Beach, FL 32960–3559. Status Approval Notice (Form I–797), if feeding, breeding, and sheltering habitat In-person drop-off: You may drop off you received one from USCIS; and/or used by the sand skink and blue-tailed comments or request information during (5) If there is an automatic extension mole skink incidental to land regular business hours at the U.S. mail of work authorization, a copy of the fact preparation and construction in Osceola address. sheet from the USCIS TPS Web site that County, Florida. The applicant’s HCP Public Availability of Comments provides information on the automatic describes proposed minimization extension. measures and mitigation measures to Before including your address, phone Check with the government agency address the effects of development on number, email address, or other regarding which document(s) the agency the covered species. personal identifying information in your will accept. You may also provide the comments, you should be aware that DATES: We must receive your written agency with a copy of this Federal comments on the ITP application and your entire comment—including your Register Notice. HCP on or before April 21, 2016. personal identifying information—may Some benefit-granting agencies use be made publicly available at any time. ADDRESSES: SUPPLEMENTARY the USCIS Systematic Alien Verification See the While you can request in your for Entitlements Program (SAVE) to INFORMATION section for information on comments that your personal verify the current immigration status of how to submit your comments on the identifying information be withheld applicants for public benefits. If such an ITP application and HCP. You may from public review, we cannot agency has denied your application obtain a copy of the ITP application and guarantee that we will be able to do so. based solely or in part on a SAVE HCP by writing the South Florida response, the agency must offer you the Ecological Services Office, Attn: Permit Applicants’ Proposed Project opportunity to appeal the decision in number TE81666B–0, U.S. Fish and We received an application for an accordance with the agency’s Wildlife Service, 1339 20th Street, Vero incidental take permit, along with a procedures. If the agency has received Beach, FL 32960–3559. In addition, we proposed habitat conservation plan. The and acted upon or will act upon a SAVE will make the ITP application and HCP applicants request an ITP under section verification and you do not believe the available for public inspection by 10(a)(1)(B) of the Act (16 U.S.C. 1531 et response is correct, you may make an appointment during normal business seq.). If we approve the application, the InfoPass appointment for an in-person hours at this address. applicants anticipate taking a total of interview at a local USCIS office. FOR FURTHER INFORMATION CONTACT: Mr. approximately 0.5 acre of skink Detailed information on how to make Alfredo Begazo, South Florida breeding, feeding, and sheltering corrections, make an appointment, or Ecological Services Office (see habitat, incidental to land preparation submit a written request to correct ADDRESSES); telephone: 772–469–4234. and construction in Section 30, records under the Freedom of SUPPLEMENTARY INFORMATION: We, the Township 25 South, and Range 27 East Information Act can be found at the Fish and Wildlife Service (Service), in Osceola County, Florida. The SAVE Web site at http://www.uscis.gov/ announce the availability of an applicants currently have neither a

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time-frame for development nor a Authority Ecological Services Office (see specific site plan; however, We provide this notice under Section ADDRESSES); telephone: 772–469 –4234. development of this parcel would likely 10 of the Endangered Species Act (16 SUPPLEMENTARY INFORMATION: We, the include construction of one or more U.S.C. 1531 et seq.) and NEPA Fish and Wildlife Service (Service), structures and a parking area, and regulations (40 CFR 1506.6). announce the availability of an installation of associated utilities. incidental take permit (ITP) and a Dated: March 14, 2016. The applicants propose to minimize habitat conservation plan (HCP). Love’s impacts to skinks by preserving a total Roxanna Hinzman, Travel Stops & Country Stores, Inc. of 1 acre of skink-occupied habitat off Field Supervisor, South Florida Ecological (applicant) requests ITP TE86106B–0 site. The Service listed the skinks as Services Office. under the Endangered Species Act of threatened in 1987 (November 6, 1987; [FR Doc. 2016–06378 Filed 3–21–16; 8:45 am] 1973, as amended (Act). The applicant 52 FR 20715), effective December 7, BILLING CODE 4333–15–P anticipates taking about 2.54 acres of 1987. feeding, breeding, and sheltering habitat used by the sand skink (Neoseps Our Preliminary Determination DEPARTMENT OF THE INTERIOR reynoldsi) and blue-tailed mole skink We have made a preliminary (Eumeces egregius lividus) (skinks) determination that the applicants’ Fish and Wildlife Service incidental to land preparation and project, including the mitigation [FWS–R4–ES–2016–N048; construction in Polk County, Florida. measures, will individually and FXES11120400000–156–FF04EF2000] The applicant’s HCP describes proposed cumulatively have a minor or negligible effect on the species covered in the Endangered and Threatened Wildlife minimization measures and mitigation HCP. Therefore, our proposed issuance and Plants; Receipt of Application for measures to address the effects of of the requested ITP qualifies as a an Incidental Take Permit; Availability development on the covered species. categorical exclusion under the National of Low-Effect Habitat Conservation Submitting Comments Environmental Policy Act (NEPA), as Plan and Associated Documents; Polk If you wish to comment on the ITP provided by Department of the Interior County, FL application or HCP, you may submit implementing regulations in part 46 of AGENCY: comments by any one of the following title 43 of the Code of Federal Fish and Wildlife Service, Interior. methods: Regulations (43 CFR 46.205, 46.210, and Email: [email protected]. Use 46.215).We base our preliminary ACTION: Notice of availability; request for comment/information. ‘‘Attn: Permit number ‘‘TE86106B–0’’ as determination that issuance of the ITP your message subject line. qualifies as a low-effect action on the SUMMARY: We, the Fish and Wildlife Fax: Alfredo Begazo, 772–562–4288, following three criteria: (1) Service (Service), announce the Attn.: Permit number ‘‘TE86106B–0.’’ Implementation of the project would availability of an incidental take permit U.S. mail: Alfredo Begazo, South result in minor or negligible effects on (ITP) and a habitat conservation plan Florida Ecological Services Field Office, federally listed, proposed, and (HCP). Love’s Travel Stops & Country Attn: Permit number ‘‘TE86106B–0,’’ candidate species and their habitats; (2) Stores, Inc. (applicant) requests ITP U.S. Fish and Wildlife Service, 1339 Implementation of the project would TE86106B–0 under the Endangered 20th Street, Vero Beach, FL 32960–3559. result in minor or negligible effects on Species Act of 1973, as amended (Act). In-person drop-off: You may drop off other environmental values or The applicant anticipates taking about comments or request information during resources; and (3) Impacts of the project, 2.54 acres of feeding, breeding, and regular business hours at the U.S. mail considered together with the impacts of sheltering habitat used by the sand address. other past, present, and reasonably skink and blue-tailed mole skink Public Availability of Comments foreseeable similarly situated projects, incidental to land preparation and would not result, over time, in construction in Polk County, Florida. Before including your address, phone cumulative effects to environmental The applicant’s HCP describes proposed number, email address, or other values or resources that would be minimization measures and mitigation personal identifying information in your considered significant. This preliminary measures to address the effects of comments, you should be aware that determination may be revised based on development on the covered species. your entire comment—including your our review of public comments that we personal identifying information—may DATES: receive in response to this notice. We must receive your written be made publicly available at any time. comments on the ITP application and While you can request in your Next Steps HCP on or before April 21, 2016. comments that your personal We will evaluate the HCP and ADDRESSES: See the SUPPLEMENTARY identifying information be withheld comments submitted thereon to INFORMATION section for information on from public review, we cannot determine whether the application how to submit your comments on the guarantee that we will be able to do so. meets the requirements of section 10(a) ITP application and HCP. You may of the Act. We will also evaluate obtain a copy of the ITP application and Applicant’s Proposed Project whether issuance of the section HCP by writing to the South Florida We received an application for an 10(a)(1)(B) ITP complies with section 7 Ecological Services Office, Attn: Permit incidental take permit, along with a of the Act by conducting an intra- number TE86106B–0, U.S. Fish and proposed habitat conservation plan. The Service section 7 consultation. The Wildlife Service, 1339 20th Street, Vero applicant requests an ITP under section results of this consultation, in Beach, FL 32960–3559. In addition, we 10(a)(1)(B) of the Act (16 U.S.C. 1531 et combination with the above findings, will make the ITP application and HCP seq.). If we approve the application, the will be used in the final analysis to available for public inspection by applicant anticipates taking a total of determine whether or not to issue the appointment during normal business approximately 2.54 acres of skink ITP. If it is determined that the hours at this address. breeding, feeding, and sheltering requirements of the Act are met, the ITP FOR FURTHER INFORMATION CONTACT: Mr. habitat, incidental to land preparation will be issued. Alfredo Begazo, South Florida and construction in Section 14,

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Township 30 South, Range 27 East, Polk ITP. If it is determined that the • Fax: 301–443–2316. County, Florida. The applicant currently requirements of the Act are met, the ITP SUPPLEMENTARY INFORMATION: This has neither a time frame for will be issued. previously approved information development, nor a specific site plan; Authority collection project was last published in however, development of this parcel the Federal Register (81 FR 3806) on would likely include construction of We provide this notice under Section January 22, 2016, and allowed 60 days one or more structures and a parking 10 of the Endangered Species Act (16 for public comment. No public area, and installation of associated U.S.C. 1531 et seq.) and NEPA comment was received in response to utilities. regulations (40 CFR 1506.6). the notice. This notice announces our The applicant proposes to minimize Dated: March 14, 2016. intent to submit the collection, which impacts to skinks by preserving a total Roxanna Hinzman, expires April 30, 2016, to OMB for of 5.08 acres of skink-occupied habitat Field Supervisor, South Florida Ecological approval of an extension, and to solicit off site. The Service listed the skinks as Services Office. comments on specific aspects of the threatened in 1987 (November 6, 1987; information collection. The purpose of 52 FR 20715), effective December 7, [FR Doc. 2016–06379 Filed 3–21–16; 8:45 am] BILLING CODE 4333–15–P this notice is to allow 30 days for public 1987. comment to be submitted directly to Our Preliminary Determination OMB. A copy of the supporting We have made a preliminary DEPARTMENT OF HEALTH AND statement is available at determination that the applicant’s HUMAN SERVICES www.regulations.gov (see Docket ID project, including the mitigation IHS–2016–1). Indian Health Service measures, will individually and Title of Collection: 0917–0030, IHS cumulatively have a minor or negligible Forms to Implement the Privacy Rule Request for Public Comment: 30-Day (45 CFR parts 160 and 164). Type of effect on the species covered in the Information Collection: Indian Health HCP. Therefore, our proposed issuance Information Collection Request: Service Forms To Implement the Extension of the currently approved of the requested ITP qualifies as a Privacy Rule categorical exclusion under the National information collection, 0917-0030, IHS Environmental Policy Act (NEPA), as AGENCY: Indian Health Service, HHS. Forms to Implement the Privacy Rule provided by Department of the Interior ACTION: Notice and request for (45 CFR parts 160 and 164). Form(s): implementing regulations in part 46 of comments. Request for extension of IHS–810, IHS–912–1, IHS–912–2, IHS– title 43 of the Code of Federal approval. 913, and IHS–917. Need and Use of Regulations (43 CFR 46.205, 46.210, and Information Collection: This collection 46.215). We base our preliminary SUMMARY: In compliance with the of information is made necessary by the determination that issuance of the ITP Paperwork Reduction Act of 1995, the Department of Health and Human qualifies as a low-effect action on the Indian Health Service (IHS) invites the Services Rule entitled ‘‘Standards for following three criteria: (1) general public to comment on the Privacy of Individually Identifiable Implementation of the project would information collection titled, ‘‘IHS Health Information’’ (Privacy Rule) (45 result in minor or negligible effects on Forms to Implement the Privacy Rule CFR parts 160 and 164). The Privacy federally listed, proposed, and (45 CFR parts 160 and 164),’’ Office of Rule implements the privacy candidate species and their habitats; (2) Management and Budget (OMB) Control requirements of the Administrative Implementation of the project would Number 0917–0030. Simplification subtitle of the Health result in minor or negligible effects on DATES: Comment Due Date: April 21, Insurance Portability and other environmental values or 2016. Your comments regarding this Accountability Act of 1996, creates resources; and (3) Impacts of the project, information collection are best assured national standards to protect considered together with the impacts of of having full effect if received within individual’s personal health other past, present, and reasonably 30 days of the date of this publication. information, and gives patients foreseeable similarly situated projects, ADDRESSES: Send your comments and increased access to their medical would not result, over time, in suggestions regarding the proposed records. 45 CFR 164.508, 164.522, cumulative effects to environmental information collection contained in this 164.526 and 164.528 of the Rule require values or resources that would be notice, especially regarding the the collection of information to considered significant. This preliminary estimated public burden and associated implement these protection standards determination may be revised based on response time to: Office of Management and access requirements. The IHS will our review of public comments that we and Budget, Office of Regulatory Affairs, continue to use the following data receive in response to this notice. New Executive Office Building, Room collection instruments to meet the information collection requirements Next Steps 10235, Washington, DC 20503, Attention: Desk Officer for IHS. contained in the Rule. We will evaluate the HCP and To request more information on the 45 CFR 164.508: This provision comments submitted thereon to proposed collection, or to obtain a copy requires covered entities to obtain or determine whether the application of the data collection instruments and/ receive a valid authorization for its use meets the requirements of section 10(a) or instruction(s), contact Tamara Clay or disclosure of protected health of the Act. We will also evaluate by one of the following methods: information for other than treatment, whether issuance of the section • Mail: Tamara Clay, Information payment and healthcare operations. 10(a)(1)(B) ITP complies with section 7 Collection Clearance Officer, Indian Under the provision, individuals may of the Act by conducting an intra- Health Service, Office of Management initiate a written authorization Service section 7 consultation. The Services, Division of Regulatory Affairs, permitting covered entities to release results of this consultation, in 5600 Fishers Lane, Mail Stop 09E70, their protected health information to combination with the above findings, Rockville, MD 20857. entities of their choosing. The form will be used in the final analysis to • Phone: 301–443–4750. IHS–810 ‘‘Authorization for Use or determine whether or not to issue the • Email: [email protected]. Disclosure of Protected Health

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Information’’ is used to document an restriction regarding the use and entity denies the requested amendment, individual’s authorization to use or disclosure of protected health in whole or in part, the covered entity disclose their protected health information. must provide the individual with a information. 45 CFR 164.528 and 45 CFR 5b.9(c): written denial. The form IHS–917 45 CFR 164.522: Section 164.522(a)(1) This provision requires covered entities ‘‘Request for Correction/Amendment of requires a covered entity to permit to permit individuals to request that the Protected Health Information’’ will be individuals to request that the covered covered entity provide an accounting of used to document an individual’s entity restrict the use and disclosure of disclosures of protected health request to amend their protected health their protected health information. The information made by the covered entity. information and the agency’s decision to covered entity may or may not agree to The form IHS–913 ‘‘Request for an accept or deny the request. Completed the restriction. The form IHS–912–1 Accounting of Disclosures’’ is used to forms used in this collection of ‘‘Request for Restrictions(s)’’ is used to document an individual’s request for an document an individual’s request for accounting of disclosures of their information are filed in the IHS medical, restriction of their protected health protected health information and the health and billing record, a Privacy Act information, and whether IHS agreed or agency’s handling of the request. System of Records Notice. Affected disagreed with the restriction. Section 45 CFR 164.526: This provision Public: Individuals and households. 164.522(a)(2) permits a covered entity to requires covered entities to permit an Type of Respondents: Individuals. terminate its agreement to a restriction individual to request that the covered Burden Hours: The table below provides if the individual agrees to or requests entity amend protected health for this information collection: Types of the termination in writing. The form information. If the covered entity data collection instruments, estimated IHS–912–2 ‘‘Request for Revocation of accepts the requested amendment, in number of respondents, number of Restriction(s)’’ is used to document the whole or in part, the covered entity responses per respondent, average agency or individual request to must inform the individual that the burden hour per response, and total terminate a formerly agreed to amendment is accepted. If the covered annual burden hour(s).

Number of Average Data collection instrument Number of responses per burden hour Total annual respondents respondent per response* burden hours

Authorization for Use or Disclosure of Protected Health Information (OMB Form No. 0917–0030, IHS–810) ...... 210,954 1 10/60 35,159 Request for Restriction(s) (OMB Form No. 0917–0030, IHS–912–1) ...... 214 1 10/60 36 Request for Revocation of Restriction(s) (OMB Form No. 0917–0030, IHS– 912–2) ...... 3 1 10/60 .5 Request for Accounting of Disclosures (OMB Form No. 0917–0030, IHS– 913) ...... 39 1 10/60 6.5 Request for Correction/Amendment of Protected Health Information (OMB Form No. 0917–0030, IHS–917) ...... 54 1 10/60 9

Total Annual Burden ...... 211,264 35,211 * For ease of understanding, burden hours are provided in actual minutes.

The total estimated burden for this (f) ways to minimize the public SUMMARY: The plats of survey of the collection of information is 35,211 burden through the use of automated, following described lands are scheduled hours. electronic, mechanical, or other to be officially filed in the Bureau of There are no capital costs, operating technological collection techniques or Land Management, Oregon State Office, costs and/or maintenance costs to other forms of information technology. Portland, Oregon, 30 days from the date respondents. Dated: March 10, 2016. of this publication. Requests for Comments: Your written Mary Smith, Willamette Meridian comments and/or suggestions are Principal Deputy Director, Indian Health Oregon invited on one or more of the following Service. T. 16 S., R. 2 E., accepted March 14, points: [FR Doc. 2016–06445 Filed 3–21–16; 8:45 am] 2016. (a) Whether the information collection BILLING CODE 4165–16–P Washington activity is necessary to carry out an Tps. 33 and 34 N., R. 2 E, accepted agency function; March 8, 2016. (b) whether the agency processes the DEPARTMENT OF THE INTERIOR ADDRESSES: A copy of the plats may be information collected in a useful and obtained from the Public Room at the timely fashion; Bureau of Land Management Bureau of Land Management, Oregon (c) the accuracy of the public burden State Office, 1220 SW. 3rd Avenue, estimate (the estimated amount of time [LLOR957000–L14400000–BJ0000– Portland, Oregon 97204, upon required needed for individual respondents to 16XL1109AF: HAG 16–0101 payment. provide the requested information); FOR FURTHER INFORMATION CONTACT: Kyle (d) whether the methodology and Filing of Plats of Survey: Oregon/ Hensley, (503) 808–6132, Branch of assumptions used to determine the Washington Geographic Sciences, Bureau of Land estimates are logical; AGENCY: Bureau of Land Management, Management, 1220 SW. 3rd Avenue, (e) ways to enhance the quality, Interior. Portland, Oregon 97204. Persons who utility, and clarity of the information use a telecommunications device for the ACTION: Notice. being collected; and deaf (TDD) may call the Federal

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Information Relay Service (FIRS) at 1– RAC in Sparks, Nevada. The meeting is DEPARTMENT OF THE INTERIOR 800–877–8339 to contact the above open to the public and a public individual during normal business comment period is scheduled for March Bureau of Land Management hours. The FIRS is available 24 hours a 24. day, 7 days a week, to leave a message Dates and Times: The three RACs will [LLIDT000000.L11200000.DD0000.241A.00; or question with the above individual. 4500069133] meet on Wednesday, March 23, from 8 You will receive a reply during normal a.m. to 4:30 p.m. and Thursday, March business hours. Notice of Public Meeting, Twin Falls 24, from 8 a.m. to 4:30 p.m. A public District Resource Advisory Council, SUPPLEMENTARY INFORMATION: A person comment period will be held on Idaho or party who wishes to protest against Thursday, March 24, at 3:30 p.m. The this survey must file a written notice agenda and additional information will AGENCY: Bureau of Land Management, with the Oregon State Director, Bureau be posted at http://on.doi.gov/1bkJm1g. Interior. of Land Management, stating that they ACTION: Notice of public meetings. wish to protest. A statement of reasons FOR FURTHER INFORMATION CONTACT: for a protest may be filed with the notice Chris Rose, telephone: (775) 861–6480, SUMMARY: In accordance with the of protest and must be filed with the email: [email protected]. Persons who use Federal Land Policy and Management Oregon State Director within thirty days a telecommunications device for the Act (FLPMA), the Federal Advisory after the protest is filed. If a protest deaf (TDD) may call the Federal Committee Act of 1972 (FACA), and the against the survey is received prior to Information Relay Service (FIRS) at 1– Federal Lands Recreation Enhancement the date of official filing, the filing will 800–877–8339 to contact the above Act of 2004 (FLREA), the U.S. be stayed pending consideration of the individual during normal business Department of the Interior, Bureau of protest. A plat will not be officially filed hours. The FIRS is available 24 hours a Land Management (BLM) Twin Falls until the day after all protests have been day, 7 days a week, to leave a message District Resource Advisory Council dismissed or otherwise resolved. Before or question with the above individual. (RAC) will meet as indicated below. including your address, phone number, You will receive a reply during normal DATES: The Twin Falls District RAC will email address, or other personally business hours. meet April 21, 2016 at the Sawtooth identifying information in your Best Western Inn, 2653 S. Lincoln, comment, you should be aware that SUPPLEMENTARY INFORMATION: The three Jerome, Idaho 83338. The meeting will your entire comment—including your 15-member Nevada RACs advise the begin at 9:00 a.m. and end no later than personally identifying information— Secretary of the Interior, through the 5:00 p.m. The public comment period may be made publicly available at any BLM Nevada State Director, on a variety will take place from 9:45 to 10:15 a.m. time. While you can ask us in your of planning and management issues FOR FURTHER INFORMATION CONTACT: comment to withhold your personally associated with public land Heather Tiel-Nelson, Twin Falls identifying information from public management in Nevada. The meeting District, Idaho, 2536 Kimberly Road, review, we cannot guarantee that we will be held at the Nugget Casino Resort, Twin Falls, Idaho 83301, (208) 736– will be able to do so. 1100 Nugget Avenue, Sparks, Nevada. 2352. Timothy J. Moore, Agenda topics include an update on SUPPLEMENTARY INFORMATION: The 15- sage grouse, grazing and wild horses Acting Chief Cadastral Surveyor of Oregon/ member RAC advises the Secretary of and burros; closeout reports of the three Washington. the Interior, through the Bureau of Land [FR Doc. 2016–06381 Filed 3–21–16; 8:45 am] RACs; breakout meetings of the three Management, on a variety of planning BILLING CODE 4310–33–P RACs; and scheduling meetings of the and management issues associated with individual RACs for the upcoming year. public land management in Idaho. The public may provide written During the April 21st meeting, there DEPARTMENT OF THE INTERIOR comments to the three RAC groups or to will be an update on the Craters of the an individual RAC. Bureau of Land Management Moon National Monument Draft Comments may also be submitted by Environmental Impact Statement [LLNV912000 L13400000.PQ0000 email to [email protected] with the subject: Amendment, an update on the status of LXSS006F0000; MO#4500091407] 2016 Tri-RAC Comment or by mail at the wild horses gathered following the Soda Fire, an overview of BLM-Idaho’s Notice of Public Meeting: Bureau of the address provided below. Written Artist in Residence program, and an Land Management Nevada Resource comments should be received no later update on the Sage-Grouse Advisory Councils than March 22. Environmental Impact Statement BLM Nevada Tri-RAC Comments, c/o Amendments implementation strategy, AGENCY: Bureau of Land Management, Chris Rose, 1340 Financial Blvd., Reno, as well as field office updates. Interior. NV 89502. ACTION: Notice of public meeting. Additional topics may be added and Individuals who plan to attend and will be included in local media SUMMARY: In accordance with the need further information about the announcements. Federal Land Policy and Management meeting or need special assistance such More information is available at Act and the Federal Advisory as sign language interpretation or other www.blm.gov/id/st/en/res/resource_ Committee Act of 1972 (FACA), the reasonable accommodations may advisory.3.html. RAC meetings are open Department of the Interior, Bureau of contact Chris Rose at the phone number to the public. Land Management (BLM) Nevada will or email address above. Authority: 43 CFR 1784.4–1. hold a joint meeting of its three Resource Advisory Councils (RACs), the Rudy Evenson, Brian C. Amme, Sierra Front-Northwestern Great Basin Deputy Chief, Office of Communications. BLM Twin Falls District Manager (Acting). RAC, the Northeastern Great Basin RAC, [FR Doc. 2016–06380 Filed 3–21–16; 8:45 am] [FR Doc. 2016–06377 Filed 3–21–16; 8:45 am] and the Mojave-Southern Great Basin BILLING CODE 4310–HC–P BILLING CODE 4310–GG–P

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DEPARTMENT OF JUSTICE —Minimize the burden of the collection DEPARTMENT OF JUSTICE of information on those who are to [OMB Number 1103–0105] [OMB Number 1110–0001] respond, including through the use of Agency Information Collection appropriate automated, electronic, Agency Information Collection Activities: Proposed eCollection mechanical, or other technological Activities; Proposed eCollection eComments Requested; Revision to a collection techniques or other forms eComments Requested; Extension Currently Approved Collection; of information technology, e.g., With Change, of a Previously Community Policing Self-Assessment permitting electronic submission of Approved Collection; Return A— (CP–SAT) responses. Monthly Return of Offenses Known to Police and Supplement to Return A— ACTION: 30-Day notice. Overview of This Information Monthly Return of Offenses Known to Collection SUMMARY: The Department of Justice Police (DOJ) Office of Community Oriented (1) Type of Information Collection: AGENCY: Federal Bureau of Policing Services (COPS) will be Extension of a currently approved Investigation, Department of Justice. submitting the following information collection. ACTION: 60-Day notice. collection request to the Office of (2) Title of the Form/Collection: Management and Budget (OMB) for Community Policing Self-Assessment SUMMARY: The Department of Justice, review and approval in accordance with (CP–SAT). Federal Bureau of Investigation, the Paperwork Reduction Act of 1995. Criminal Justice Information Services The information collection was (3) The agency form number 1103– (CJIS) Division will be submitting the previously published in the Federal 0105: U.S. Department of Justice Office following information collection request Register at 81 FR 1444, on January 12, of Community Oriented Policing to the Office of Management and Budget 2016, allowing for a 60 day comment Services. (OMB) for review and clearance in period. (4) Affected public who will be asked accordance with the established review DATES: Comments are encouraged and or required to respond, as well as a brief procedures of the Paperwork Reduction will be accepted for an additional 30 abstract: Act of 1995. DATES: April 21, 2016. Primary: Law Enforcement Agencies Comments are encouraged and will be accepted for 60 days until May FOR FURTHER INFORMATION CONTACT: If and community partners. you have additional comments 23, 2016. Abstract: The purpose of this project especially on the estimated public FOR FURTHER INFORMATION CONTACT: If burden or associated response time, is to improve the practice of community you have additional comments suggestions, or need a copy of the policing throughout the United States especially on the estimated public proposed information collection by supporting the development of a burden or associated response time, instrument with instructions or series of tools that will allow law suggestions, or need a copy of the additional information, please contact enforcement agencies to gain better proposed information collection Lashon M. Hilliard, Department of insight into the depth and breadth of instrument with instructions or Justice, Office of Community Oriented their community policing activities. additional information, please contact Policing Services, 145 N Street NE., (5) An estimate of the total number of Mr. Samuel Berhanu, Unit Chief, Washington, DC 20530. Written respondents and the amount of time Federal Bureau of Investigation, CJIS comments and/or suggestions can also estimated for an average respondent to Division, Module E–3, 1000 Custer be directed to the Office of Management respond/reply: It is estimated that Hollow Road, Clarksburg, West Virginia and Budget, Office of Information and approximately 20,964 respondents will 26306, or facsimile to (304) 625–3566. Regulatory Affairs, Attention: respond with an average of 15 minutes SUPPLEMENTARY INFORMATION: Written Department of Justice Desk Officer, per response. comments and suggestions from the Washington, DC 20530 or sent to OIRA_ public and affected agencies concerning [email protected]. (6) An estimate of the total public the proposed collection of information SUPPLEMENTARY INFORMATION: Written burden (in hours) associated with the are encouraged. Your comments should comments and suggestions from the collection: The total estimated burden is address one or more of the following public and affected agencies concerning 5,241 hours. four points: the proposed collection of information If additional information is required —Evaluate whether the proposed are encouraged. Your comments should contact: Jerri Murray, Department collection of information is necessary address one or more of the following Clearance Officer, United States for the proper performance of the four points: Department of Justice, Justice functions of the Bureau of Justice —Evaluate whether the proposed Management Division, Policy and Statistics, including whether the collection of information is necessary Planning Staff, Two Constitution information will have practical utility; for the proper performance of the Square, 145 N Street NE., Room —Evaluate the accuracy of the agency’s functions of the agency, including 3E.405B, Washington, DC 20530. estimate of the burden of the whether the information will have proposed collection of information, practical utility; Dated: March 17, 2016. including the validity of the —Evaluate the accuracy of the agency’s Jerri Murray, methodology and assumptions used; estimate of the burden of the Department Clearance Officer for PRA, U.S. —Evaluate whether and if so how the proposed collection of information, Department of Justice. quality, utility, and clarity of the including the validity of the [FR Doc. 2016–06384 Filed 3–21–16; 8:45 am] information to be collected can be methodology and assumptions used; BILLING CODE 4410–AT–P enhanced; and —Enhance the quality, utility, and —Minimize the burden of the collection clarity of the information to be of information on those who are to collected; and respond, including through the use of

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appropriate automated, electronic, Dated: March 17, 2016. functions of the agency, including mechanical, or other technological Jerri Murray, whether the information will have collection techniques or other forms Department Clearance Officer for PRA, U.S. practical utility; of information technology, e.g., Department of Justice. —Evaluate the accuracy of the agency’s permitting electronic submission of [FR Doc. 2016–06407 Filed 3–21–16; 8:45 am] estimate of the burden of the responses. BILLING CODE 4410–02–P proposed collection of information, including the validity of the Overview of This Information methodology and assumptions used; Collection DEPARTMENT OF JUSTICE —Evaluate whether and if so how the quality, utility, and clarity of the 1. Type of Information Collection: [OMB Number 1117–0029] information proposed to be collected Revision of a currently approved can be enhanced; and collection. Agency Information Collection Activities; Proposed eCollection, —Minimize the burden of the collection 2. The Title of the Form/Collection: eComments Requested; Extension of information on those who are to Return A—Monthly Return of Offenses Without Change of a Previously respond, including through the use of Known to Police and Supplement to Approved Collection, Annual appropriate automated, electronic, Return A—Monthly Return of Offenses Reporting for Manufacturers of Listed mechanical, or other forms of Known to Police. Chemicals information technology, e.g., 3. The agency form number, if any, permitting electronic submission of AGENCY: and the applicable component of the Drug Enforcement responses. Administration, Department of Justice. Department sponsoring the collection: Overview of this information ACTION: Forms 1–720 and 1–706; Criminal 30-Day notice. collection: Justice Information Services Division, SUMMARY: The Department of Justice 1. Type of Information Collection: Federal Bureau of Investigation, (DOJ), Drug Enforcement Extension of a currently approved Department of Justice. Administration (DEA), will be collection. 4. Affected public who will be asked submitting the following information 2. Title of the Form/Collection: or required to respond, as well as a brief collection request to the Office of Annual Reporting for Manufacturers of abstract: City, county, state, tribal, and Management and Budget (OMB) for Listed Chemicals. federal law enforcement agencies. review and approval in accordance with 3. The agency form number, if any, Under Title 28, U.S. Code, Section 534, the Paperwork Reduction Act of 1995. and the applicable component of the Acquisition, Preservation, and Exchange This proposed information collection Department sponsoring the collection: Form Number: None. The Department of of Identification Records; Appointment was previously published in the Federal Justice component is the Drug of Officials, 1930, this collection Register at 81 FR 1443, on January 12, Enforcement Administration, Office of requests Part I offense and clearance 2016, allowing for a 60 day comment Diversion Control. data as well as stolen and recovered period. 4. Affected public who will be asked DATES: monetary values of stolen property Comments are encouraged and or required to respond, as well as a brief throughout the United States from city, will be accepted for an additional 30 abstract: county, state, tribal, and federal law days until April 21, 2016. Affected public (Primary): Business or enforcement agencies in order for the FOR FURTHER INFORMATION CONTACT: If other for-profit. FBI UCR Program to serve as the you have comments on the estimated Affected public (Other): None. national clearinghouse for the collection public burden or associated response Abstract: This information collection and dissemination of crime data and to time, suggestions, or need a copy of the permits the DEA to monitor the volume publish these statistics in the proposed information collection and availability of domestically Preliminary Annual Reports and Crime instrument with instructions or manufactured listed chemicals. These in the United States. additional information, please contact listed chemicals may be subject to 5. An estimate of the total number of Barbara J. Boockholdt, Office of diversion for the illicit production of respondents and the amount of time Diversion Control, Drug Enforcement controlled substances. This information estimated for an average respondent to Administration; Mailing Address: 8701 is required by law. respond: There are a potential of 18,498 Morrissette Drive, Springfield, Virginia 5. An estimate of the total number of law enforcement agency respondents; 22152; Telephone: (202) 598–6812. respondents and the amount of time Written comments and/or suggestions calculated estimates indicate 10 minutes estimated for an average respondent to can also be directed to the Office of for the Return A and 11 minutes for the respond: The DEA estimates that there Management and Budget, Office of Supplement to Return A. are 100 total respondents for this Information and Regulatory Affairs, information collection. In total, 100 6. An estimate of the total public Attention Department of Justice Desk respondents submit 100 responses, with burden (in hours) associated with the Officer, Washington, DC 20503 or sent each response taking 0.25 hours to _ collection: There are approximately to OIRA [email protected]. complete. 48,686 hours, annual burden, associated SUPPLEMENTARY INFORMATION: Written 6. An estimate of the total public with this information collection. comments and suggestions from the burden (in hours) associated with the If additional information is required public and affected agencies concerning proposed collection: The DEA estimates contact: Jerri Murray, Department the proposed collection of information that this collection takes 25 annual Clearance Officer, United States are encouraged. Your comments should burden hours. Department of Justice, Justice address one or more of the following If additional information is required Management Division, Policy and four points: please contact: Jerri Murray, Planning Staff, Two Constitution —Evaluate whether the proposed Department Clearance Officer, United Square, 145 N Street NE., 3E.405B, collection of information is necessary States Department of Justice, Justice Washington, DC 20530. for the proper performance of the Management Division, Policy and

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Planning Staff, Two Constitution This Committee is subject to the OGIS will notify nominees selected Square, 145 N Street NE., Suite 3E.405B, Federal Advisory Committee Act for appointment to the Committee in the Washington, DC 20530. (FACA), the FOIA, and the Government summer of 2016. Dated: March 17, 2016. in the Sunshine Act (GISA). Dated: March 16, 2016. Jerri Murray, II. Charter and Membership Patrice Little Murray, Department Clearance Officer for PRA, U.S. Appointment Terms Committee Management Officer. Department of Justice. We first chartered the Committee on [FR Doc. 2016–06319 Filed 3–21–16; 8:45 am] [FR Doc. 2016–06383 Filed 3–21–16; 8:45 am] May 20, 2014, and we anticipate BILLING CODE 7515–01–P BILLING CODE 4410–09–P renewing the charter for another two- year term beginning in May 2016. Member appointment terms run for two NUCLEAR REGULATORY NATIONAL ARCHIVES AND RECORDS years, concurrently with the Committee COMMISSION ADMINISTRATION charter. [NRC–2016–0056] Office of Government Information III. Committee Membership Services Fees Development and The Committee includes at least eight Communications [NARA 2016–022] Government and seven non-Government AGENCY: Nuclear Regulatory representatives. We select Committee Commission. FOIA Advisory Committee; Solicitation members so that the Committee for Committee Member Nominations membership includes the following ACTION: Request for information. range of representatives, at a minimum: AGENCY: National Archives and Records SUMMARY: The U.S. Nuclear Regulatory Administration. Government members: Three FOIA Commission (NRC) is requesting ACTION: Notice. professionals from Cabinet-level information from the public on a Departments; three FOIA professionals number of issues associated with the SUMMARY: The National Archives and from non-Cabinet agencies; one development of the agency’s fees. Records Administration (NARA) seeks representative from the Department of Specifically, the NRC would like member nominations for our Freedom of Justice, Office of Information Policy; stakeholder input regarding the general Information Act (FOIA) Advisory and one representative from NARA. communications the NRC provides Committee (Committee). Non-Government Members: Two about its fees and the public’s DATES: We must receive nominations for individuals representing the interests of understanding of the NRC’s fees. The Committee membership before 5 p.m. non-Governmental organizations that information collected will be used by EDT on April 30, 2016. advocate on FOIA matters; one the NRC in developing ways to improve ADDRESSES: Email nominations to OGIS individual representing the interests of the transparency of its fees development at [email protected], FOIA requesters who qualify for the ‘‘all and invoicing processes. fax them to Kate Gastner’s attention at other’’ FOIA requester fee category; one DATES: Submit information and 202–741–5769, or mail them to Kate individual representing the interests of comments by May 6, 2016. Information Gastner; National Archives and Records requesters who qualify for the ‘‘news and comments received after this date Administration; Office of Government media’’ FOIA requester fee category; one will be considered if it is practical to do Information Services; 8601 Adelphi individual representing the interests of so, but the NRC is able to assure Road; College Park, MD 20740–6001. requesters who qualify for the consideration only for information and ‘‘commercial’’ FOIA requester fee FOR FURTHER INFORMATION CONTACT: Kate comments received on or before this Gastner by phone at 202–741–5770, by category; one individual representing date. mail at National Archives and Records the interests of historians and history- related organizations; and one ADDRESSES: You may submit Administration; Office of Government information and comments by any of the Information Services; 8601 Adelphi individual representing the interests of academia. following methods: Road; College Park, MD 20740–6001, or • Federal Rulemaking Web site: Go to by email at foia-advisory-committee@ IV. Nomination information http://www.regulations.gov and search nara.gov. All nominations for Committee for Docket ID NRC–2016–0056. Address SUPPLEMENTARY INFORMATION: membership should provide the questions about NRC dockets to Carol following information: Gallagher; telephone: 301–415–3463; I. Background email: [email protected]. For 1. Your name, title, and relevant We established the Committee under technical questions, contact the contact information (including phone, the Federal Advisory Committee Act, 5 individual listed in the FOR FURTHER fax, and email address); U.S.C. App., to advise NARA on INFORMATION CONTACT section of this improvements to the FOIA and to study 2. The nominee’s name, title, and document. the current FOIA landscape across the relevant contact information, and the • Mail information and comments to: executive branch. We also established Committee position for which you are Cindy Bladey, Office of Administration, the Committee in accordance with the submitting the nominee; Mail Stop: OWFN–12–H08, U.S. second United States Open Government 3. A short paragraph or biography Nuclear Regulatory Commission, National Action Plan released on about the nominee (fewer than 250 Washington, DC 20555–0001. December 5, 2013, and the directive in words), summarizing their resume´ or For additional direction on obtaining the FOIA, 5 U.S.C. 552(h)(1)(C), that the otherwise highlighting the contributions and submitting information and Office of Government Information the nominee would bring to the comments, see ‘‘Obtaining and Services (OGIS) within NARA Committee; and Submitting Information and Comments’’ ‘‘recommend policy changes . . . to 4. The nominee’s resume´ or in the SUPPLEMENTARY INFORMATION improve’’ FOIA administration. curriculum vitae. section of this document.

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FOR FURTHER INFORMATION CONTACT: remove such information before making general communications the NRC Anna Bradford, Office of the Chief the submissions available to the public provides about its fees and the public’s Financial Officer, U.S Nuclear or entering the submission into understanding of the NRC’s fees. In Regulatory Commission, Washington, ADAMS. particular, the NRC is requesting DC 20555–0001; telephone: II. Background answers to the following questions: 301–415–1560; email: 1. What are some specific ways that [email protected]. Each year, the NRC determines its the NRC can improve the public’s SUPPLEMENTARY INFORMATION: hourly, annual, and flat fees via the rulemaking process. During that understanding of its fees and how those I. Obtaining and Submitting rulemaking process, the NRC receives fees relate to the agency’s budget? Information and Comments public comments regarding the specific 2. What are some specific A. Obtaining Information fees being proposed, and at times also improvements that could be made to the receives more generalized comments fee-related work papers or forms that Please refer to Docket ID NRC–2016– regarding the processes that the NRC would assist in the public’s 0056 when contacting the NRC about uses to calculate and communicate understanding of those papers and the availability of information for this those fees—such comments are outside forms? For example, can the NRC action. You may obtain publicly- the scope of the annual rulemaking improve the clarity and content of NRC available information related to this process. invoice forms? If so, how? action by any of the following methods: In a January 30, 2015, paper to the • Federal Rulemaking Web site: Go to Commission (SECY–15–0015, ‘‘Project 3. How can the NRC improve its http://www.regulations.gov and search Aim 2020 Report and explanation of any changes to the for Docket ID NRC–2016–0056. Recommendations,’’ ADAMS Accession annual fees or hourly rates in the annual • NRC’s Agencywide Documents No. ML15012A594), the NRC staff fee rule? Access and Management System recommended that the Office of the 4. What additional information can (ADAMS): You may obtain publicly- Chief Financial Officer (OCFO) the NRC provide along with the available documents online in the undertake an effort to: 1) Simplify how proposed fee rule and work papers to ADAMS Public Documents collection at the NRC calculates its fees, 2) improve help explain how the NRC determines http://www.nrc.gov/reading-rm/ transparency, and 3) improve the fees? adams.html. To begin the search, select timeliness of the NRC’s communications ‘‘ADAMS Public Documents’’ and then about fee changes. These areas overlap 5. Given the statutory requirement to select ‘‘Begin Web-based ADAMS with the out-of-scope comments that the base the NRC’s fees on the annual Search.’’ For problems with ADAMS, NRC at times receives during its annual appropriation enacted by Congress, are please contact the NRC’s Public fee rulemaking. In addition, the NRC there any ways that the NRC can Document Room (PDR) reference staff at staff’s paper recommended that the improve the timeliness of completing its 1–800–397–4209, 301–415–4737, or by OCFO assess alternative methods of annual fee rulemaking or email to [email protected]. The allocating fees; specifically, the paper communicating fee changes? ADAMS accession number for each recommended that the OCFO look at 6. Are there activities that the NRC document referenced (if it is available in whether the NRC should continue to should convert from fee-billable to non- ADAMS) is provided the first time that assess flat fees to materials licensees, fee-billable (or vice versa) and, if so, it is mentioned in the SUPPLEMENTARY and whether the NRC should use flat why? For example, should hearings for INFORMATION section. fees for other regulatory activities. The new licenses be fee-billable, or should • NRC’s PDR: You may examine and Commission approved these the NRC continue to recover those costs purchase copies of public documents at recommendations in a Staff through 10 CFR part 171 annual the NRC’s PDR, Room O1–F21, One Requirements Memorandum dated June charges? White Flint North, 11555 Rockville 8, 2015 (ADAMS Accession No. Pike, Rockville, Maryland 20852. ML15159A234). 7. Are there activities or fee classes In accordance with the Commission’s that are more suited to flat fees rather B. Submitting Information and direction in June 2015, the NRC is now than hourly? For example, should Comments seeking input from its stakeholders. The reviews of topical reports be subject to Please include Docket ID NRC–2016– focus of this information-gathering effort a flat fee or is the level of effort 0056 in your submission. is to obtain information for the NRC to associated with individual topical The NRC cautions you not to include consider in evaluating the changes (if reports too variable? identifying or contact information that any) that the NRC can make to improve 8. Are the current fee classes and you do not want to be publicly the transparency and the timeliness of categories appropriately defined? If not, disclosed in your submission. The NRC its fees development and invoicing how should they be revised and why? will post all submissions at http:// processes. Potential improvements www.regulations.gov as well as enter the identified as a result of this information- 9. Is there general information that the submissions into ADAMS. The NRC gathering effort may be implemented in NRC can add to its public Web site that does not routinely remove identifying or a variety of ways, including during the would assist stakeholders in their contact information. development of future annual fee understanding of the NRC’s fees If you are requesting or aggregating rulemakings or by making changes to development and invoicing processes? information from other persons for other agency communication methods Dated at Rockville, Maryland, this 16th day submission to the NRC, then you should (e.g., by posting additional information of March, 2016. inform those persons not to include to the public Web site regarding fees). For the Nuclear Regulatory Commission. identifying or contact information that they do not want to be publicly III. Requested Information and Maureen E. Wylie, disclosed in their submissions. Your Comments Chief Financial Officer. request should state that the NRC does The NRC is interested in obtaining [FR Doc. 2016–06422 Filed 3–21–16; 8:45 am] not routinely edit submissions to stakeholder comments regarding the BILLING CODE 7590–01–P

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NUCLEAR REGULATORY Friday, April 8, 2016, Conference Room Saturday, April 9, 2016, Conference COMMISSION ADVISORY COMMITTEE T2–B1, 11545 Rockville Pike, Rockville, Room T2–B1, 11545 Rockville Pike, ON REACTOR SAFEGUARDS Maryland Rockville, Maryland 8:30 a.m.–11:30 a.m.: Preparation of 8:30 a.m.–8:35 a.m.: Opening Remarks Notice of Meeting ACRS Reports (Open)—The by the ACRS Chairman (Open)— Committee will continue its The ACRS Chairman will make In accordance with the purposes of discussion of proposed ACRS Sections 29 and 182b of the Atomic opening remarks regarding the reports. [Note: A portion of this Energy Act (42 U.S.C. 2039, 2232b), the conduct of the meeting. meeting may be closed in order to Advisory Committee on Reactor 8:35 a.m.–10:00 a.m.: Future ACRS discuss and protect information Safeguards (ACRS) will hold a meeting Activities/Report of the Planning designated as proprietary, pursuant on April 7–9, 2016, 11545 Rockville and Procedures Subcommittee to 5 U.S.C. 552b(c)(4).] Pike, Rockville, Maryland. (Open/Closed)—The Committee 11:30 a.m.–12:00 p.m.: Miscellaneous Thursday, April 7, 2016, Conference will discuss the recommendations (Open)—The Committee will Room T2–B1, 11545 Rockville Pike, of the Planning and Procedures continue its discussion related to Rockville, Maryland Subcommittee regarding items the conduct of Committee activities proposed for consideration by the and specific issues that were not 8:30 a.m.–8:35 a.m.: Opening Remarks Full Committee during future ACRS completed during previous by the ACRS Chairman (Open)— Meetings, and matters related to the meetings. The ACRS Chairman will make conduct of ACRS business, Procedures for the conduct of and opening remarks regarding the including anticipated workload and participation in ACRS meetings were published in the Federal Register on conduct of the meeting. member assignments. [Note: A October 21, 2015 (80 FR 63846). In 8:35 a.m.–10:30 a.m.: AP1000 Generic portion of this meeting may be accordance with those procedures, oral closed pursuant to 5 U.S.C. Design Changes (Open/Closed)— or written views may be presented by The Committee will hear 552b(c)(2) and (6) to discuss members of the public, including presentations by and hold organizational and personnel representatives of the nuclear industry. discussions with representatives of matters that relate solely to internal Persons desiring to make oral statements the NRC staff and Westinghouse personnel rules and practices of should notify Quynh Nguyen, Cognizant regarding the AP1000 generic ACRS, and information the release ACRS Staff (Telephone: 301–415–5844, design changes. [Note: A portion of of which would constitute a clearly Email: [email protected]), 5 days this meeting may be closed in order unwarranted invasion of personal before the meeting, if possible, so that to discuss and protect information privacy.] appropriate arrangements can be made designated as proprietary, pursuant 10:00 a.m.–10:15 a.m.: Reconciliation of to allow necessary time during the to 5 U.S.C. 552b(c)(4).] ACRS Comments and meeting for such statements. In view of 10:45 a.m.–12:00 p.m.: Regulatory Guide Recommendations (Open)—The the possibility that the schedule for (RG) 1.229 (Open)—The Committee Committee will discuss the ACRS meetings may be adjusted by the will hear presentations by and hold responses from the NRC Executive Chairman as necessary to facilitate the discussions with representatives of Director for Operations to conduct of the meeting, persons the NRC staff regarding RG 1.229 comments and recommendations planning to attend should check with and its risk-informed approach for included in recent ACRS reports the Cognizant ACRS staff if such addressing the effects of debris on and letters. rescheduling would result in major post-accident long-term core inconvenience. cooling. 10:30 a.m.–11:30 a.m.: Baltimore Thirty-five hard copies of each Tunnel Fire (NUREG/CR–6866) and presentation or handout should be 2:00 p.m.–4:00 p.m.: Spent Fuel Storage Caldecott Tunnel Fire (NUREG/CR– and Transportation (Open)—The provided 30 minutes before the meeting. 6894) (Open)—The Committee will In addition, one electronic copy of each Committee will hear presentations hear presentations by and hold presentation should be emailed to the by and hold discussions with discussions with representatives of Cognizant ACRS Staff one day before representatives of the NRC staff and the NRC staff regarding the above meeting. If an electronic copy cannot be the Nuclear Energy Institute fire events. provided within this timeframe, regarding framework for storage and presenters should provide the Cognizant transportation of spent fuel and 1:00 p.m.–2:00 p.m.: Biennial Review ACRS Staff with a CD containing each NUREG–1927, ‘‘Standard Review and Evaluation of the NRC Safety presentation at least 30 minutes before Plan for Renewal of Specific Research Program (Open)—The Committee will hold a discussion the meeting. Licenses and Certificates of In accordance with Subsection 10(d) Compliances for Dry Storage of regarding the NRC Safety Research Program. of Public Law 92–463 and 5 U.S.C. Spent Fuel.’’ 552b(c), certain portions of this meeting 4:00 p.m.–6:00 p.m.: Preparation of 2:00 p.m.–6:00 p.m.: Preparation of may be closed, as specifically noted ACRS Reports (Open)—The ACRS Reports (Open)—The above. Use of still, motion picture, and Committee will discuss proposed Committee will continue its television cameras during the meeting ACRS reports on matters discussed discussion of proposed ACRS may be limited to selected portions of during this meeting. [Note: A reports discussed during this the meeting as determined by the portion of this meeting may be meeting. [Note: A portion of this Chairman. Electronic recordings will be closed in order to discuss and meeting may be closed in order to permitted only during the open portions protect information designated as discuss and protect information of the meeting. proprietary, pursuant to 5 U.S.C. designated as proprietary, pursuant ACRS meeting agendas, meeting 552b(c)(4).] to 5 U.S.C. 552b(c)(4).] transcripts, and letter reports are

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available through the NRC Public Week of April 4, 2016—Tentative POSTAL REGULATORY COMMISSION Document Room at pdr.resource@ Tuesday, April 5, 2016 nrc.gov, or by calling the PDR at 1–800– [Docket Nos. MC2016–97 and CP2016–122; 397–4209, or from the Publicly 9:30 a.m. Briefing on Threat Order No. 3156] Available Records System (PARS) Environment Assessment (Closed Ex. 1). component of NRC’s document system Week of April 11, 2016—Tentative New Postal Product (ADAMS) which is accessible from the NRC Web site at http://www.nrc.gov/ There are no meetings scheduled for AGENCY: Postal Regulatory Commission. reading-rm/adams.html or http:// the week of April 11, 2016. ACTION: Notice. www.nrc.gov/reading-rm/doc- Week of April 18, 2016—Tentative collections/ACRS/. SUMMARY: The Commission is noticing a Tuesday, April 19, 2016 Video teleconferencing service is recent Postal Service filing concerning available for observing open sessions of 9:30 a.m. Meeting with the the addition of Global Expedited ACRS meetings. Those wishing to use Organization of Agreement States and Package Services—Non-Published Rates this service should contact Mr. Theron the Conference of Radiation Control Contract 10 to the competitive product Brown, ACRS Audio Visual Technician Program Directors (Public Meeting), list. This notice informs the public of (301–415–8066), between 7:30 a.m. and (Contact: Paul Michalak: 301–415–5804) the filing, invites public comment, and 3:45 p.m. (ET), at least 10 days before This meeting will be webcast live at takes other administrative steps. the meeting to ensure the availability of the Web address—http://www.nrc.gov/. DATES: Comments are due: March 23, this service. Individuals or Week of April 25, 2016—Tentative 2016. organizations requesting this service ADDRESSES: Submit comments will be responsible for telephone line There are no meetings scheduled for electronically via the Commission’s charges and for providing the the week of April 25, 2016. Filing Online system at http:// equipment and facilities that they use to * * * * * www.prc.gov. Those who cannot submit establish the video teleconferencing The schedule for Commission comments electronically should contact link. The availability of video meetings is subject to change on short the person identified in the FOR FURTHER teleconferencing services is not notice. For more information or to verify INFORMATION CONTACT section by guaranteed. the status of meetings, contact Denise McGovern at 301–415–0681 or via email telephone for advice on filing Dated at Rockville, Maryland, this 16th day alternatives. of March, 2016. at [email protected]. For the Nuclear Regulatory Commission. * * * * * FOR FURTHER INFORMATION CONTACT: Andrew L. Bates, The NRC Commission Meeting David A. Trissell, General Counsel, at Advisory Committee Management Officer. Schedule can be found on the Internet 202–789–6820. [FR Doc. 2016–06421 Filed 3–21–16; 8:45 am] at: http://www.nrc.gov/public-involve/ SUPPLEMENTARY INFORMATION: public-meetings/schedule.html. BILLING CODE 7590–01–P * * * * * Table of Contents The NRC provides reasonable I. Introduction NUCLEAR REGULATORY accommodation to individuals with II. Notice of Commission Action COMMISSION disabilities where appropriate. If you III. Ordering Paragraphs need a reasonable accommodation to I. Introduction [NRC–2016–0001] participate in these public meetings, or need this meeting notice or the In accordance with 39 U.S.C. 3642 Sunshine Act Meeting Notice transcript or other information from the and 39 CFR 3020.30 et seq., and Order public meetings in another format (e.g. No. 2967,1 the Postal Service filed a DATE: March 21, 28, April 4, 11, 18, 25, braille, large print), please notify formal request and associated 2016. Kimberly Meyer, NRC Disability supporting information to add Global Program Manager, at 301–287–0739, by Expedited Package Services—Non- PLACE: Commissioners’ Conference videophone at 240–428–3217, or by Published Rates Contract 10 (GEPS–NPR Room, 11555 Rockville Pike, Rockville, email at Kimberly.Meyer-Chambers@ 10) to the competitive product list.2 The Maryland. nrc.gov. Determinations on requests for Postal Service states the addition of STATUS: Public and closed. reasonable accommodation will be GEPS–NPR 10 to the competitive made on a case-by-case basis. product list is necessary due to its Week of March 21, 2016 * * * * * revision of the Management Analysis of There are no meetings scheduled for Members of the public may request to the Prices and Methodology for the week of March 21, 2016. receive this information electronically. Determining Prices for Negotiated Service Agreements under Global Week of March 28, 2016—Tentative If you would like to be added to the distribution, please contact the Nuclear Expedited Package Services—Non- Tuesday, March 29, 2016 Regulatory Commission, Office of the Secretary, Washington, DC 20555 (301– 1 Docket Nos. MC2016–46 and CP2016–61, Order 9:30 a.m. Briefing on Project Aim 415–1969), or email Adding Global Expedited Package Services—Non- (Public Meeting), (Contact: Janelle Published Rates Contract 9 (GEPS–NPR 9) to the [email protected] or Jessie: 301–415–6775). Competitive Product List, December 30, 2015, at 6– [email protected]. 8 (Order No. 2967). This meeting will be webcast live at 2 Dated: March 17, 2016. Request of the United States Postal Service to the Web address—http://www.nrc.gov/. Add Global Expedited Package Services—Non- Denise McGovern, Published Rates 10 (GEPS–NPR 10) to the Wednesday, March 30, 2016 Policy Coordinator, Office of the Secretary. Competitive Products List and Notice of Filing GEPS–NPR 10 Model Contract and Application for 9:30 a.m. Briefing on Security Issues [FR Doc. 2016–06490 Filed 3–18–16; 11:15 am] Non-Public Treatment of Materials Filed Under (Closed Ex. 1). BILLING CODE 7590–01–P Seal, March 15, 2016 (Request).

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Published Rates 9 and accompanying The Postal Service represents it will 3. Comments are due no later than financial model. Request at 3. notify each GEPS–NPR 10 customer of March 23, 2016. To support its Request, the Postal the contract’s effective date no later than 4. The Secretary shall arrange for Service filed the following attachments: 30 days after receiving the signed publication of this order in the Federal • Attachment 1, an application for agreement from the customer. Id. Register. non-public treatment of materials filed Attachment 4 at 4. Unless terminated By the Commission. under seal; earlier, each contract will expire the Stacy L. Ruble, • Attachment 2A, a redacted version later of one year from the effective date Secretary. of Governors’ Decision No. 11–6; or the last day of the month which falls • Attachment 2B, a revised version of one calendar year from the effective [FR Doc. 2016–06344 Filed 3–21–16; 8:45 am] Mail Classification Schedule section date, unless terminated sooner. Id. The BILLING CODE 7710–FW–P 2510.8 GEPS–NPR; Postal Service represents that the • Attachment 2C, a redacted version contract is consistent with 39 U.S.C. POSTAL REGULATORY COMMISSION of the GEPS–NPR 10 Management 3633(a). Request at 5; id. Attachment 2E; Analysis; id. Attachment 3 at 2–3. [Docket No. CP2016–125; Order No. 3157] • Attachment 2D, Maximum and The Postal Service filed much of the Minimum Prices for Priority Express supporting materials, including an New Postal Product Mail International (PMEI), Priority Mail unredacted model contract, under seal. International (PMI), and Global Express Request at 3. It maintains that the AGENCY: Postal Regulatory Commission. Guaranteed (GXG); First-Class Package redacted portions of the materials ACTION: Notice. International Service (FCPIS); and should remain confidential as sensitive SUMMARY: The Commission is noticing a International Merchandise Return business information. Id. Attachment 1 recent Postal Service filing concerning Service (IMRS) prices under GEPS–NPR at 1–2, 4. This information includes an amendment to an existing Global 10 Contracts; sensitive commercial information • Expedited Package Services 3 negotiated Attachment 2E, a certified concerning the incentive discounts and service agreement. This notice informs statement concerning the prices for their formulation, applicable cost the public of the filing, invites public applicable negotiated service coverage, non-published rates, as well comment, and takes other agreements under GEPS–NPR 10, as some customer-identifying administrative steps. required by 39 CFR 3015.5(c)(2); information in future signed • Attachment 3, a Statement of agreements. Id. at 4–5. The Postal DATES: Comments are due: March 24, Supporting Justification, which is filed Service asks the Commission to protect 2016. pursuant to 39 CFR 3020.32; and customer-identifying information from ADDRESSES: Submit comments • Attachment 4, a redacted version of public disclosure for ten years after the electronically via the Commission’s the GEPS–NPR 10 model contract. Id. at date of filing with the Commission, Filing Online system at http:// 3–4. unless an order is entered to extend the www.prc.gov. Those who cannot submit In a Statement of Supporting duration of that status. Id. at 11. comments electronically should contact Justification, Giselle Valera, Managing the person identified in the FOR FURTHER Director and Vice President, Global II. Notice of Commission Action INFORMATION CONTACT section by Business, asserts the product is The Commission establishes Docket telephone for advice on filing designed to increase efficiency of the Nos. MC2016–97 and CP2016–122 to alternatives. Postal Service’s process, as well as consider the Request pertaining to the enhance its ability to compete in the proposed GEPS–NPR 10 product and FOR FURTHER INFORMATION CONTACT: marketplace. Id. Attachment 3 at 1. the related model contract, respectively. David A. Trissell, General Counsel, at She contends GEPS–NPR 10 belongs The Commission invites comments on 202–789–6820. on the competitive product list as it is whether the Postal Service’s filings in SUPPLEMENTARY INFORMATION: part of a market over which the Postal the captioned dockets are consistent Table of Contents Service does not exercise market with the policies of 39 U.S.C. 3632, dominance,3 is not subsidized by 3633, or 3642, 39 CFR part 3015, and 39 I. Introduction market dominant products, covers costs CFR part 3020, subpart B. Comments are II. Notice of Filings attributable to it, and does not cause due no later than March 23, 2016. The III. Ordering Paragraphs competitive products as a whole to fail public portions of these filings can be I. Introduction to make the appropriate contribution to accessed via the Commission’s Web site institutional costs. Request at 3. (http://www.prc.gov). On March 16, 2016, the Postal Service The Postal Service included a The Commission appoints Katalin K. filed notice that it has entered into an redacted version of the GEPS–NPR 10 Clendenin to serve as Public additional Global Expedited Package model contract with the Request. Id. Representative in these dockets. Services 3 (GEPS 3) negotiated service Attachment 4. The Postal Service agreement (Agreement).1 represents the GEPS–NPR 10 model III. Ordering Paragraphs To support its Notice, the Postal contract is a slight modification of the It is ordered: Service filed a copy of the Agreement, GEPS–NPR 9 model contract approved 1. The Commission establishes Docket a copy of the Governors’ Decision by the Commission in Order No. 2967. Nos. MC2016–97 and CP2016–122 to authorizing the product, a certification See Request at 3. consider the matters raised in each of compliance with 39 U.S.C. 3633(a), docket. and an application for non-public 3 The Postal Service claims it does not exercise 2. Pursuant to 39 U.S.C. 505, Katalin sufficient market power to set the price of PMEI, K. Clendenin is appointed to serve as an 1 Notice of United States Postal Service of Filing PMI, FCPIS, and GXG substantially above costs, officer of the Commission to represent a Functionally Equivalent Global Expedited raise prices significantly, decrease quality, or Package Services 3 Negotiated Service Agreement decrease output, without risk of losing a significant the interests of the general public in and Application for Non-Public Treatment of level of business to other firms offering similar these proceedings (Public Materials Filed Under Seal, March 16, 2016 products. Id. at 3–4; see 39 U.S.C. 3642(b). Representative). (Notice).

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treatment of certain materials. It also Request of the United States Postal are ‘‘qualified companies’’ for Canadian filed supporting financial workpapers. Service to add Global Expedited retirement accounts are not registered Package Services—Non-Published Rates under the U.S. securities laws. II. Notice of Commission Action 10 (GEPS—NPR 10) to the Competitive Securities of those unregistered funds, The Commission establishes Docket Products List, and Notice of Filing therefore, generally cannot be publicly No. CP2016–125 for consideration of GEPS—NPR 10 Model Contract and offered and sold in the United States matters raised by the Notice. Application for Non-Public Treatment without violating the registration The Commission invites comments on of Materials Filed Under Seal. requirement of the Investment Company whether the Postal Service’s filing is Documents are available at Act of 1940 (‘‘Investment Company consistent with 39 U.S.C. 3632, 3633, or www.prc.gov, Docket Nos. MC2016–97 Act’’).1 As a result of this registration 3642, 39 CFR part 3015, and 39 CFR and CP2016–122. requirement, Canadian-U.S. Participants part 3020, subpart B. Comments are due previously were not able to purchase or Stanley F. Mires, no later than March 24, 2016. The exchange securities for their Canadian public portions of the filing can be Attorney, Federal Compliance. retirement accounts as needed to meet accessed via the Commission’s Web site [FR Doc. 2016–06331 Filed 3–21–16; 8:45 am] their changing investment goals or (http://www.prc.gov). BILLING CODE 7710–12–P income needs. The Commission appoints Lyudmila The Commission issued a rulemaking Y. Bzhilyanskaya to serve as Public in 2000 that enabled Canadian-U.S. Representative in this docket. SECURITIES AND EXCHANGE Participants to manage the assets in III. Ordering Paragraphs COMMISSION their Canadian retirement accounts by providing relief from the U.S. It is ordered: [SEC File No. 270–464, OMB Control No. 3235–0527] registration requirements for offers of 1. The Commission establishes Docket securities of foreign issuers to Canadian- No. CP2016–125 for consideration of the Proposed Collection; Comment U.S. Participants and sales to Canadian matters raised by the Postal Service’s Request retirement accounts.2 Rule 7d–2 under Notice. the Investment Company Act 3 permits 2. Pursuant to 39 U.S.C. 505, Upon Written Request, Copy Available foreign funds to offer securities to Lyudmila Y. Bzhilyanskaya is appointed From: Securities and Exchange Canadian-U.S. Participants and sell to serve as an officer of the Commission Commission, Office of FOIA Services, securities to Canadian retirement to represent the interests of the general 100 F Street NE., Washington, DC accounts without registering as public in this proceeding (Public 20549–2736. investment companies under the Representative). Extension: Rule 7d–2. Investment Company Act. 3. Comments are due no later than Rule 7d–2 contains a ‘‘collection of March 24, 2016. Notice is hereby given that, pursuant information’’ requirement within the 4. The Secretary shall arrange for to the Paperwork Reduction Act of 1995 meaning of the Paperwork Reduction publication of this order in the Federal (44 U.S.C. 3501–3520), the Securities Act of 1995.4 Rule 7d–2 requires written Register. and Exchange Commission (the ‘‘Commission’’) is soliciting comments offering materials for securities offered By the Commission. on the collection of information or sold in reliance on that rule to Stacy L. Ruble, summarized below. The Commission disclose prominently that those Secretary. plans to submit this existing collection securities and the fund issuing those [FR Doc. 2016–06418 Filed 3–21–16; 8:45 am] of information to the Office of securities are not registered with the BILLING CODE 7710–FW–P Management and Budget for extension Commission, and that those securities and approval. and the fund issuing those securities are In Canada, as in the United States, exempt from registration under U.S. POSTAL SERVICE individuals can invest a portion of their securities laws. Rule 7d–2 does not earnings in tax-deferred retirement require any documents to be filed with International Product Change—Global savings accounts (‘‘Canadian retirement the Commission. Expedited Package Services—Non- accounts’’). These accounts, which Rule 7d–2 requires written offering Published Rates operate in a manner similar to documents for securities offered or sold in reliance on the rule to disclose AGENCY: Postal ServiceTM. individual retirement accounts in the United States, encourage retirement prominently that the securities are not ACTION: Notice. savings by permitting savings on a tax- registered with the Commission and may not be offered or sold in the United SUMMARY: The Postal Service gives deferred basis. Individuals who States unless registered or exempt from notice of filing a request with the Postal establish Canadian retirement accounts Regulatory Commission to add Global while living and working in Canada and who later move to the United States 1 15 U.S.C. 80a. In addition, the offering and Expedited Package Services—Non- selling of securities that are not registered pursuant Published Rates 10 (GEPS—NPR 10) to (‘‘Canadian-U.S. Participants’’ or to the Securities Act of 1933 (‘‘Securities Act’’) is the Competitive Products List. ‘‘participants’’) often continue to hold generally prohibited by U.S. securities laws. 15 their retirement assets in their Canadian U.S.C. 77. DATES: Effective date: March 22, 2016. retirement accounts rather than 2 See Offer and Sale of Securities to Canadian FOR FURTHER INFORMATION CONTACT: Tax-Deferred Retirement Savings Accounts, Release prematurely withdrawing (or ‘‘cashing Nos. 33–7860, 34–42905, IC–24491 (June 7, 2000) Christopher C. Meyerson, 202–268– out’’) those assets, which would result 7820. [65 FR 37672 (June 15, 2000)]. This rulemaking also in immediate taxation in Canada. included new rule 237 under the Securities Act, SUPPLEMENTARY INFORMATION: The Once in the United States, however, permitting securities of foreign issuers to be offered ® to Canadian-U.S. Participants and sold to Canadian United States Postal Service hereby these participants historically have been retirement accounts without being registered under gives notice that, pursuant to 39 U.S.C. unable to manage their Canadian the Securities Act. 17 CFR 230.237. 3642, on March 15, 2016, it filed with retirement account investments. Most 3 17 CFR 270.7d–2. the Postal Regulatory Commission a investment companies (‘‘funds’’) that 4 44 U.S.C. 3501–3502.

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registration under the U.S. securities These burden hour estimates are (‘‘Act’’),1 and Rule 19b–4 thereunder,2 laws, and also to disclose prominently based upon the Commission staff’s notice is hereby given that on March 7, that the fund that issued the securities experience and discussions with the 2016, The NASDAQ Stock Market LLC is not registered with the Commission. fund industry. The estimates of average (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the The burden under the rule associated burden hours are made solely for the Securities and Exchange Commission with adding this disclosure to written purposes of the Paperwork Reduction (‘‘SEC’’ or ‘‘Commission’’) the proposed offering documents is minimal and is Act. These estimates are not derived rule change as described in Items I, II, non-recurring. The foreign issuer, from a comprehensive or even a and III, below, which Items have been underwriter, or broker-dealer can redraft representative survey or study of the prepared by the Exchange. The an existing prospectus or other written costs of Commission rules. Commission is publishing this notice to offering material to add this disclosure Compliance with the collection of solicit comments on the proposed rule statement, or may draft a sticker or information requirements of the rule is change from interested persons. supplement containing this disclosure mandatory and is necessary to comply I. Self-Regulatory Organization’s to be added to existing offering with the requirements of the rule in Statement of the Terms of the Substance materials. In either case, based on general. An agency may not conduct or of the Proposed Rule Change discussions with representatives of the sponsor, and a person is not required to Canadian fund industry, the staff respond to a collection of information The Exchange proposes to amend the estimates that it would take an average unless it displays a currently valid Exchange’s transaction fees at Rules of 10 minutes per document to draft the control number. 7018(a)(2) and (3) to provide a new credit to members for displayed quotes/ requisite disclosure statement. Written comments are invited on: (a) orders (other than Supplemental Orders The staff estimates that there are 3,164 Whether the collection of information is or Designated Retail Orders) that publicly offered Canadian funds that necessary for the proper performance of provide liquidity in Tape A and B potentially would rely on the rule to the functions of the Commission, securities. offer securities to participants and sell including whether the information has The text of the proposed rule change securities to their Canadian retirement practical utility; (b) the accuracy of the is available on the Exchange’s Web site accounts without registering under the Commission’s estimate of the burdens of at http://nasdaq.cchwallstreet.com, at Investment Company Act.5 The staff the collection of information; (c) ways to the principal office of the Exchange, and estimates that all of these funds have enhance the quality, utility, and clarity at the Commission’s Public Reference previously relied upon the rule and of the information collected; and (d) Room. have already made the one-time change ways to minimize the burdens of the to their offering documents required to collection of information on II. Self-Regulatory Organization’s rely on the rule. The staff estimates that respondents, including through the use Statement of the Purpose of, and 158 (5 percent) additional Canadian of automated collection techniques or Statutory Basis for, the Proposed Rule funds would newly rely on the rule each other forms of information technology. Change year to offer securities to Canadian-U.S. Consideration will be given to In its filing with the Commission, the Participants and sell securities to their comments and suggestions submitted in Exchange included statements Canadian retirement accounts, thus writing within 60 days of this concerning the purpose of and basis for incurring the paperwork burden publication. the proposed rule change and discussed required under the rule. The staff Please direct your written comments any comments it received on the estimates that each of those funds, on to Pamela Dyson, Chief Information proposed rule change. The text of these average, distributes 3 different written Officer, Securities and Exchange statements may be examined at the offering documents concerning those Commission, C/O Remi Pavlik-Simon, places specified in Item IV below. The securities, for a total of 474 offering 100 F St. NE., Washington, DC 20549; or Exchange has prepared summaries, set documents. The staff therefore estimates send an email to: PRA_Mailbox@ forth in sections A, B, and C below, of that 158 respondents would make 474 sec.gov. the most significant aspects of such responses by adding the new disclosure statements. statement to 474 written offering Dated: March 17, 2016. documents. The staff therefore estimates Robert W. Errett, A. Self-Regulatory Organization’s that the annual burden associated with Deputy Secretary. Statement of the Purpose of, and the rule 7d–2 disclosure requirement [FR Doc. 2016–06412 Filed 3–21–16; 8:45 am] Statutory Basis for, the Proposed Rule would be 79 hours (474 offering BILLING CODE 8011–01–P Change × documents 10 minutes per document). 1. Purpose The total annual cost of these burden hours is estimated to be $30,020 (79 SECURITIES AND EXCHANGE The purpose of the proposed rule hours × $380 per hour of attorney COMMISSION change is to amend Rule 7018(a)(2) and time).6 (3), concerning the fees and credits [Release No. 34–77378; File No. SR– provided for the use of the order 5 Investment Company Institute, 2015 Investment NASDAQ–2016–037] execution and routing services of the Company Fact Book (2015) at 238, tbl. 66. Nasdaq Market Center by members for 6 The Commission’s estimate concerning the wage Self-Regulatory Organizations; The all securities priced at $1 or more that rate for attorney time is based on salary information NASDAQ Stock Market LLC; Notice of it trades. The Exchange is proposing to for the securities industry compiled by the Filing and Immediate Effectiveness of Securities Industry and Financial Markets provide a new credit to members for Association (‘‘SIFMA’’). The $380 per hour figure Proposed Rule Change To Amend displayed quotes/orders (other than for an attorney is from SIFMA’s Management & Transaction Fees at Rule 7018(a) Supplemental Orders or Designated Professional Earnings in the Securities Industry Retail Orders) that provide liquidity in 2013, modified by Commission staff to account for March 16, 2016. an 1800-hour work-year and multiplied by 5.35 to account for bonuses, firm size, employee benefits, Pursuant to section 19(b)(1) of the 1 15 U.S.C. 78s(b)(1). and overhead. Securities Exchange Act of 1934 2 17 CFR 240.19b–4.

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Tape 3 A and B securities in addition to represent more than 0.10% of of incentives, and thus must deploy other credits provided under Rules Consolidated Volume during the month those limited funds to incentives that it 7018(a)(2) and (3) for displayed quotes/ would qualify for a $0.0025 per share believes will be the most effective and orders (other than Supplemental Orders executed credit under Rule 7018(a). If improve market quality in areas that the or Designated Retail Orders). the member provides 0.21% of Exchange determines are in need of Currently under Rules 7018(a)(2) and Consolidated Volume from March 7, improvement. The Exchange believes (3), the Exchange provides credits 2016 through March 31, 2016 it would that the proposed increased credit is an ranging from $0.0020 per share executed qualify for the new $0.0001 additional equitable allocation and is not unfairly to $0.00305 per share executed to per share executed credit. The member’s discriminatory because the Exchange members for displayed quotes/orders credit for displayed quotes/orders (other will provide the credit to all members (other than Supplemental Orders or than Supplemental Orders or that qualify for it under the rule. Designated Retail Orders) in Tape A and Designated Retail Orders) if they qualify B. Self-Regulatory Organization’s B securities from March 1, 2016 through by meeting the requirements of the Statement on Burden on Competition various credit tiers under the rules. March 4, 2016 would be $0.0025 per The Exchange is proposing to provide share executed, and from March 7, 2016 The Exchange does not believe that a new $0.0001 per share executed credit through March 31, 2016 would be the proposed rule change will impose that would be provided to members for $0.0026 per share executed ($0.0025 any burden on competition not displayed quotes/orders (other than credit + $0.0001 credit). If a member did necessary or appropriate in furtherance Supplemental Orders or Designated not provide 0.2% of Consolidated of the purposes of the Act. In terms of Retail Orders) in Tape A and B Volume from March 7, 2016 through inter-market competition, the Exchange securities if they have shares of liquidity March 31, 2016 the member would not notes that it operates in a highly provided in all securities during the qualify for the additional $0.0001 credit. competitive market in which market month representing at least 0.2% of This is true regardless of the percent of participants can readily favor competing Consolidated Volume 4 during the Consolidated Volume provided for the venues if they deem fee levels at a month, through one or more of its whole month of March. particular venue to be excessive, or rebate opportunities available at other Nasdaq Market Center MPIDs. 2. Statutory Basis As noted, this rebate will be provided venues to be more favorable. In such an in addition to other displayed liquidity The Exchange believes that its environment, the Exchange must credits that a member qualifies for proposal is consistent with section 6(b) continually adjust its fees to remain under Rules 7018(a)(2) and (3), and will of the Act 5 in general, and furthers the competitive with other exchanges and also be provided in addition to any objectives of sections 6(b)(4) and 6(b)(5) with alternative trading systems that rebates that a member qualifies for of the Act 6 in particular, in that it have been exempted from compliance under the ISP, NBBO, and QMM provides for the equitable allocation of with the statutory standards applicable programs under Rule 7014. The reasonable dues, fees and other charges to exchanges. Because competitors are proposed rebate, however, will not be among members and issuers and other free to modify their own fees in additive to LMM rebates under Rule persons using any facility or system response, and because market 7014 or Designated Retail Order credits which the Exchange operates or participants may readily adjust their under Rule 7018. controls, and is not designed to permit order routing practices, the Exchange The Exchange is implementing the unfair discrimination between believes that the degree to which fee proposed credit on March 7, 2016, at customers, issuers, brokers, or dealers. changes in this market may impose any which time any member that qualifies The Exchange believes that the burden on competition is extremely will begin to receive the credit. The proposed new credit is reasonable limited. measurement period for the because it may provide incentive to In this instance, the proposed new Consolidated Volume required to members to increase the level of credit for displayed liquidity in Tape A qualify for the new credit will initially liquidity provided to the Exchange, and B securities is reflective of robust be calculated based on such volume which will in turn benefit all market competition among exchanges and other trading venues and does not place any provided from March 7, 2016 through participants. Providing credits for burden on competition whatsoever. The March 31, 2016, and then monthly displayed quotes/orders (other than credit is designed to provide additional thereafter. For example, a member with Supplemental Orders or Designated incentive to members to enter displayed shares of liquidity provided in all Retail Orders) rewards members for quotes and orders in Tape A and B securities through one or more of its improving the market through displayed securities traded on the Exchange, Nasdaq Market Center MPIDs that liquidity. As such, the Exchange believes that providing an additional which are most in need of improvement. To the extent the incentive is successful; 3 There are three categories, or ‘‘Tapes’’ of credit for such liquidity is reasonable. securities, which are based on listing venue. Tape The Exchange also believes that it is it will benefit all market participants A securities are those that are listed on NYSE, Tape reasonable to limit the credit to only trading in such securities on the B securities are those that are listed on exchanges quotes/orders in Tape A and B Exchange. other than Nasdaq or NYSE, and Tape C securities Last, although the Exchange does not are those that are listed on the Exchange. securities because the Exchange has 4 Consolidated Volume is the total consolidated observed a decline in overall volume on believe the proposed changes will be volume reported to all consolidated transaction the Exchange in Tape A and B securities unattractive to market participants, if reporting plans by all exchanges and trade reporting in comparison to Tape C securities, and the changes were unattractive then it is facilities during a month in equity securities, likely that the Exchange would lose excluding executed orders with a size of less than is thus providing incentive to members one round lot. For purposes of calculating to provide displayed liquidity in Tape A market share as a result. Accordingly, Consolidated Volume and the extent of a member’s and B securities. the Exchange does not believe that the trading activity, expressed as a percentage of or Further, the Exchange has limited proposed changes will impair the ability ratio to Consolidated Volume, the date of the funds with which to apply in the form of members or competing order annual reconstitution of the Russell Investments Indexes shall be excluded from both total execution venues to maintain their Consolidated Volume and the member’s trading 5 15 U.S.C. 78f(b). competitive standing in the financial activity. See Rule 7018(a). 6 15 U.S.C. 78f(b)(4) and (5). markets.

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C. Self-Regulatory Organization’s Commission and any person, other than Opinion; and Statement on Comments on the those that may be withheld from the Other matters relating to enforcement Proposed Rule Change Received From public in accordance with the proceedings. Members, Participants, or Others provisions of 5 U.S.C. 552, will be At times, changes in Commission No written comments were either available for Web site viewing and priorities require alterations in the solicited or received. printing in the Commission’s Public scheduling of meeting items. Reference Room, 100 F Street NE., For further information and to III. Date of Effectiveness of the Washington, DC 20549 on official ascertain what, if any, matters have been Proposed Rule Change and Timing for business days between the hours of added, deleted or postponed, please Commission Action 10:00 a.m. and 3:00 p.m. Copies of such contact the Office of the Secretary at The foregoing rule change has become filing also will be available for (202) 551–5400. effective pursuant to section inspection and copying at the principal Dated: March 17, 2016. 7 offices of the Exchange. All comments 19(b)(3)(A)(ii) of the Act. Brent J. Fields, At any time within 60 days of the received will be posted without change; filing of the proposed rule change, the the Commission does not edit personal Secretary. Commission summarily may identifying information from [FR Doc. 2016–06516 Filed 3–18–16; 11:15 am] temporarily suspend such rule change if submissions. You should submit only BILLING CODE 8011–01–P it appears to the Commission that such information that you wish to make action is: (i) Necessary or appropriate in available publicly. All submissions SECURITIES AND EXCHANGE the public interest; (ii) for the protection should refer to File Number SR– COMMISSION of investors; or (iii) otherwise in NASDAQ–2016–037, and should be furtherance of the purposes of the Act. submitted on or before April 12, 2016. [Release No. IC–32030; File No. 812–14586] If the Commission takes such action, the For the Commission, by the Division of Commission shall institute proceedings Trading and Markets, pursuant to delegated Principal Life Insurance Company, et to determine whether the proposed rule authority.8 al., Notice of Application should be approved or disapproved. Robert W. Errett, March 17, 2016. IV. Solicitation of Comments Deputy Secretary. AGENCY: Securities and Exchange Interested persons are invited to [FR Doc. 2016–06338 Filed 3–21–16; 8:45 am] Commission (‘‘Commission’’). submit written data, views, and BILLING CODE 8011–01–P ACTION: Notice of application for an arguments concerning the foregoing, order approving the substitution of including whether the proposed rule certain securities pursuant to Section change is consistent with the Act. SECURITIES AND EXCHANGE 26(c) of the Investment Company Act of Comments may be submitted by any of COMMISSION 1940 (the ‘‘Act’’). the following methods: Sunshine Act Meeting Applicants: Principal Life Insurance Electronic Comments Notice is hereby given, pursuant to Company (‘‘PLIC’’), Principal National • Use the Commission’s Internet the provisions of the Government in the Life Insurance Company (‘‘PNL’’) (PLIC comment form (http://www.sec.gov/ Sunshine Act, Public Law 94–409, that and PNL are each an ‘‘Insurance rules/sro.shtml); or the Securities and Exchange Company’’ and together, the ‘‘Insurance • Send an email to rule- Commission will hold a Closed Meeting Companies’’), Principal Life Insurance [email protected]. Please include File on Thursday, March 24, 2016 at 2:00 Company Variable Life Separate Number SR–NASDAQ–2016–037 on the p.m. Account (‘‘PLIC Variable Life Separate subject line. Commissioners, Counsel to the Account’’), and Principal National Life Insurance Company Variable Life Paper Comments Commissioners, the Secretary to the Separate Account (‘‘PNL Variable Life • Commission, and recording secretaries Send paper comments in triplicate will attend the Closed Meeting. Certain Separate Account’’) (PLIC Variable Life to Secretary, Securities and Exchange staff members who have an interest in Separate Account and PNL Variable Life Commission, 100 F Street NE., the matters also may be present. Separate Account are each a ‘‘Separate Washington, DC 20549–1090. The General Counsel of the Account’’ and together, the ‘‘Separate All submissions should refer to File Commission, or her designee, has Accounts’’). Number SR–NASDAQ–2016–037. This certified that, in her opinion, one or Summary of Application: Applicants file number should be included on the more of the exemptions set forth in 5 seek an order pursuant to Section 26(c) subject line if email is used. To help the U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) of the Act approving the substitution of Commission process and review your and 17 CFR 200.402(a)(3), (5), (7), 9(ii) shares of Fidelity Variable Insurance comments more efficiently, please use and (10), permit consideration of the Products Fund V Government Money only one method. The Commission will scheduled matter at the Closed Meeting. Market Portfolio (the ‘‘Replacement post all comments on the Commission’s Chair White, as duty officer, voted to Fund’’) for shares of Principal Variable Internet Web site (http://www.sec.gov/ consider the items listed for the Closed Contracts Funds, Inc. Money Market rules/sro.shtml). Copies of the Meeting in closed session. Account (the ‘‘Existing Fund’’) held by submission, all subsequent The subject matter of the Closed the Separate Accounts to support amendments, all written statements Meeting will be: variable life insurance contracts (each, a with respect to the proposed rule Institution and settlement of injunctive ‘‘Contract’’ and collectively, the change that are filed with the actions; ‘‘Contracts’’) issued by the Insurance Commission, and all written Institution and settlement of Companies. communications relating to the administrative proceedings; Filing Dates: The application was proposed rule change between the Post Argument Discussion; filed on December 9, 2015, and amended on February 29, 2016, March 7 15 U.S.C. 78s(b)(3)(A)(ii). 8 17 CFR 200.30–3(a)(12). 8, 2016, and March 14, 2016.

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Hearing or Notification of Hearing: An is a wholly-owned indirect subsidiary of adviser for the Existing Fund and has order granting the requested relief will PFGI. PNL is the depositor and sponsor day-to-day responsibility for selecting be issued unless the Commission orders of PNL Variable Life Separate Account. investments for the Existing Fund. The a hearing. Interested persons may PNL established PNL Variable Life Existing Fund served as the only request a hearing by writing to the Separate Account as a separate account underlying money market investment Commission’s Secretary and serving under Iowa law on November 28, 2007. option for all of the Contracts until the applicants with a copy of the request, 3. Each Separate Account is a addition of the Replacement Fund personally or by mail. Hearing requests ‘‘separate account’’ as defined in Rule effective on February 6, 2016. should be received by the Commission 0–1(e) under the Act and is registered as 7. Fidelity Variable Insurance by 5:30 p.m. on April 7, 2016, and a unit investment trust under the Act. Products Fund V (‘‘Fidelity VIP Fund should be accompanied by proof of Under Iowa law, the applicable V’’) was created under a declaration of service on applicants, in the form of an Insurance Company owns the assets of trust under Massachusetts law and is affidavit or, for lawyers, a certificate of the Separate Account attributable to the registered as an open-end management service. Pursuant to Rule 0–5 under the Contracts through which interests in the investment company under the Act. Act, hearing requests should state the Separate Account are issued, but those Fidelity VIP Fund V currently offers 32 nature of the writer’s interest, any facts assets are held separately from all other series, including the Replacement Fund. bearing upon the desirability of a assets of the applicable Insurance Fidelity Management & Research hearing on the matter, the reason for the Company for the benefit of the owners Company (‘‘FMR’’), an investment request, and the issues contested. of the Contracts (each, a ‘‘Contract adviser registered under the Advisers Persons who wish to be notified of a Owner’’) and the persons entitled to Act, serves as the investment adviser of hearing may request notification by payment under the Contracts. the Replacement Fund, with overall writing to the Commission’s Secretary. Consequently, the assets in each responsibility for directing portfolio Separate Account are not chargeable investments and handling Fidelity VIP ADDRESSES: Brent J. Fields, Secretary, U.S. Securities and Exchange with liabilities arising out of any other Fund V’s business affairs. Fidelity Commission, 100 F Street NE., business that the applicable Insurance Investments Money Management, Inc. Company may conduct. (‘‘FIMM’’) and other affiliates of FMR Washington, DC 20549–1090; 4. Each Separate Account is divided serve as sub-advisers to the Applicants: Britney Schnathorst, into subaccounts. Each subaccount Replacement Fund, with FIMM having Principal Life Insurance Company, The invests exclusively in shares of a day-to-day responsibility of choosing Principal Financial Group, Des Moines, corresponding underlying registered investments for the Replacement Fund. Iowa 50392–0300. open-end management investment Effective December 1, 2015, the FOR FURTHER INFORMATION CONTACT: company. The applicable Separate fundamental concentration policy of the Laura J. Riegel, Senior Counsel, at (202) Account supports the respective Replacement Fund was modified in 551–6873, or Mary Kay Frech, Branch Contracts, and interests in the Separate such a manner as to enable it to operate Chief at (202) 551–6821 (Division of Account offered through such Contracts as a government money market fund. Investment Management, Chief have been registered under the None of Fidelity VIP Fund V, FMR, Counsel’s Office). Securities Act of 1933 on Form N–6. FIMM, and other affiliates of FMR are SUPPLEMENTARY INFORMATION: The The application sets forth the affiliated persons (or affiliated persons following is a summary of the registration file numbers for the of affiliated persons) of applicants or application. The complete application respective Contracts under the PVC. may be obtained via the Commission’s applicable Separate Account. 8. Applicants propose to substitute Web site by searching for the file 5. The Contracts are individual Service Class Shares of the Replacement number, or an applicant using the flexible premium variable insurance Fund for Class 1 Shares of the Existing Company name box, at http:// policies. Applicants state that, as Fund (the ‘‘Substitution’’) to support the www.sec.gov/search/search.htm or by disclosed in the prospectuses for the Contracts. Applicants represent that the calling (202) 551–8090. Contracts, the Insurance Companies Replacement Fund is an appropriate Applicants’ Representations: reserve the right, subject to Commission alternative for Contract Owners. 1. PLIC is a stock life insurance approval and compliance with Applicants state that the Replacement company incorporated under the laws of applicable law, to substitute shares of Fund and the Existing Fund each has an the state of Iowa. PLIC is authorized to one registered open-end management investment objective to seek current transact life insurance business in all investment company for shares of income as is consistent with states of the United States and the another registered open-end preservation of capital and liquidity. In District of Columbia. PLIC is a wholly- management investment company held addition, while the principal investment owned indirect subsidiary of Principal by a subaccount of a Separate Account. strategies of the Replacement Fund may Financial Group, Inc. (‘‘PFGI’’). PLIC is 6. Principal Variable Contracts Funds, differ from those of the Existing Fund, the depositor and sponsor, as those Inc. (‘‘PVC’’) is organized as a Maryland the goal of each fund is to maintain a terms have been interpreted by the corporation and is registered as an open- net asset value of $1.00 per share. Commission with respect to variable life end management investment company Applicants note that although the risk insurance separate accounts, of PLIC under the Act. PVC currently offers 37 profiles of the Replacement Fund and Variable Life Separate Account. PLIC series, including the Existing Fund. the Existing Fund differ, applicants established PLIC Variable Life Separate Principal Management Corporation believe that the Replacement Fund Account as a separate account under (‘‘PMC’’), an investment adviser entails less investment risk than the Iowa law on November 2, 1987. registered under the Investment Existing Fund. Additional information 2. PNL is a stock life insurance Advisers Act of 1940 (the ‘‘Advisers about the Existing Fund and the company organized under the laws of Act’’), provides investment advisory Replacement Fund, including the state of Ohio. PNL is authorized to services and certain corporate investment objectives, principal transact life insurance business in the administrative services to PVC and the investment strategies, principal risks District of Columbia and in all states in Existing Fund. Principal Global and performance history can be found the United States except New York. PNL Investors, an affiliate of PMC, is the sub- in the application.

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9. Applicants represent that the their Contracts, and no tax liability will confirmation that the Substitution was proposed Substitution will result in a arise for Affected Contract Owners as a carried out as previously notified, a decrease in overall expenses, which result of the Substitution. The restatement of the information set forth benefits the Contract Owners. The Substitution also will not adversely in the Pre-Substitution Notice, and application sets forth the fees and affect any riders under the Contracts. To before and after account values. expenses of the appropriate class of the the extent a Contract offers living 19. Applicants will not receive, for Existing Fund with the corresponding benefits, death benefits, or other three years from the Substitution Date, class of the Replacement Fund in greater guarantees, the value of any such any direct or indirect benefits from the detail. guarantee will not materially decrease Replacement Fund, its adviser or 10. Applicants state the board of directly or indirectly as a result of the underwriter (or their affiliates), in directors of PVC voted to terminate the Substitution. connection with assets attributable to Existing Fund and liquidate its assets 15. Affected Contract Owners will be Contracts affected by the Substitution, at effective April 8, 2016. In light of the permitted to make at least one transfer a higher rate than they had received impending liquidation and the of Contract value from the subaccount from the Existing Fund, its adviser or importance of offering a money market investing in the Existing Fund (before underwriter (or their affiliates), fund investment option for the the Substitution Date) or the including, without limitation, 12b–1 Contracts, the applicants determined Replacement Fund (after the fees, shareholder service, administrative that the Substitution is necessary and in Substitution Date) to any other available or other service fees, revenue sharing, or the best interest of Contract Owners. investment option under the Contract other arrangements. 11. Applicants represent that the without charge for a period beginning at Legal Analysis Substitution and the selection of the least 30 days before the Substitution Replacement Fund were not motivated Date through at least 30 days following 1. Applicants request that the by any financial consideration paid or to the Substitution Date. Except as Commission issue an order pursuant to be paid to the Insurance Companies or described in any market timing/short- Section 26(c) of the Act approving the their affiliates by the Replacement term trading provisions of the relevant proposed Substitution. Section 26(c) of Fund, its adviser or underwriter, or their prospectus, the Insurance Companies the Act requires the depositor of a affiliates. will not exercise any right they may registered unit investment trust holding 12. Applicants state that as of the have under the Contracts to impose securities of a single issuer to receive effective date of the Substitution, April restrictions on transfers between the Commission approval before 8, 2016 (‘‘Substitution Date’’), shares of subaccounts under the Contracts, substituting the securities held by the the Existing Fund will be redeemed for including limitations on the future trust. Section 26(c) provides that such cash. The Insurance Companies, on number of transfers, for a period approval shall be granted by order of the behalf of the Existing Fund subaccount beginning at least 30 days before the Commission if the evidence establishes of the relevant Separate Account, will Substitution Date through at least 30 that the substitution is consistent with simultaneously place a redemption days following the Substitution Date. the protection of investors and the request with the Existing Fund and a 16. All Contract Owners were notified purposes of the Act. purchase order with the Replacement of this application by means of a 2. Applicants submit that the Fund so that the purchase of supplement to the Contract proposed Substitution meets the Replacement Fund shares will be for the prospectuses dated December 9, 2015. standards set forth in Section 26(c) and exact amount of the redemption Among other information regarding the that, if implemented, the Substitution proceeds. Thus, Contract values will Substitution, the supplement informed would not raise any of the concerns remain fully invested at all times. The Affected Contract Owners of the right to underlying that provision. Applicants proceeds of such redemptions will then transfer Contract value from the represent that the Substitution will be used to purchase the appropriate subaccount investing in the Existing provide Contract Owners with a number of shares of the Replacement Fund (before the Substitution Date) or comparable investment vehicle which Fund. the Replacement Fund (after the will not circumvent Contract Owner- 13. The Substitution will take place at Substitution Date) to any other available initiated decisions and the Insurance relative net asset value (in accordance investment option under the Contract Companies’ obligations under the with Rule 22c–1 under the Act) with no without charge. Additionally, a Contracts, and will enable Contract change in the amount of the Contract prospectus for the Replacement Fund Owners to continue to use the full range value, cash value, accumulation value, was included with the supplement. of applicable Contract features as they account value or death benefit or in 17. On March 9, 2016 (30 days before use today. Applicants further state that dollar value of the investment in the the Substitution Date), Affected Contract the Replacement Fund and the Existing applicable Separate Account. The Owners were provided a ‘‘Pre- Fund have essentially the same Insurance Companies or their affiliates Substitution Notice,’’ setting forth: (a) investment objectives, the Replacement will pay all expenses and transaction the intended substitution of the Existing Fund entails less investment risk than costs of the Substitution, including legal Fund with the Replacement Fund; (b) the Existing Fund, and the proposed and accounting expenses, any the intended Substitution Date (subject Substitution will result in a decrease in applicable brokerage expenses and other to approval and order by the overall expenses, thereby benefiting fees and expenses. Commission); and (c) information with Contract Owners. 14. The rights or obligations of the respect to transfers. In addition, the 3. Applicants state that, as disclosed Insurance Companies under the Insurance Companies delivered a in the prospectuses for the Contracts, Contracts of those Contract Owners with prospectus for the Replacement Fund the Insurance Companies reserve the interests in the subaccount of the with the Pre-Substitution Notice. right, subject to Commission approval, Existing Fund (‘‘Affected Contract 18. The Insurance Companies will to substitute shares of a registered open- Owners’’) will not be altered in any deliver to each Affected Contract Owner end management investment company way. The Substitution will in no way within five (5) business days of the for shares of another registered open- alter the tax treatment of Affected Substitution Date, a written end held by a subaccount of a Separate Contract Owners in connection with confirmation, which will include Account. Applicants determined that

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the Substitution is necessary and in the the Affected Contract Owners to effect Substitution Notice; and (c) before and best interests of Contract Owners in the Substitution. after account values. light of the impending liquidation of the 3. The Substitution will be effected at 9. Applicants will not receive, for Existing Fund and the importance of the relative net asset values of the three years from the Substitution Date, offering a money market fund respective shares in conformity with any direct or indirect benefits from the investment option for the Contracts. Section 22(c) of the Act and Rule 22c– Replacement Fund, its adviser or Applicants state that the board of 1 thereunder without the imposition of underwriter (or their affiliates), in directors of PVC concluded that any transfer or similar charges by connection with assets attributable to converting the Existing Fund to a applicants. The Substitution will be Contracts affected by the Substitution, at government money market fund would effected without change in the amount a higher rate than they had received not be a feasible option and voted to or value of any Contracts held by from the Existing Fund, its adviser or terminate the Existing Fund and Affected Contract Owners. underwriter (or their affiliates), liquidate its assets effective April 8, 4. The Substitution will in no way including without limitation 12b–1 fees, 2016. The Insurance Companies submit alter the tax treatment of Affected shareholder service, administrative or that the Replacement Fund should Contract Owners in connection with other service fees, revenue sharing, or substituted for the Existing Fund to their Contracts, and no tax liability will other arrangements. serve as the money market investment arise for Affected Contract Owners as a For the Commission, by the Division of option for all of the Contracts, as well result of the Substitution. Investment Management, under delegated as for the Contract-related purposes for 5. The rights or obligations of the authority. which the Existing Fund is currently Insurance Companies under the Robert W. Errett, used, so that Contract Owner-initiated Contracts of Affected Contract Owners Deputy Secretary. decisions and the Insurance Companies’ will not be altered in any way. The Substitution will not adversely affect [FR Doc. 2016–06411 Filed 3–21–16; 8:45 am] obligations under the Contracts are less BILLING CODE 8011–01–P likely to be prevented. any riders under the Contracts. 6. Affected Contract Owners will be 4. Applicants also assert that the permitted to make at least one transfer SECURITIES AND EXCHANGE Substitution does not entail any of the of Contract value from the subaccount COMMISSION abuses that Section 26(c) was designed investing in the Existing Fund (before to prevent. Each Affected Contract the Substitution Date) or the [Release No. 34–77388; File No. SR–NYSE– Owner has been advised of his right, Replacement Fund (after the 2016–21] any time prior to the Substitution Date, Substitution Date) to any other available and for at least 30 days after the investment option under the Contract Self-Regulatory Organizations; New Substitution Date, to reallocate account without charge for a period beginning at York Stock Exchange LLC; Notice of value under the affected Contract least 30 days before the Substitution Filing and Immediate Effectiveness of without any cost or limitation, or Date through at least 30 days following Proposed Rule Change Adopting a otherwise withdraw or terminate his the Substitution Date. Except as Decommission Extension Fee for interest in accordance with the terms described in any market timing/short- Receipt of the NYSE BBO and NYSE and conditions of his Contract. term trading provisions of the relevant Trades Market Data Products Furthermore, Contract Owners will not prospectus, the Insurance Companies incur any additional tax liability or any March 17, 2016. will not exercise any right they may Pursuant to Section 19(b)(1) 1 of the additional fees or expenses as a result of have under the Contracts to impose the Substitution. Securities Exchange Act of 1934 (the restrictions on transfers between the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Applicants’ Conditions: subaccounts under the Contracts, notice is hereby given that, on March 8, including limitations on the future Applicants agree that any order 2016, New York Stock Exchange LLC number of transfers, for a period (‘‘NYSE’’ or the ‘‘Exchange’’) filed with granting the requested relief will be beginning at least 30 days before the subject to the following conditions: the Securities and Exchange Substitution Date through at least 30 Commission (the ‘‘Commission’’) the 1. The Substitution will not be days following the Substitution Date. proposed rule change as described in effected unless the Insurance 7. All Affected Contract Owners will Items I, II, and III below, which Items Companies determine that: (a) The be notified, at least 30 days before the have been prepared by the self- Contracts allow the substitution of Substitution Date about: (a) The regulatory organization. The shares of registered open-end intended substitution of the Existing Commission is publishing this notice to investment companies in the manner Fund with the Replacement Fund; (b) solicit comments on the proposed rule contemplated by the application; (b) the the intended Substitution Date; and (c) change from interested persons. Substitution can be consummated as information with respect to transfers as described in the application under set forth in Condition 6 above. In I. Self-Regulatory Organization’s applicable insurance laws; and (c) any addition, the Insurance Companies will Statement of the Terms of Substance of regulatory requirements in each deliver to all Affected Contract Owners, the Proposed Rule Change jurisdiction where the Contracts are at least thirty (30) days before the The Exchange proposes to adopt a qualified for sale have been complied Substitution Date, a prospectus for the Decommission Extension Fee for receipt with to the extent necessary to complete Replacement Fund. of the NYSE BBO and NYSE Trades the Substitution. 8. The Insurance Companies will market data products. The proposed 2. The Insurance Companies or their deliver to each Affected Contract Owner rule change is available on the affiliates will pay all expenses and within five (5) business days of the Exchange’s Web site at www.nyse.com, transaction costs of the Substitution, Substitution Date a written confirmation at the principal office of the Exchange, including legal and accounting which will include: (a) A confirmation expenses, any applicable brokerage that the Substitution was carried out as 1 15 U.S.C. 78s(b)(1). expenses and other fees and expenses. previously notified; (b) a restatement of 2 15 U.S.C. 78a. No fees or charges will be assessed to the information set forth in the Pre- 3 17 CFR 240.19b–4.

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and at the Commission’s Public message updates every minute and receive these data feeds in the legacy Reference Room. includes NYSE’s opening price, high format for a period of time beyond the price, low price, closing price, and built-in overlap period is reasonable, II. Self-Regulatory Organization’s cumulative volume for the security.5 equitable and not unfairly Statement of the Purpose of, and NYSE BBO is an NYSE-only market discriminatory because the proposed fee Statutory Basis for, the Proposed Rule data feed that allows a vendor to would apply equally to all data Change redistribute on a real-time basis the recipients that currently subscribe to In its filing with the Commission, the same best-bid-and-offer information that NYSE BBO and NYSE Trades. The self-regulatory organization included the Exchange reports under the Exchange believes that it is reasonable statements concerning the purpose of, Consolidated Quotation (‘‘CQ’’) Plan for to require data recipients to pay an and basis for, the proposed rule change inclusion in the CQ Plan’s consolidated additional fee for taking the data feeds and discussed any comments it received quotation information data stream. The in the legacy format beyond the period on the proposed rule change. The text data feed includes the best bids and of time specifically allotted by the of those statements may be examined at offers for all securities that are traded on Exchange for data feed customers to the places specified in Item IV below. the Exchange and for which NYSE adapt to the new XDP format at no extra The Exchange has prepared summaries, reports quotes under the CQ Plan. cost. To that end, the extension fee is set forth in sections A, B, and C below, As part of the Exchange’s efforts to designed to encourage data recipients to of the most significant parts of such regularly upgrade systems to support migrate to the XDP format in order to statements. more modern data distribution formats continue to receive NYSE BBO and and protocols as technology evolves, NYSE Trades in XDP as the legacy A. Self-Regulatory Organization’s beginning March 1, 2016, NYSE BBO format would no longer be available Statement of the Purpose of, and the and NYSE Trades will both be after that date. The Exchange does not Statutory Basis for, the Proposed Rule transmitted in a new format, Exchange intend to support the legacy format at Change Data Protocol (XDP). Beginning March all after September 1, 2016. 1. Purpose 1, 2016, the Exchange will transmit The Exchange notes that NYSE BBO NYSE BBO and NYSE Trades in both and NYSE Trades are entirely optional. The Exchange proposes to adopt a the legacy format and in XDP without The Exchange is not required to make Decommission Extension Fee for receipt any additional fee being charged for NYSE BBO and NYSE Trades available of the NYSE BBO and NYSE Trades or to offer any specific pricing 4 providing these data feeds in both market data products, as set forth on formats. The dual dissemination will alternatives to any customers, nor is any the NYSE Proprietary Market Data Fee remain in place until July 1, 2016, the firm required to purchase NYSE BBO Schedule (‘‘Fee Schedule’’). Recipients planned decommission date of the and NYSE Trades, nor is the Exchange of NYSE BBO and NYSE Trades would legacy format. Beginning July 1, 2016, required to offer any feed (NYSE BBO, continue to be subject to the already recipients of NYSE BBO and NYSE NYSE Trades, or otherwise) in a existing subscription fees currently set Trades who wish to continue to receive particular format, and it is a benefit to forth in the Fee Schedule. The proposed NYSE BBO and NYSE Trades in the the markets generally that NYSE update Decommission Extension Fee would legacy format will each be subject to the its distribution technology to make it apply only to those subscribers who proposed Decommission Extension Fee more efficient (and at the same time decide to continue to receive the NYSE of $5,000 per month. During the eliminate less efficient forms of BBO and NYSE Trades feeds in their extension period, recipients of NYSE dissemination). Firms that do purchase legacy format for up to two months after BBO and NYSE Trades would continue NYSE BBO and NYSE Trades do so for those feeds otherwise will be distributed to be subject to the subscription fees the primary goals of using them to exclusively in the new format explained currently noted in the Fee Schedule. increase revenues, reduce expenses, and below. The extension period for receiving these in some instances compete directly with NYSE Trades is an NYSE-only last data feeds in the legacy format will the Exchange (including for order flow); sale market data feed. NYSE Trades expire on September 1, 2016, on which those firms are able to determine for currently allows vendors, broker-dealers date distribution of NYSE BBO and themselves whether NYSE BBO and and others to make available on a real- NYSE Trades in the legacy format will NYSE Trades or any other similar time basis the same last sale information be permanently discontinued. products are attractively priced or not.8 that the Exchange reports under the The decision of the United States Consolidated Tape Association (‘‘CTA’’) 2. Statutory Basis Court of Appeals for the District of Plan for inclusion in the CTA Plan’s The Exchange believes that the Columbia Circuit in NetCoalition v. consolidated data streams. Specifically, proposed rule change is consistent with SEC, 615 F.3d 525 (D.C. Cir. 2010), the NYSE Trades feed includes, for each the provisions of Section 6 of the Act,6 upheld reliance by the Securities and security traded on the Exchange, the in general, and Sections 6(b)(4) and Exchange Commission (‘‘Commission’’) real-time last sale price, time and size 6(b)(5) of the Act,7 in particular, in that upon the existence of competitive information and bid/ask quotations at it provides an equitable allocation of market mechanisms to set reasonable the time of each sale and a stock reasonable fees among users and and equitably allocated fees for summary message. The stock summary recipients of the data and is not proprietary market data: designed to permit unfair In fact, the legislative history indicates that 4 See Securities Exchange Act Release Nos. 61914 discrimination among customers, (Apr. 14, 2010), 74 FR 21077 (Apr. 22, 2010) (SR– the Congress intended that the market system NYSE–2010–30) (notice—NYSE BBO); 62181 (May issuers, and brokers. 26, 2010), 75 FR 31488 (June 3, 2010) (SR–NYSE– The Exchange believes that adopting 8 See, e.g., Proposing Release on Regulation of 2010–30) (approval order—NYSE BBO); 59309 (Jan. an extension fee for subscribers of NYSE NMS Stock Alternative Trading Systems, Securities 28, 2009), 74 FR 6073 (Feb. 4, 2009) (SR–NYSE– BBO and NYSE Trades who wish to Exchange Act Release No. 76474 (Nov. 18, 2015) 2009–04) (notice—NYSE Trades); and 59309 (Mar. (File No. S7–23–15). See also, ‘‘Brokers Warned Not 19, 2009), 74 FR 13293 (Mar. 26, 2009) (approval to Steer Clients’ Stock Trades Into Slow Lane,’’ order—NYSE Trades) (SR–NYSE–2009–04) and 5 Id. Bloomberg Business, December 14, 2015 (Sigma X 62038 (May 5, 2010), 75 FR 26825 (May 12, 2010) 6 15 U.S.C. 78f(b). dark pool to use direct exchange feeds as the (SR–NYSE–2010–22). 7 15 U.S.C. 78f(b)(4), (5). primary source of price data).

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‘evolve through the interplay of competitive For these reasons, the Exchange Moreover, competitive markets for forces as unnecessary regulatory restrictions believes that the proposed fees are listings, order flow, executions, and are removed’ and that the SEC wield its reasonable, equitable, and not unfairly transaction reports provide pricing regulatory power ‘in those situations where discriminatory. discipline for the inputs of proprietary competition may not be sufficient,’ such as data products and therefore constrain in the creation of a ‘consolidated B. Self-Regulatory Organization’s transactional reporting system.’ markets from overpricing proprietary Statement on Burden on Competition market data. Broker-dealers send their Id. at 535 (quoting H.R. Rep. No. 94–229 The Exchange does not believe that order flow and transaction reports to at 92 (1975), as reprinted in 1975 the proposed rule change will impose multiple venues, rather than providing U.S.C.C.A.N. 323). The court agreed any burden on competition that is not them all to a single venue, which in turn with the Commission’s conclusion that necessary or appropriate in furtherance reinforces this competitive constraint. ‘‘Congress intended that ‘competitive of the purposes of the Act. An As a 2010 Commission Concept Release forces should dictate the services and exchange’s ability to price its noted, the ‘‘current market structure can practices that constitute the U.S. proprietary market data feed products is be described as dispersed and complex’’ national market system for trading constrained by actual competition for with ‘‘trading volume . . . dispersed equity securities.’ ’’ 9 the sale of proprietary market data among many highly automated trading As explained below in the Exchange’s products, the joint product nature of centers that compete for order flow in Statement on Burden on Competition, exchange platforms, and the existence of the same stocks’’ and ‘‘trading centers the Exchange believes that there is alternatives to the Exchange’s offer[ing] a wide range of services that substantial evidence of competition in proprietary data (and in this instance, are designed to attract different types of the marketplace for proprietary market the ability of any firm to switch to the market participants with varying trading data and that the Commission can rely new distribution format in a time frame needs.’’ 12 More recently, SEC Chair upon such evidence in concluding that that eliminates the need to pay these Mary Jo White has noted that the fees established in this filing are the fees entirely). competition for order flow in exchange- product of competition and therefore listed equities is ‘‘intense’’ and divided satisfy the relevant statutory standards. The Existence of Actual Competition among many trading venues, including In addition, the existence of alternatives The market for proprietary data exchanges, more than 40 alternative to the legacy format, such as converting products is currently competitive and trading systems, and more than 250 to XDP as soon as possible, further inherently contestable because there is broker-dealers.13 ensures that the Exchange cannot set fierce competition for the inputs If an exchange succeeds in competing unreasonable fees, or fees that are necessary for the creation of proprietary for quotations, order flow, and trade unreasonably discriminatory, when data and strict pricing discipline for the executions, then it earns trading vendors and subscribers can select such proprietary products themselves. revenues and increases the value of its alternatives. Numerous exchanges compete with one proprietary market data products As the NetCoalition decision noted, another for listings and order flow and because they will contain greater quote the Commission is not required to sales of market data itself, providing and trade information. Conversely, if an undertake a cost-of-service or ample opportunities for entrepreneurs exchange is less successful in attracting ratemaking approach. The Exchange who wish to compete in any or all of quotes, order flow, and trade believes that, even if it were possible as those areas, including producing and executions, then its market data a matter of economic theory, cost-based distributing their own market data. products may be less desirable to pricing for proprietary market data Proprietary data products are produced customers in light of the diminished would be so complicated that it could and distributed by each individual content and data products offered by not be done practically or offer any exchange, as well as other entities, in a competing venues may become more significant benefits.10 vigorously competitive market. Indeed, attractive. Thus, competition for the U.S. Department of Justice (‘‘DOJ’’) quotations, order flow, and trade 9 NetCoalition, 615 F.3d at 535. (the primary antitrust regulator) has 10 The Exchange believes that cost-based pricing expressly acknowledged the aggressive speeches/2011/at-speech-110516.html; see also would be impractical because it would create Complaint in U.S. v. Deutsche Borse AG and NYSE enormous administrative burdens for all parties and actual competition among exchanges, Euronext, Case No. 11–cv–2280 (D.C. Dist.) ¶ 24 the Commission to cost-regulate a large number of including for the sale of proprietary (‘‘NYSE and Direct Edge compete head-to-head . . . participants and standardize and analyze market data. In 2011, the DOJ stated that in the provision of real-time proprietary equity data extraordinary amounts of information, accounts, exchanges ‘‘compete head to head to products.’’). and reports. In addition, and as described below, it 12 Concept Release on Equity Market Structure, is impossible to regulate market data prices in offer real-time equity data products. Securities Exchange Act Release No. 61358 (Jan. 14, isolation from prices charged by markets for other These data products include the best bid 2010), 75 FR 3594 (Jan. 21, 2010) (File No. S7–02– services that are joint products. Cost-based rate and offer of every exchange and 10). This Concept Release included data from the regulation would also lead to litigation and may information on each equity trade, third quarter of 2009 showing that no market center distort incentives, including those to minimize 11 traded more than 20% of the volume of listed costs and to innovate, leading to further waste. including the last sale.’’ stocks, further evidencing the dispersal of and Under cost-based pricing, the Commission would competition for trading activity. Id. at 3598. Data be burdened with determining a fair rate of return, Regulation of Market Information Fees and available on ArcaVision show that from June 30, and the industry could experience frequent rate Revenues, which can be found on the Commission’s 2013 to June 30, 2014, no exchange traded more increases based on escalating expense levels. Even Web site at http://www.sec.gov/rules/concept/ than 12% of the volume of listed stocks by either in industries historically subject to utility s72899/buck1.htm. Finally, the prices set herein are trade or dollar volume, further evidencing the regulation, cost-based ratemaking has been prices for continuing to support distribution continued dispersal of and fierce competition for discredited. As such, the Exchange believes that formats the Exchange has elected to retire in favor trading activity. See https://www.arcavision.com/ cost-based ratemaking would be inappropriate for of new and more efficient distribution formats, Arcavision/arcalogin.jsp. proprietary market data and inconsistent with making cost-based analyses even less relevant. 13 Mary Jo White, Enhancing Our Equity Market Congress’s direction that the Commission use its 11 Press Release, U.S. Department of Justice, Structure, Sandler O’Neill & Partners, L.P. Global authority to foster the development of the national Assistant Attorney General Christine Varney Holds Exchange and Brokerage Conference (June 5, 2014) market system, and that market forces will continue Conference Call Regarding NASDAQ OMX Group (available on the Commission Web site), citing to provide appropriate pricing discipline. See Inc. and IntercontinentalExchange Inc. Abandoning Tuttle, Laura, 2014, ‘‘OTC Trading: Description of Appendix C to NYSE’s comments to the Their Bid for NYSE Euronext (May 16, 2011), Non-ATS OTC Trading in National Market System Commission’s 2000 Concept Release on the available at http://www.justice.gov/iso/opa/atr/ Stocks,’’ at 7–8.

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executions puts significant pressure on At any time within 60 days of the office of the Exchange. All comments an exchange to maintain both execution filing of such proposed rule change, the received will be posted without change; and data fees at reasonable levels. Commission summarily may the Commission does not edit personal In addition, in the case of products temporarily suspend such rule change if identifying information from that are also redistributed through it appears to the Commission that such submissions. You should submit only market data vendors, such as Bloomberg action is necessary or appropriate in the information that you wish to make and Thompson Reuters, the vendors public interest, for the protection of available publicly. All submissions themselves provide additional price investors, or otherwise in furtherance of should refer to File Number SR–NYSE– discipline for proprietary data products the purposes of the Act. If the 2016–21 and should be submitted on or because they control the primary means Commission takes such action, the before April 12, 2016. of access to certain end users. These Commission shall institute proceedings For the Commission, by the Division of 16 vendors impose price discipline based under Section 19(b)(2)(B) of the Act to Trading and Markets, pursuant to delegated upon their business models. For determine whether the proposed rule authority.17 example, vendors that assess a change should be approved or Robert W. Errett, disapproved. surcharge on data they sell are able to Deputy Secretary. refuse to offer proprietary products that IV. Solicitation of Comments [FR Doc. 2016–06408 Filed 3–21–16; 8:45 am] their end users do not or will not Interested persons are invited to BILLING CODE 8011–01–P purchase in sufficient numbers. Vendors submit written data, views, and will not elect to make available NYSE arguments concerning the foregoing, BBO or NYSE Trades in the legacy including whether the proposed rule SECURITIES AND EXCHANGE format unless their customers request it, change is consistent with the Act. COMMISSION and customers will not elect to pay the Comments may be submitted by any of proposed fees unless NYSE BBO and [Release No. 34–77386; File No. SR– the following methods: NYSE Trades can provide value in the NYSEMKT–2016–20] legacy formats by sufficiently increasing Electronic Comments revenues or reducing costs in the • Self-Regulatory Organizations; NYSE Use the Commission’s Internet MKT LLC; Notice of Filing of Proposed customer’s business in a manner that comment form (http://www.sec.gov/ will offset the fees. The Exchange has Rule Change Amending and Restating rules/sro.shtml); or the Fifth Amended and Restated provided customers with adequate • Send an email to rule-comments@ notice that it intends to discontinue Bylaws of the Exchange’s Ultimate sec.gov. Please include File Number SR– Parent Company, Intercontinental dissemination of the data feeds in the NYSE–2016–21 on the subject line. legacy format. Therefore, the proposed Exchange, Inc., To Implement Proxy Decommission Extension Fee would Paper Comments Access • only be applicable to those customers Send paper comments in triplicate March 17, 2016. who have a need or desire to continue to Brent J. Fields, Secretary, Securities Pursuant to Section 19(b)(1) 1 of the to take the data feeds in the legacy and Exchange Commission, 100 F Street Securities Exchange Act of 1934 format beyond the period provided for NE., Washington, DC 20549–1090. (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 migration to the XDP format. Customers All submissions should refer to File notice is hereby given that, on March 2, who timely migrate to the XDP format Number SR–NYSE–2016–22. This file 2016, NYSE MKT LLC (the ‘‘Exchange’’ to receive the data feeds would not need number should be included on the or ‘‘NYSE MKT’’) filed with the to receive the data feeds in the legacy subject line if email is used. To help the Securities and Exchange Commission format and therefore would not be Commission process and review your (‘‘Commission’’) the proposed rule subject to the Decommission Extension comments more efficiently, please use change as described in Items I, II, and Fee at all. All of these factors operate as only one method. The Commission will III below, which Items have been constraints on pricing proprietary data post all comments on the Commission’s prepared by the self-regulatory products. Internet Web site (http://www.sec.gov/ organization. The Commission is C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the publishing this notice to solicit Statement on Comments on the submission, all subsequent comments on the proposed rule change Proposed Rule Change Received From amendments, all written statements from interested persons. Members, Participants, or Others with respect to the proposed rule change that are filed with the I. Self-Regulatory Organization’s No written comments were solicited Commission, and all written Statement of the Terms of Substance of or received with respect to the proposed communications relating to the the Proposed Rule Change rule change. proposed rule change between the The Exchange proposes to amend and III. Date of Effectiveness of the Commission and any person, other than restate the Fifth Amended and Restated Proposed Rule Change and Timing for those that may be withheld from the Bylaws of the Exchange’s ultimate Commission Action public in accordance with the parent company, Intercontinental provisions of 5 U.S.C. 552, will be Exchange, Inc. (‘‘ICE’’), to implement The foregoing rule change is effective available for Web site viewing and proxy access. The proposed rule change upon filing pursuant to Section printing in the Commission’s Public is available on the Exchange’s Web site 19(b)(3)(A) 14 of the Act and Reference Room, 100 F Street NE., at www.nyse.com, at the principal office subparagraph (f)(2) of Rule 19b–4 15 Washington, DC 20549 on official of the Exchange, and at the thereunder, because it establishes a due, business days between the hours of Commission’s Public Reference Room. fee, or other charge imposed by the 10:00 a.m. and 3:00 p.m. Copies of the Exchange. filing also will be available for 17 17 CFR 200.30–3(a)(12). inspection and copying at the principal 1 15 U.S.C. 78s(b)(1). 14 15 U.S.C. 78s(b)(3)(A). 2 15 U.S.C. 78a. 15 17 CFR 240.19b–4(f)(2). 16 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4.

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II. Self-Regulatory Organization’s forth the proposed amendments on rounded down to the nearest whole Statement of the Purpose of, and January 22, 2016 after approval by the number, but no less than two. Statutory Basis for, the Proposed Rule ICE Board, and will file a further Form • The number of permitted Change 8–K when the amendments are adopted. stockholder nominees would be further reduced by (a) the number of any In its filing with the Commission, the Bylaw Section 2.15 self-regulatory organization included stockholder nominees who are statements concerning the purpose of, The proposed rule change would add withdrawn or who are instead and basis for, the proposed rule change new Section 2.15 to the ICE Bylaws. nominated by the ICE Board and (b) the and discussed any comments it received Section 2.15 would permit a number of directors, if any, who were on the proposed rule change. The text stockholder, or group of up to 20 stockholder nominees at the preceding of those statements may be examined at stockholders, to nominate director annual meeting and whose re-election is the places specified in Item IV below. nominees for the ICE Board, so long as recommended by the ICE Board. In the The Exchange has prepared summaries, the stockholder(s) have owned at least event that one or more vacancies for any set forth in sections A, B, and C below, three percent of ICE’s outstanding reason were to occur on the ICE Board of the most significant parts of such shares of common stock continuously after the deadline for submitting a statements. for at least three years. The director Nomination Notice, but before the date nominees would be included in ICE’s of the annual meeting, and the ICE A. Self-Regulatory Organization’s annual meeting proxy materials. The Board resolved to reduce the size of the Statement of the Purpose of, and proposed provision would limit the ICE Board, the number of permitted Statutory Basis for, the Proposed Rule number of proposed director nominees stockholder nominees would be Change to a number equal to twenty percent of calculated based on the number of 1. Purpose the number of directors then serving on directors in office as so reduced. If, after the ICE Board (rounded down to the receipt of a Nomination Notice and The Exchange proposes to amend and nearest whole number, but no less than following the deadline for receipt of restate the Fifth Amended and Restated two) provided that the stockholder(s) such notices, either the nominating Bylaws of ICE (‘‘ICE Bylaws’’). The and nominee(s) satisfy the other stockholder becomes ineligible or proposed amendments to the ICE conditions specified in the ICE Bylaws. withdraws the nomination, or the Bylaws would (1) add a new Section A candidate would be nominated by nominee becomes ineligible or 2.15 that permits a stockholder, or a nomination notice (‘‘Nomination unwilling or unable to serve, such stockholders, that meet specific Notice’’). Subject to satisfaction of the nominee will be disregarded. requirements to nominate director conditions of Section 2.15, described • Bylaw 2.15(b) would provide a nominees for the board of directors of below, as determined by the ICE Board, mechanism for pro rata reduction of the ICE (‘‘ICE Board’’), provided that the ICE would include in its proxy number of nominees nominated by nominating stockholder(s) and statement for the next annual meeting of different stockholders if the total nominee(s) satisfy the proposed stockholders the following information: number of permitted stockholder requirements, and (2) amend the • The names of any person or persons nominees exceeded the maximum advance notice provisions in Section nominated for election; permitted. Each nominating stockholder 4 2.13 to account for proxy access. • disclosure about each nominee and would select one of its nominees to be ICE owns 100% of the equity interest the nominating stockholder required included in the proxy statement, with in Intercontinental Exchange Holdings, under the rules of the Commission or the nominees to be included selected Inc. (‘‘ICE Holdings’’), which in turn other applicable law to be included in from nominating stockholders going in owns 100% of the equity interest in the proxy statement; the order of the largest stockholdings to NYSE Holdings LLC (‘‘NYSE • any statement in support of the the smallest, until the available number Holdings’’). NYSE Holdings owns 100% nominee’s (or nominees’, as applicable) of nominees has been selected, with this of the equity interest of NYSE Group, election, subject to a limit of 500 words process to be repeated if the maximum Inc., which in turn directly owns 100% and subject to compliance with Section number of nominees has not been of the equity interest of the Exchange 14 of the Exchange Act 6 and the rules selected in the first round. and its affiliates New York Stock thereunder, including Rule 14a–9; 7 and As a result of these potential Exchange LLC and NYSE Arca, Inc.5 • any other information that ICE reductions in the number of stockholder The proposed amendments to the ICE nominees, the number of stockholder Bylaws have been approved by the ICE management or the ICE Board determines, in their discretion, to nominees in any year could be fewer Board, subject to Securities and than two. Exchange Commission (‘‘Commission’’) include relating to the nomination of the nominee(s), including, without Each person or group of up to 20 approval. Under Section 11.1 of the ICE persons desiring to nominate a Bylaws, no stockholder approval is limitation, any statement in opposition to the nomination.8 candidate would be required to either required for amendment of the ICE (1) be a record holder of shares of ICE Bylaws. ICE filed a Form 8–K setting ICE Bylaw 2.15 would permit stockholder nominees to constitute up common stock used to satisfy the eligibility requirements for a 4 In November 2015, the Comptroller of the City to twenty percent of the number of of New York, on behalf of certain city retirement directors then serving on the ICE Board, stockholder nominee continuously for systems that are stockholders of ICE, requested that subject to the following: the three-year period, or (2) provide to ICE include a proxy access proposal in its 2016 • If twenty percent of the current the secretary of ICE evidence of proxy statement. After discussions with the continuous ownership of the minimum Comptroller’s office, ICE management determined number of directors is not a whole to recommend the amendment reflected in the number, the number of permitted number of shares for such three-year proposed rule change to the ICE Board and, on that stockholder nominees would be period from one or more securities basis, the Comptroller’s request was withdrawn. intermediaries in a form that the ICE 5 The Exchange’s affiliates have each submitted Board determines would be acceptable proposed rule changes to propose the changes 6 15 U.S.C. 78n. described in this filing. See SR–NYSE–2016–14 and 7 17 CFR 240.14a–9. for purposes of a shareholder proposal SR–NYSEArca–2016–25. 8 Proposed ICE Bylaw 2.15(a). under Rule 14a–8(b)(2) under the

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Exchange Act 9 (or any successor rule). close of business on the date that is 120 securities exchange on which ICE’s The minimum number of shares would days prior to the date of such annual securities are traded; be determined as three percent of the meeting or the tenth day following the Æ a representation and warranty that outstanding shares as of the most recent date on which such annual meeting date the nominee: date for which the total number of is first publicly announced or D Does not have any direct or indirect outstanding shares of common stock disclosed.14 relationship with ICE that will cause the was included by ICE in a filing with the ICE Bylaw 2.15 would provide that nominee to be deemed not independent Commission prior to the submission of any determination to be made by the pursuant to the ICE Board’s the Nomination Notice. Such shares ICE Board may be made by the ICE Independence Policy 17 as most recently would be required to be held Board, a committee of the ICE Board or published on its Web site and otherwise continuously throughout the three-year any officer of ICE designated by the ICE qualifies as independent under the rules period preceding and including the date Board or a committee of the ICE Board of the principal national securities of submission of the Nomination Notice, and that any such determination shall exchange on which ICE’s common stock and through the date of the annual be final and binding on ICE, any Eligible is traded; 18 meeting. The proposed rule change Holder (as defined in ICE Bylaw 2.15), D meets the audit committee includes provisions relating to how the any nominating stockholder, any independence requirements under the members of a group would be counted nominee and any other person so long rules of the principal national securities and the consequences of withdrawal of as made in good faith. The chairman of exchange on which ICE’s common stock a member from a group.10 any annual meeting of stockholders is traded; 19 A person (or member of a group of shall have the power and duty to D is a ‘‘non-employee director’’ for the persons) whose nominee has been determine whether a Nominee has been purposes of Rule 16b–3 under the elected as a director at an annual nominated in accordance with the Exchange Act 20 (or any successor rule); meeting would not be eligible to requirements of proposed Section 2.15 D is an ‘‘outside director’’ for the nominate or participate in the and, if not so nominated, shall direct purposes of Section 162(m) of the nomination of a nominee for the and declare at the annual meeting that Internal Revenue Code 21 (or any following two annual meetings other such Nominee shall not be successor provision); and than the nomination of such previously considered.15 D is not and has not been subject to elected nominee.11 The proposed rule change specifies any event specified in Rule 506(d)(1) of The proposed rule change would also information that would be required in a Regulation D 22 (or any successor rule) specify that shares may be counted as Nomination Notice, including: under the Securities Act of 1933 or Item ‘‘owned’’ only if the person making the • A Schedule 14N 16 (or any 401(f) of Regulation S–K 23 (or any nomination possess both the full voting successor form) relating to the successor rule) under the Exchange Act, and investment rights pertaining to the nomination, completed and filed with without reference to whether the event shares and the full economic interest in the Commission; is material to an evaluation of the ability • (including the opportunity for profit and a written notice, in a form deemed or integrity of the nominee; risk of loss on) such shares. Shares that satisfactory by the ICE Board, of the Æ a representation and warranty that have been sold, borrowed or hedged are nomination of such nominee that the nominating stockholder satisfies the excluded. Loaned shares are included, includes additional information, eligibility requirements set forth in provided they are recallable within five agreements, representations and Bylaw 2.15 and has provided evidence business days, and are recalled by the warranties by the nominating of ownership to the extent required by record date.12 stockholder (including, in the case of a Bylaw 2.15(c)(i); No person would be permitted to be group, each group member), Æ a representation and warranty that Æ in more than one group nominating a the information otherwise required the nominating stockholder intends to nominee. A person who appears as a with respect to the nomination of continue to satisfy the eligibility member of more than one group would directors by the ICE Bylaws; requirements described in Bylaw 2.15(c) Æ be deemed to be a member of the group the details of any relationship that through the date of the annual meeting; that has the largest ownership position existed within the past three years and Æ a representation and warranty that as reflected in the Nomination Notice.13 that would have been described the nominating stockholder will not A Nomination Notice would be pursuant to Item 6(e) of Schedule 14N engage in a ‘‘solicitation’’ within the required to be submitted to the secretary (or any successor item) if it existed on meaning of Rule 14a–1(l) 24 (without of ICE at ICE’s principal executive the date of submission of the Schedule office, no earlier than the close of 14N; 17 The Commission notes that the Independence Æ business 150 calendar days, and no later a representation and warranty that Policy can be found at the following Web site: the nominating stockholder did not http://ir.theice.com/∼/media/Files/I/Ice-IR/ than the close of business 120 calendar documents/corporate-governance-documents/ days, before the anniversary of the date acquire, and is not holding, securities of board-independence-policy.pdf. that ICE mailed its proxy statement for ICE for the purpose or with the effect of 18 The Commission notes the independent influencing or changing control of ICE; director standards of New York Stock Exchange the prior year’s annual meeting of Æ stockholders. If an annual meeting were a representation and warranty that LLC (‘‘NYSE’’), which is the principal market for the nominee’s candidacy or, if elected, ICE’s common stock, are set forth in NYSE’s Listed not scheduled to be held within a Company Manual in Sections 303A.00, 303A.01 period that commences 30 days before membership on the ICE Board would and 303A.02. and ends 30 days after such anniversary not violate applicable state or federal 19 The Commission notes that the audit date, a Nomination Notice would be law or the rules of the principal national committee independence requirements of NYSE, the principle market for ICE’s common stock, are set required to be given by the later of the 14 Proposed ICE Bylaw 2.15(d). forth in NYSE’s Listed Company Manual under Sections 303A.06 and 303A.07. 15 The Exchange notes that having the chairman 9 20 17 CFR 240.14a–8(b)(2). of the annual meeting make such determination is 17 CFR 240.16b–3. 10 Proposed ICE Bylaw 2.15(c). consistent with the procedure in Section 2.13(f) of 21 26 U.S.C. 162(m). 11 Proposed ICE Bylaw 2.15(c)(i). the ICE Bylaws with respect to non-proxy access 22 17 CFR 230.506(d). 12 Proposed ICE Bylaw 2.15(c)(iv). nominations. 23 17 CFR 229.401(f). 13 Proposed ICE Bylaw 2.15(c)(v). 16 17 CFR 240.14n–101. 24 17 CFR 240.14a–1(l).

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reference to the exception in Rule 14a– nominees to comply with, or any breach applicable to group members; and (ii) (l)(l)(2)(iv) 25) (or any successor rules) or alleged breach of, its respective provided with respect to the persons under the Exchange Act in support of obligations, agreements or specified in Instruction 1 to Items 6(c) the election of any individual as a representations under Bylaw 2.15; and and (d) of Schedule 14N (or any director at the applicable annual Æ in the event that (1) any successor item) in the case of a meeting, other than its nominee(s) or information included in the Nomination nominating stockholder or group any nominee of the ICE Board; Notice or any other communication by member that is an entity. A Nomination Æ a representation and warranty that the nominating stockholder (including Notice would be deemed submitted on the nominating stockholder will not use with respect to any group member) with the date on which all of the information any proxy card other than ICE’s proxy ICE, its stockholders or any other person and documents required by ICE Bylaw card in soliciting stockholders in in connection with the nomination or 2.15 (other than such information and connection with the election of a election of a nominee ceases to be true documents contemplated to be provided nominee at the annual meeting; and accurate in all material respects (or after the date the Nomination Notice is Æ if desired, a statement in support of omits a material fact necessary to make provided) have been delivered to or, if the nominee meeting the standards the statements made not misleading) or sent by mail, received by the Secretary identified above; and (2) the nominating stockholder Æ of ICE. in the case of a nomination by a (including any group member) has Access to ICE’s proxy statement for group, the designation by all group failed to continue to satisfy the stockholder nominations under ICE members of one group member that is eligibility requirements described in Bylaw 2.15(e)(i) would not be available authorized to act on behalf of all group Bylaw 2.15(c), to promptly (and in any in any year in which ICE has received members with respect to matters event within 48 hours of discovering advance notice under ICE Bylaw Section relating to the nomination, including such misstatement, omission or failure) 2.13 that a stockholder intends to withdrawal of the nomination; notify ICE and any other recipient of • nominate a director. In addition, an executed agreement, in a form such communication of (1) the nominations would be disregarded deemed satisfactory by the ICE Board, misstatement or omission in such under ICE Bylaw 2.15(e)(i) if pursuant to which the nominating previously provided information and of • the nominating stockholder or its stockholder (including each group the information that is required to representative fails to appear at the member) agrees: correct the misstatement or omission or Æ to comply with all applicable laws, annual meeting to present the (2) of such failure; and nomination or withdraws its rules and regulations in connection with • an executed agreement, in a form nomination; the nomination, solicitation and deemed satisfactory by the ICE Board, • the nomination or election of the election of a nominee; by the nominee: Æ to file any written solicitation or Æ to provide to ICE such other nominee would be in violation of ICE’s other communication with ICE’s information and certifications, certificate of incorporation or bylaws, or stockholders relating to one or more of including completion of ICE’s director applicable law, rule or regulation, ICE’s directors or director nominees or including those of stock exchanges; questionnaire, as it may reasonably • any stockholder nominee with the request; the nominee was nominated Commission, regardless of whether any Æ that the nominee has read and pursuant to ICE Bylaw 2.15 at one of the such filing is required under any rule or agrees, if elected, to serve as a member past two annual meetings and either regulation or whether any exemption of the ICE Board, to adhere to ICE’s withdrew or became ineligible, or failed from filing is available for such Corporate Governance Guidelines and to receive 20% of the vote; • materials under any rule or regulation; Global Code of Business Conduct and the nominee is, or has within the Æ to assume all liability stemming any other policies and guidelines last three years been, an officer or from an action, suit or proceeding applicable to directors; and director of a competitor of ICE or is a concerning any actual or alleged legal or Æ that the nominee is not and will not U.S. Disqualified Person as defined in regulatory violation arising out of any become a party to (i) any compensatory, ICE’s certificate of incorporation; or communication by the nominating payment or other financial agreement, • ICE is notified, or the ICE Board stockholder or any of its nominees with arrangement or understanding with any determines, that a nominating ICE, its stockholders or any other person person or entity other than ICE in stockholder has failed to continue to in connection with the nomination or connection with service or action as a satisfy the eligibility requirements, any election of directors, including, without director of ICE that has not been of the representations and warranties limitation, the Nomination Notice; disclosed to ICE, (ii) any agreement, made in the Nomination Notice ceases Æ to indemnify and hold harmless arrangement or understanding with any to be true and accurate in all material (jointly with all other group members, person or entity as to how the nominee respects (or omits a material fact in the case of a group member) ICE and would vote or act on any issue or necessary to make the statements made each of its directors, officers and question as a director (a ‘‘Voting not misleading), the nominee becomes employees individually against any Commitment’’) that has not been unwilling or unable to serve on the ICE liability, loss, damages, expenses or disclosed to ICE or (iii) any Voting Board or any material violation or other costs (including attorneys’ fees) Commitment that could reasonably be breach occurs of the obligations, incurred in connection with any expected to limit or interfere with the agreements, representations or threatened or pending action, suit or nominee’s ability to comply, if elected warranties of the nominating proceeding, whether legal, as a director of ICE, with its fiduciary stockholder or the nominee under ICE administrative or investigative, against duties under applicable law. Bylaw Section 2.15. ICE or any of its directors, officers or ICE Bylaw 2.15 would specify that the In addition, Bylaw 2.15(e)(ii) would employees arising out of or relating to information and documents required to permit ICE to omit from its proxy a failure or alleged failure of the be provided by the nominating statement, or supplement or correct, any nominating stockholder or any of its stockholder must be: (i) Provided with information, including all or any respect to and executed by each group portion of the statement in support of 25 17 CFR 240.14a–1(l)(2)(iv). member, in the case of information the Nominee included in the

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Nomination Notice, if the ICE Board materials director nominees, the up to 90 days (i) as the Commission may determines that: proposed rule change strengthens the designate if it finds such longer period • Such information is not true in all corporate governance of the Exchange’s to be appropriate and publishes its material respects or omits a material ultimate parent company and is thus reasons for so finding or (ii) as to which statement necessary to make the consistent with Section 6(b)(1). the self-regulatory organization statements made not misleading; For similar reasons, the Exchange also consents, the Commission will: • Such information directly or believes that this filing furthers the (A) By order approve or disapprove indirectly impugns the character, objectives of Section 6(b)(5) of the the proposed rule change, or integrity or personal reputation of, or Exchange Act,28 because the proposed (B) institute proceedings to determine directly or indirectly makes charges rule change would be consistent with whether the proposed rule change concerning improper, illegal or immoral and facilitate a governance and should be disapproved. conduct or associations, without factual regulatory structure that is designed to IV. Solicitation of Comments foundation, with respect to, any person; prevent fraudulent and manipulative or acts and practices, to promote just and Interested persons are invited to • The inclusion of such information equitable principles of trade, to foster submit written data, views and in the proxy statement would otherwise cooperation and coordination with arguments concerning the foregoing, violate the federal proxy rules or any persons engaged in regulating, clearing, including whether the proposed rule other applicable law, rule or regulation. settling, processing information with change is consistent with the Act. respect to, and facilitating transactions Comments may be submitted by any of Bylaw Section 2.13 in securities, to remove impediments to, the following methods: The proposed rule change also would and perfect the mechanism of a free and Electronic Comments amend the existing advance notice open market and a national market • Use the Commission’s Internet provisions in Bylaw 2.13 to extend their system and, in general, to protect comment form (http://www.sec.gov/ application to stockholder nominations investors and the public interest. As under the proxy access provision in rules/sro.shtml); or discussed above, the Exchange believes • Send an email to rule-comments@ Bylaw 2.15. that by expanding the ability of • Bylaw 2.13(b) would be amended to sec.gov. Please include File Number SR– stockholders to nominate directors that NYSEMKT–2016–20 on the subject line. provide that stockholder nominations could constitute a significant percent would be subject to inclusion in the ICE (20%) of the number of directors Paper Comments Board’s notice of annual meeting, and currently serving on the ICE Board, the • Send paper comments in triplicate that the timing and notice requirements proposed rule change would ensure to Secretary, Securities and Exchange of the existing advance notice bylaw better corporate governance and Commission, 100 F Street NE., would not apply to stockholder accountability to stockholders, thereby Washington, DC 20549–1090. nominations, which have different protecting investors and the public All submissions should refer to File timing and notice requirements as interest. Number SR–NYSEMKT–2016–20. This described above. • Bylaw 2.13(d) would be amended to B. Self-Regulatory Organization’s file number should be included on the specify that the definition therein of Statement on Burden on Competition subject line if email is used. To help the Commission process and review your ‘‘publicly announced or disclosed’’ The Exchange does not believe that comments more efficiently, please use would also apply in Bylaw 2.15. the proposed rule change will impose only one method. The Commission will any burden on competition that is not Conforming Changes post all comments on the Commission’s necessary or appropriate in furtherance Internet Web site (http://www.sec.gov/ Finally, the Exchange proposes to of the purposes of the Exchange Act. rules/sro.shtml). Copies of the make conforming changes to the title of The proposed rule change is not submission, all subsequent the Bylaws. designed to address any competitive amendments, all written statements issue in the U.S. or European securities 2. Statutory Basis with respect to the proposed rule markets or have any impact on change that are filed with the The Exchange believes that this filing competition in those markets; rather, Commission, and all written is consistent with Section 6(b) of the adoption of a proxy access bylaw by ICE 26 communications relating to the Exchange Act, in general, and Section is intended to enhance corporate 27 proposed rule change between the 6(b)(1) of the Exchange Act, in governance and accountability to Commission and any person, other than particular, in that it enables the stockholders. Exchange to be so organized as to have those that may be withheld from the the capacity to be able to carry out the C. Self-Regulatory Organization’s public in accordance with the purposes of the Exchange Act and to Statement on Comments on the provisions of 5 U.S.C. 552, will be comply, and to enforce compliance by Proposed Rule Change Received From available for Web site viewing and its exchange members and persons Members, Participants, or Others printing in the Commission’s Public associated with its exchange members, No written comments were solicited Reference Room, 100 F Street NE., with the provisions of the Exchange Act, or received with respect to the proposed Washington, DC 20549, on official the rules and regulations thereunder, rule change. business days between the hours of and the rules of the Exchange. The 10:00 a.m. and 3:00 p.m. Copies of the Exchange believes that, by permitting a III. Date of Effectiveness of the filing also will be available for stockholder, or a group of up to twenty Proposed Rule Change and Timing for inspection and copying at the principal stockholders, of ICE that meet the stated Commission Action office of the Exchange. All comments requirements to nominate and have Within 45 days of the date of received will be posted without change; included in ICE’s annual meeting proxy publication of this notice in the Federal the Commission does not edit personal Register or within such longer period identifying information from 26 15 U.S.C. 78f(b). submissions. You should submit only 27 15 U.S.C. 78f(b)(1). 28 15 U.S.C. 78f(b)(5). information that you wish to make

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available publicly. All submissions statements concerning the purpose of, Bylaw Section 2.15 should refer to File Number SR– and basis for, the proposed rule change The proposed rule change would add NYSEMKT–2016–20 and should be and discussed any comments it received new Section 2.15 to the ICE Bylaws. submitted on or before April 12,2016. on the proposed rule change. The text Section 2.15 would permit a For the Commission, by the Division of of those statements may be examined at stockholder, or group of up to 20 Trading and Markets, pursuant to delegated the places specified in Item IV below. stockholders, to nominate director authority.29 The Exchange has prepared summaries, nominees for the ICE Board, so long as Robert W. Errett, set forth in sections A, B, and C below, the stockholder(s) have owned at least Deputy Secretary. of the most significant parts of such three percent of ICE’s outstanding [FR Doc. 2016–06364 Filed 3–21–16; 8:45 am] statements. shares of common stock continuously for at least three years. The director BILLING CODE 8011–01–P A. Self-Regulatory Organization’s nominees would be included in ICE’s Statement of the Purpose of, and annual meeting proxy materials. The SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule proposed provision would limit the COMMISSION Change number of proposed director nominees to a number equal to twenty percent of [Release No. 34–77384; File No. SR–NYSE– 1. Purpose 2016–14] the number of directors then serving on The Exchange proposes to amend and the ICE Board (rounded down to the Self-Regulatory Organizations; New restate the Fifth Amended and Restated nearest whole number, but no less than York Stock Exchange LLC; Notice of Bylaws of ICE (‘‘ICE Bylaws’’). The two) provided that the stockholder(s) Filing of Proposed Rule Change proposed amendments to the ICE and nominee(s) satisfy the other Amending and Restating the Fifth Bylaws would (1) add a new Section conditions specified in the ICE Bylaws. Amended and Restated Bylaws of the 2.15 that permits a stockholder, or A candidate would be nominated by Exchange’s Ultimate Parent Company, stockholders, that meet specific a nomination notice (‘‘Nomination Intercontinental Exchange, Inc., To requirements to nominate director Notice’’). Subject to satisfaction of the Implement Proxy Access nominees for the board of directors of conditions of Section 2.15, described ICE (‘‘ICE Board’’), provided that the below, as determined by the ICE Board, March 17, 2016. nominating stockholder(s) and ICE would include in its proxy 1 Pursuant to Section 19(b)(1) of the nominee(s) satisfy the proposed statement for the next annual meeting of Securities Exchange Act of 1934 requirements, and (2) amend the stockholders the following information: 2 3 • (‘‘Act’’) and Rule 19b–4 thereunder, advance notice provisions in Section The names of any person or persons notice is hereby given that, on March 2, nominated for election; 2.13 to account for proxy access.4 2016, New York Stock Exchange LLC • disclosure about each nominee and (‘‘NYSE’’ or the ‘‘Exchange’’) filed with ICE owns 100% of the equity interest the nominating stockholder required the Securities and Exchange in Intercontinental Exchange Holdings, under the rules of the Commission or Commission (‘‘Commission’’) the Inc. (‘‘ICE Holdings’’), which in turn other applicable law to be included in proposed rule change as described in owns 100% of the equity interest in the proxy statement; Items I, II, and III below, which Items NYSE Holdings LLC (‘‘NYSE • any statement in support of the have been prepared by the self- Holdings’’). NYSE Holdings owns 100% nominee’s (or nominees’, as applicable) regulatory organization. The of the equity interest of NYSE Group, election, subject to a limit of 500 words Commission is publishing this notice to Inc., which in turn directly owns 100% and subject to compliance with Section solicit comments on the proposed rule of the equity interest of the Exchange 14 of the Exchange Act 6 and the rules change from interested persons. and its affiliates NYSE Arca, Inc. and thereunder, including Rule 14a–9; 7 and • NYSE MKT LLC.5 any other information that ICE I. Self-Regulatory Organization’s management or the ICE Board Statement of the Terms of Substance of The proposed amendments to the ICE determines, in their discretion, to the Proposed Rule Change Bylaws have been approved by the ICE include relating to the nomination of the Board, subject to Securities and The Exchange proposes to amend and nominee(s), including, without restate the Fifth Amended and Restated Exchange Commission (‘‘Commission’’) limitation, any statement in opposition Bylaws of the Exchange’s ultimate approval. Under Section 11.1 of the ICE to the nomination.8 parent company, Intercontinental Bylaws, no stockholder approval is ICE Bylaw 2.15 would permit Exchange, Inc. (‘‘ICE’’), to implement required for amendment of the ICE stockholder nominees to constitute up proxy access. The proposed rule change Bylaws. ICE filed a Form 8–K setting to twenty percent of the number of is available on the Exchange’s Web site forth the proposed amendments on directors then serving on the ICE Board, at www.nyse.com, at the principal office January 22, 2016 after approval by the subject to the following: of the Exchange, and at the ICE Board, and will file a further Form • If twenty percent of the current Commission’s Public Reference Room. 8–K when the amendments are adopted. number of directors is not a whole number, the number of permitted II. Self-Regulatory Organization’s 4 In November 2015, the Comptroller of the City stockholder nominees would be Statement of the Purpose of, and of New York, on behalf of certain city retirement rounded down to the nearest whole Statutory Basis for, the Proposed Rule systems that are stockholders of ICE, requested that number, but no less than two. Change ICE include a proxy access proposal in its 2016 • proxy statement. After discussions with the The number of permitted In its filing with the Commission, the Comptroller’s office, ICE management determined stockholder nominees would be further self-regulatory organization included to recommend the amendment reflected in the reduced by (a) the number of any proposed rule change to the ICE Board and, on that stockholder nominees who are basis, the Comptroller’s request was withdrawn. 29 17 CFR 200.30–3(a)(12). 5 The Exchange’s affiliates have each submitted 1 15 U.S.C. 78s(b)(1). proposed rule changes to propose the changes 6 15 U.S.C. 78n. 2 15 U.S.C. 78a. described in this filing. See SR–NYSEMKT–2016– 7 17 CFR 240.14a–9. 3 17 CFR 240.19b–4. 20 and SR–NYSEArca–2016–25. 8 Proposed ICE Bylaw 2.15(a).

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withdrawn or who are instead outstanding shares of common stock is first publicly announced or nominated by the ICE Board and (b) the was included by ICE in a filing with the disclosed.14 number of directors, if any, who were Commission prior to the submission of ICE Bylaw 2.15 would provide that stockholder nominees at the preceding the Nomination Notice. Such shares any determination to be made by the annual meeting and whose re-election is would be required to be held ICE Board may be made by the ICE recommended by the ICE Board. In the continuously throughout the three-year Board, a committee of the ICE Board or event that one or more vacancies for any period preceding and including the date any officer of ICE designated by the ICE reason were to occur on the ICE Board of submission of the Nomination Notice, Board or a committee of the ICE Board after the deadline for submitting a and through the date of the annual and that any such determination shall Nomination Notice, but before the date meeting. The proposed rule change be final and binding on ICE, any Eligible of the annual meeting, and the ICE includes provisions relating to how the Holder (as defined in ICE Bylaw 2.15), Board resolved to reduce the size of the members of a group would be counted any nominating stockholder, any ICE Board, the number of permitted and the consequences of withdrawal of nominee and any other person so long stockholder nominees would be a member from a group.10 as made in good faith. The chairman of calculated based on the number of any annual meeting of stockholders directors in office as so reduced. If, after A person (or member of a group of shall have the power and duty to receipt of a Nomination Notice and persons) whose nominee has been determine whether a Nominee has been following the deadline for receipt of elected as a director at an annual nominated in accordance with the such notices, either the nominating meeting would not be eligible to requirements of proposed Section 2.15 stockholder becomes ineligible or nominate or participate in the and, if not so nominated, shall direct withdraws the nomination, or the nomination of a nominee for the and declare at the annual meeting that nominee becomes ineligible or following two annual meetings other such Nominee shall not be unwilling or unable to serve, such than the nomination of such previously 15 11 considered. nominee will be disregarded. elected nominee. The proposed rule change specifies • Bylaw 2.15(b) would provide a The proposed rule change would also information that would be required in a mechanism for pro rata reduction of the specify that shares may be counted as Nomination Notice, including: number of nominees nominated by ‘‘owned’’ only if the person making the • A Schedule 14N 16 (or any different stockholders if the total nomination possess both the full voting successor form) relating to the number of permitted stockholder and investment rights pertaining to the nomination, completed and filed with nominees exceeded the maximum shares and the full economic interest in the Commission; permitted. Each nominating stockholder (including the opportunity for profit and • a written notice, in a form deemed would select one of its nominees to be risk of loss on) such shares. Shares that satisfactory by the ICE Board, of the included in the proxy statement, with have been sold, borrowed or hedged are nomination of such nominee that the nominees to be included selected excluded. Loaned shares are included, includes additional information, from nominating stockholders going in provided they are recallable within five agreements, representations and the order of the largest stockholdings to business days, and are recalled by the warranties by the nominating the smallest, until the available number record date.12 stockholder (including, in the case of a of nominees has been selected, with this No person would be permitted to be group, each group member), process to be repeated if the maximum Æ the information otherwise required in more than one group nominating a number of nominees has not been with respect to the nomination of nominee. A person who appears as a selected in the first round. directors by the ICE Bylaws; As a result of these potential member of more than one group would Æ the details of any relationship that reductions in the number of stockholder be deemed to be a member of the group existed within the past three years and nominees, the number of stockholder that has the largest ownership position 13 that would have been described nominees in any year could be fewer as reflected in the Nomination Notice. pursuant to Item 6(e) of Schedule 14N than two. A Nomination Notice would be (or any successor item) if it existed on Each person or group of up to 20 required to be submitted to the secretary the date of submission of the Schedule persons desiring to nominate a of ICE at ICE’s principal executive 14N; candidate would be required to either office, no earlier than the close of Æ a representation and warranty that (1) be a record holder of shares of ICE business 150 calendar days, and no later the nominating stockholder did not common stock used to satisfy the than the close of business 120 calendar acquire, and is not holding, securities of eligibility requirements for a days, before the anniversary of the date ICE for the purpose or with the effect of stockholder nominee continuously for that ICE mailed its proxy statement for influencing or changing control of ICE; the three-year period, or (2) provide to the prior year’s annual meeting of Æ a representation and warranty that the secretary of ICE evidence of stockholders. If an annual meeting were the nominee’s candidacy or, if elected, continuous ownership of the minimum not scheduled to be held within a membership on the ICE Board would number of shares for such three-year period that commences 30 days before not violate applicable state or federal period from one or more securities and ends 30 days after such anniversary law or the rules of the principal national intermediaries in a form that the ICE date, a Nomination Notice would be securities exchange on which ICE’s Board determines would be acceptable required to be given by the later of the securities are traded; for purposes of a shareholder proposal close of business on the date that is 120 Æ a representation and warranty that under Rule 14a–8(b)(2) under the days prior to the date of such annual the nominee: Exchange Act 9 (or any successor rule). meeting or the tenth day following the The minimum number of shares would date on which such annual meeting date 14 Proposed ICE Bylaw 2.15(d). be determined as three percent of the 15 The Exchange notes that having the chairman of the annual meeting make such determination is outstanding shares as of the most recent 10 Proposed ICE Bylaw 2.15(c). consistent with the procedure in Section 2.13(f) of date for which the total number of 11 Proposed ICE Bylaw 2.15(c)(i). the ICE Bylaws with respect to non-proxy access 12 Proposed ICE Bylaw 2.15(c)(iv). nominations. 9 17 CFR 240.14a–8(b)(2). 13 Proposed ICE Bylaw 2.15(c)(v). 16 17 CFR 240.14n–101.

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D Does not have any direct or indirect director at the applicable annual Notice or any other communication by relationship with ICE that will cause the meeting, other than its nominee(s) or the nominating stockholder (including nominee to be deemed not independent any nominee of the ICE Board; with respect to any group member) with pursuant to the ICE Board’s Æ a representation and warranty that ICE, its stockholders or any other person Independence Policy 17 as most recently the nominating stockholder will not use in connection with the nomination or published on its Web site and otherwise any proxy card other than ICE’s proxy election of a nominee ceases to be true qualifies as independent under the rules card in soliciting stockholders in and accurate in all material respects (or of the principal national securities connection with the election of a omits a material fact necessary to make exchange on which ICE’s common stock nominee at the annual meeting; the statements made not misleading) or Æ is traded; 18 if desired, a statement in support of (2) the nominating stockholder D meets the audit committee the nominee meeting the standards (including any group member) has independence requirements under the identified above; and failed to continue to satisfy the Æ rules of the principal national securities in the case of a nomination by a eligibility requirements described in exchange on which ICE’s common stock group, the designation by all group Bylaw 2.15(c), to promptly (and in any is traded; 19 members of one group member that is event within 48 hours of discovering D is a ‘‘non-employee director’’ for the authorized to act on behalf of all group such misstatement, omission or failure) purposes of Rule 16b–3 under the members with respect to matters notify ICE and any other recipient of Exchange Act 20 (or any successor rule); relating to the nomination, including such communication of (1) the D is an ‘‘outside director’’ for the withdrawal of the nomination; misstatement or omission in such purposes of Section 162(m) of the • an executed agreement, in a form previously provided information and of Internal Revenue Code 21 (or any deemed satisfactory by the ICE Board, the information that is required to successor provision); and pursuant to which the nominating correct the misstatement or omission or D is not and has not been subject to stockholder (including each group (2) of such failure; and any event specified in Rule 506(d)(1) of member) agrees: • an executed agreement, in a form Regulation D 22 (or any successor rule) Æ To comply with all applicable laws, deemed satisfactory by the ICE Board, under the Securities Act of 1933 or Item rules and regulations in connection with by the nominee: 401(f) of Regulation S–K 23 (or any the nomination, solicitation and Æ to provide to ICE such other successor rule) under the Exchange Act, election of a nominee; information and certifications, Æ without reference to whether the event to file any written solicitation or including completion of ICE’s director is material to an evaluation of the ability other communication with ICE’s questionnaire, as it may reasonably or integrity of the nominee; stockholders relating to one or more of request; Æ a representation and warranty that ICE’s directors or director nominees or Æ that the nominee has read and the nominating stockholder satisfies the any stockholder nominee with the agrees, if elected, to serve as a member eligibility requirements set forth in Commission, regardless of whether any of the ICE Board, to adhere to ICE’s Bylaw 2.15 and has provided evidence such filing is required under any rule or Corporate Governance Guidelines and of ownership to the extent required by regulation or whether any exemption Global Code of Business Conduct and Bylaw 2.15(c)(i); from filing is available for such any other policies and guidelines Æ a representation and warranty that materials under any rule or regulation; applicable to directors; and the nominating stockholder intends to Æ to assume all liability stemming Æ that the nominee is not and will not continue to satisfy the eligibility from an action, suit or proceeding become a party to (i) any compensatory, requirements described in Bylaw 2.15(c) concerning any actual or alleged legal or payment or other financial agreement, through the date of the annual meeting; regulatory violation arising out of any arrangement or understanding with any Æ a representation and warranty that communication by the nominating person or entity other than ICE in the nominating stockholder will not stockholder or any of its nominees with connection with service or action as a engage in a ‘‘solicitation’’ within the ICE, its stockholders or any other person director of ICE that has not been meaning of Rule 14a–1(l) 24 (without in connection with the nomination or disclosed to ICE, (ii) any agreement, reference to the exception in Rule 14a– election of directors, including, without arrangement or understanding with any (l)(l)(2)(iv) 25) (or any successor rules) limitation, the Nomination Notice; person or entity as to how the nominee under the Exchange Act in support of Æ to indemnify and hold harmless would vote or act on any issue or the election of any individual as a (jointly with all other group members, question as a director (a ‘‘Voting in the case of a group member) ICE and Commitment’’) that has not been 17 The Commission notes that the Independence each of its directors, officers and disclosed to ICE or (iii) any Voting Policy can be found at the following Web site: employees individually against any Commitment that could reasonably be http://ir.theice.com/∼/media/Files/I/Ice-IR/ liability, loss, damages, expenses or expected to limit or interfere with the documents/corporate-governance-documents/ board-independence-policy.pdf. other costs (including attorneys’ fees) nominee’s ability to comply, if elected 18 The Commission notes the independent incurred in connection with any as a director of ICE, with its fiduciary director standards of NYSE, which is the principal threatened or pending action, suit or duties under applicable law. market for ICE’s common stock, are set forth in proceeding, whether legal, ICE Bylaw 2.15 would specify that the NYSE’s Listed Company Manual in Sections administrative or investigative, against information and documents required to 303A.00, 303A.01 and 303A.02. be provided by the nominating 19 The Commission notes that the audit ICE or any of its directors, officers or committee independence requirements of NYSE, employees arising out of or relating to stockholder must be: (i) Provided with the principle market for ICE’s common stock, are set a failure or alleged failure of the respect to and executed by each group forth in NYSE’s Listed Company Manual under nominating stockholder or any of its member, in the case of information Sections 303A.06 and 303A.07. nominees to comply with, or any breach applicable to group members; and (ii) 20 17 CFR 240.16b–3. provided with respect to the persons 21 26 U.S.C. 162(m). or alleged breach of, its respective 22 17 CFR 230.506(d). obligations, agreements or specified in Instruction 1 to Items 6(c) 23 17 CFR 229.401(f). representations under Bylaw 2.15; and and (d) of Schedule 14N (or any 24 17 CFR 240.14a–1(l). Æ in the event that (1) any successor item) in the case of a 25 17 CFR 240.14a–1(l)(2)(iv). information included in the Nomination nominating stockholder or group

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member that is an entity. A Nomination • Such information directly or For similar reasons, the Exchange also Notice would be deemed submitted on indirectly impugns the character, believes that this filing furthers the the date on which all of the information integrity or personal reputation of, or objectives of Section 6(b)(5) of the and documents required by ICE Bylaw directly or indirectly makes charges Exchange Act,28 because the proposed 2.15 (other than such information and concerning improper, illegal or immoral rule change would be consistent with documents contemplated to be provided conduct or associations, without factual and facilitate a governance and after the date the Nomination Notice is foundation, with respect to, any person; regulatory structure that is designed to provided) have been delivered to or, if or prevent fraudulent and manipulative sent by mail, received by the Secretary • The inclusion of such information acts and practices, to promote just and of ICE. in the proxy statement would otherwise equitable principles of trade, to foster Access to ICE’s proxy statement for violate the federal proxy rules or any cooperation and coordination with stockholder nominations under ICE other applicable law, rule or regulation. persons engaged in regulating, clearing, Bylaw 2.15(e)(i) would not be available settling, processing information with in any year in which ICE has received Bylaw Section 2.13 respect to, and facilitating transactions advance notice under ICE Bylaw Section The proposed rule change also would in securities, to remove impediments to, 2.13 that a stockholder intends to amend the existing advance notice and perfect the mechanism of a free and nominate a director. In addition, provisions in Bylaw 2.13 to extend their open market and a national market nominations would be disregarded application to stockholder nominations system and, in general, to protect under ICE Bylaw 2.15(e)(i) if under the proxy access provision in investors and the public interest. As • the nominating stockholder or its Bylaw 2.15. discussed above, the Exchange believes representative fails to appear at the • Bylaw 2.13(b) would be amended to that by expanding the ability of annual meeting to present the provide that stockholder nominations stockholders to nominate directors that nomination or withdraws its would be subject to inclusion in the ICE could constitute a significant percent nomination; Board’s notice of annual meeting, and (20%) of the number of directors • the nomination or election of the that the timing and notice requirements currently serving on the ICE Board, the nominee would be in violation of ICE’s of the existing advance notice bylaw proposed rule change would ensure certificate of incorporation or bylaws, or would not apply to stockholder better corporate governance and applicable law, rule or regulation, nominations, which have different accountability to stockholders, thereby including those of stock exchanges; timing and notice requirements as protecting investors and the public • the nominee was nominated described above. interest. • pursuant to ICE Bylaw 2.15 at one of the Bylaw 2.13(d) would be amended to B. Self-Regulatory Organization’s past two annual meetings and either specify that the definition therein of Statement on Burden on Competition withdrew or became ineligible, or failed ‘‘publicly announced or disclosed’’ to receive 20% of the vote; would also apply in Bylaw 2.15. The Exchange does not believe that • the nominee is, or has within the the proposed rule change will impose last three years been, an officer or Conforming Changes any burden on competition that is not director of a competitor of ICE or is a Finally, the Exchange proposes to necessary or appropriate in furtherance U.S. Disqualified Person as defined in make conforming changes to the title of of the purposes of the Exchange Act. ICE’s certificate of incorporation; or the Bylaws. The proposed rule change is not • ICE is notified, or the ICE Board designed to address any competitive determines, that a nominating 2. Statutory Basis issue in the U.S. or European securities stockholder has failed to continue to The Exchange believes that this filing markets or have any impact on satisfy the eligibility requirements, any is consistent with Section 6(b) of the competition in those markets; rather, of the representations and warranties Exchange Act,26 in general, and Section adoption of a proxy access bylaw by ICE made in the Nomination Notice ceases 6(b)(1) of the Exchange Act,27 in is intended to enhance corporate to be true and accurate in all material particular, in that it enables the governance and accountability to respects (or omits a material fact Exchange to be so organized as to have stockholders. necessary to make the statements made the capacity to be able to carry out the C. Self-Regulatory Organization’s not misleading), the nominee becomes purposes of the Exchange Act and to Statement on Comments on the unwilling or unable to serve on the ICE comply, and to enforce compliance by Proposed Rule Change Received From Board or any material violation or its exchange members and persons Members, Participants, or Others breach occurs of the obligations, associated with its exchange members, agreements, representations or with the provisions of the Exchange Act, No written comments were solicited warranties of the nominating the rules and regulations thereunder, or received with respect to the proposed stockholder or the nominee under ICE and the rules of the Exchange. The rule change. Bylaw Section 2.15. Exchange believes that, by permitting a III. Date of Effectiveness of the In addition, Bylaw 2.15(e)(ii) would stockholder, or a group of up to twenty Proposed Rule Change and Timing for permit ICE to omit from its proxy stockholders, of ICE that meet the stated Commission Action statement, or supplement or correct, any requirements to nominate and have information, including all or any included in ICE’s annual meeting proxy Within 45 days of the date of portion of the statement in support of materials director nominees, the publication of this notice in the Federal the Nominee included in the proposed rule change strengthens the Register or within such longer period Nomination Notice, if the ICE Board corporate governance of the Exchange’s up to 90 days (i) as the Commission may determines that: ultimate parent company and is thus designate if it finds such longer period • Such information is not true in all consistent with Section 6(b)(1). to be appropriate and publishes its material respects or omits a material reasons for so finding or (ii) as to which statement necessary to make the 26 15 U.S.C. 78f(b). statements made not misleading; 27 15 U.S.C. 78f(b)(1). 28 15 U.S.C. 78f(b)(5).

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the self-regulatory organization 2016–14 and should be submitted on or of those statements may be examined at consents, the Commission will: before April 12, 2016. the places specified in Item IV below. (A) By order approve or disapprove For the Commission, by the Division of The Exchange has prepared summaries, the proposed rule change, or Trading and Markets, pursuant to delegated set forth in sections A, B, and C below, (B) institute proceedings to determine authority.29 of the most significant parts of such whether the proposed rule change Robert W. Errett, statements. should be disapproved. Deputy Secretary. A. Self-Regulatory Organization’s [FR Doc. 2016–06362 Filed 3–21–16; 8:45 am] IV. Solicitation of Comments Statement of the Purpose of, and the BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule Interested persons are invited to Change submit written data, views and 1. Purpose arguments concerning the foregoing, SECURITIES AND EXCHANGE including whether the proposed rule COMMISSION The Exchange proposes to adopt a change is consistent with the Act. [Release No. 34–77389; File No. SR– Decommission Extension Fee for receipt Comments may be submitted by any of NYSEMKT–2016–37] of the NYSE MKT BBO and NYSE MKT the following methods: Trades market data products,4 as set Self-Regulatory Organizations; NYSE forth on the NYSE MKT LLC Equities Electronic Comments MKT LLC; Notice of Filing and Proprietary Market Data Fee Schedule • Use the Commission’s Internet Immediate Effectiveness of Proposed (‘‘Fee Schedule’’). Recipients of NYSE comment form (http://www.sec.gov/ Change Adopting a Decommission MKT BBO and NYSE MKT Trades rules/sro.shtml); or Extension Fee for receipt of the NYSE would continue to be subject to the already existing subscription fees • Send an email to rule-comments@ MKT BBO and NYSE MKT Trades currently set forth in the Fee Schedule. sec.gov. Please include File Number SR– Market Data Products The proposed Decommission Extension NYSE–2016–14 on the subject line. March 17, 2016. Fee would apply only to those Paper Comments Pursuant to Section 19(b)(1)1 of the subscribers who decide to continue to Securities Exchange Act of 1934 (the • receive the NYSE MKT BBO and NYSE Send paper comments in triplicate ‘‘Act’’) 2 and Rule 19b-4 thereunder,3 MKT Trades feeds in their legacy format to Secretary, Securities and Exchange notice is hereby given that, on March 8, for up to two months after those feeds Commission, 100 F Street NE., 2016, NYSE MKT LLC (the ‘‘Exchange’’ otherwise will be distributed Washington, DC 20549–1090. or ‘‘NYSE MKT’’) filed with the exclusively in the new format explained All submissions should refer to File Securities and Exchange Commission below. Number SR–NYSE–2016–14. This file (the ‘‘Commission’’) the proposed rule NYSE MKT Trades is an NYSE MKT- number should be included on the change as described in Items I, II, and only last sale market data feed. NYSE subject line if email is used. To help the III below, which Items have been MKT Trades currently allows vendors, Commission process and review your prepared by the self-regulatory broker-dealers and others to make comments more efficiently, please use organization. The Commission is available on a real-time basis the same only one method. The Commission will publishing this notice to solicit last sale information that the Exchange post all comments on the Commission’s comments on the proposed rule change reports under the Consolidated Tape Internet Web site (http://www.sec.gov/ from interested persons. Association (‘‘CTA’’) Plan for inclusion in the CTA Plan’s consolidated data rules/sro.shtml). Copies of the I. Self-Regulatory Organization’s submission, all subsequent streams. Specifically, the NYSE MKT Statement of the Terms of Substance of Trades feed includes, for each security amendments, all written statements the Proposed Rule Change with respect to the proposed rule traded on the Exchange, the real-time change that are filed with the The Exchange proposes to adopt a last sale price, time and size information Commission, and all written Decommission Extension Fee for receipt and bid/ask quotations at the time of communications relating to the of the NYSE MKT BBO and NYSE MKT each sale and a stock summary message. proposed rule change between the Trades market data products. The The stock summary message updates Commission and any person, other than proposed change is available on the every minute and includes NYSE MKT’s those that may be withheld from the Exchange’s Web site at www.nyse.com, opening price, high price, low price, public in accordance with the at the principal office of the Exchange, closing price, and cumulative volume provisions of 5 U.S.C. 552, will be and at the Commission’s Public for the security.5 available for Web site viewing and Reference Room. NYSE MKT BBO is an NYSE MKT- printing in the Commission’s Public only market data feed that allows a II. Self-Regulatory Organization’s vendor to redistribute on a real-time Reference Room, 100 F Street NE., Statement of the Purpose of, and Washington, DC 20549, on official basis the same best-bid-and-offer Statutory Basis for, the Proposed Rule information that the Exchange reports business days between the hours of Change 10:00 a.m. and 3:00 p.m. Copies of the under the Consolidated Quotation filing also will be available for In its filing with the Commission, the (‘‘CQ’’) Plan for inclusion in the CQ inspection and copying at the principal self-regulatory organization included Plan’s consolidated quotation office of the Exchange. All comments statements concerning the purpose of, information data stream. The data feed received will be posted without change; and basis for, the proposed rule change 4 the Commission does not edit personal and discussed any comments it received See Securities Exchange Act Release Nos. 61936 on the proposed rule change. The text (Apr. 16, 2010), 74 FR 21088 (Apr. 22, 2010) (SR– identifying information from NYSEAmex–2010–35) (notice—NYSE MKT BBO submissions. You should submit only and NYSE MKT Trades) and 62187 (May 27, 2010), 29 17 CFR 200.30–3(a)(12). information that you wish to make 75 FR 31500 (June 3, 2010) (SR–NYSEAmex–2010– 1 15 U.S.C. 78s(b)(1). 35) (approval order—NYSE MKT BBO and NYSE available publicly. All submissions 2 15 U.S.C. 78a. MKT Trades). should refer to File Number SR–NYSE– 3 17 CFR 240.19b–4. 5 Id.

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includes the best bids and offers for all pay an additional fee for taking the data Id. at 535 (quoting H.R. Rep. No. 94–229 securities that are traded on the feeds in the legacy format beyond the at 92 (1975), as reprinted in 1975 Exchange and for which NYSE MKT period of time specifically allotted by U.S.C.C.A.N. 323). The court agreed reports quotes under the CQ Plan. the Exchange for data feed customers to with the Commission’s conclusion that As part of the Exchange’s efforts to adapt to the new XDP format at no extra ‘‘Congress intended that ‘competitive regularly upgrade systems to support cost. To that end, the extension fee is forces should dictate the services and more modern data distribution formats designed to encourage data recipients to practices that constitute the U.S. and protocols as technology evolves, migrate to the XDP format in order to national market system for trading beginning March 1, 2016, NYSE MKT continue to receive NYSE MKT BBO equity securities.’ ’’ 9 BBO and NYSE MKT Trades will both and NYSE MKT Trades in XDP as the As explained below in the Exchange’s be transmitted in a new format, legacy format would no longer be Statement on Burden on Competition, Exchange Data Protocol (XDP). available after that date. The Exchange the Exchange believes that there is Beginning March 1, 2016, the Exchange does not intend to support the legacy substantial evidence of competition in will transmit NYSE MKT BBO and format at all after September 1, 2016. the marketplace for proprietary market NYSE MKT Trades in both the legacy The Exchange notes that NYSE MKT data and that the Commission can rely format and in XDP without any BBO and NYSE MKT Trades are entirely upon such evidence in concluding that additional fee being charged for the fees established in this filing are the providing these data feeds in both optional. The Exchange is not required to make NYSE MKT BBO and NYSE product of competition and therefore formats. The dual dissemination will satisfy the relevant statutory standards. remain in place until July 1, 2016, the MKT Trades available or to offer any specific pricing alternatives to any In addition, the existence of alternatives planned decommission date of the to the legacy format, such as converting legacy format. Beginning July 1, 2016, customers, nor is any firm required to purchase NYSE MKT BBO and NYSE to XDP as soon as possible, further recipients of NYSE MKT BBO and ensures that the Exchange cannot set NYSE MKT Trades who wish to MKT Trades, nor is the Exchange required to offer any feed (NYSE MKT unreasonable fees, or fees that are continue to receive NYSE MKT BBO unreasonably discriminatory, when and NYSE MKT Trades in the legacy BBO, NYSE MKT Trades, or otherwise) in a particular format, and it is a benefit vendors and subscribers can select such format will each be subject to the alternatives. proposed Decommission Extension Fee to the markets generally that NYSE MKT As the NetCoalition decision noted, of $5,000 per month. During the update its distribution technology to extension period, recipients of NYSE make it more efficient (and at the same the Commission is not required to MKT BBO and NYSE MKT Trades time eliminate less efficient forms of undertake a cost-of-service or would continue to be subject to the dissemination). Firms that do purchase ratemaking approach. The Exchange subscription fees currently noted in the NYSE MKT BBO and NYSE MKT believes that, even if it were possible as Fee Schedule. The extension period for Trades do so for the primary goals of a matter of economic theory, cost-based receiving these data feeds in the legacy using them to increase revenues, reduce pricing for proprietary market data format will expire on September 1, expenses, and in some instances would be so complicated that it could compete directly with the Exchange not be done practically or offer any 2016, on which date distribution of 10 NYSE MKT BBO and NYSE MKT (including for order flow); those firms significant benefits. Trades in the legacy format will be are able to determine for themselves permanently discontinued. whether NYSE MKT BBO and NYSE 9 NetCoalition, 615 F.3d at 535. MKT Trades or any other similar 10 The Exchange believes that cost-based pricing 2. Statutory Basis products are attractively priced or not.8 would be impractical because it would create enormous administrative burdens for all parties and The Exchange believes that the The decision of the United States the Commission to cost-regulate a large number of proposed rule change is consistent with Court of Appeals for the District of participants and standardize and analyze the provisions of Section 6 of the Act,6 extraordinary amounts of information, accounts, Columbia Circuit in NetCoalition v. and reports. In addition, and as described below, it in general, and Sections 6(b)(4) and SEC, 615 F.3d 525 (D.C. Cir. 2010), is impossible to regulate market data prices in 7 6(b)(5) of the Act, in particular, in that upheld reliance by the Securities and isolation from prices charged by markets for other it provides an equitable allocation of Exchange Commission (‘‘Commission’’) services that are joint products. Cost-based rate reasonable fees among users and regulation would also lead to litigation and may upon the existence of competitive distort incentives, including those to minimize recipients of the data and is not market mechanisms to set reasonable costs and to innovate, leading to further waste. designed to permit unfair and equitably allocated fees for Under cost-based pricing, the Commission would discrimination among customers, proprietary market data: be burdened with determining a fair rate of return, issuers, and brokers. and the industry could experience frequent rate The Exchange believes that adopting In fact, the legislative history indicates that increases based on escalating expense levels. Even in industries historically subject to utility an extension fee for subscribers of NYSE the Congress intended that the market system ‘evolve through the interplay of competitive regulation, cost-based ratemaking has been MKT BBO and NYSE MKT Trades who discredited. As such, the Exchange believes that forces as unnecessary regulatory restrictions cost-based ratemaking would be inappropriate for wish to receive these data feeds in the are removed’ and that the SEC wield its legacy format for a period of time proprietary market data and inconsistent with regulatory power ‘in those situations where Congress’s direction that the Commission use its beyond the built-in overlap period is competition may not be sufficient,’ such as authority to foster the development of the national reasonable, equitable and not unfairly in the creation of a ‘consolidated market system, and that market forces will continue discriminatory because the proposed fee transactional reporting system.’ to provide appropriate pricing discipline. See would apply equally to all data Appendix C to NYSE’s comments to the Commission’s 2000 Concept Release on the recipients that currently subscribe to 8 See, e.g., Proposing Release on Regulation of Regulation of Market Information Fees and NYSE MKT BBO and NYSE MKT NMS Stock Alternative Trading Systems, Securities Revenues, which can be found on the Commission’s Trades. The Exchange believes that it is Exchange Act Release No. 76474 (Nov. 18, 2015) Web site at http://www.sec.gov/rules/concept/ reasonable to require data recipients to (File No. S7–23–15). See also, ‘‘Brokers Warned Not s72899/buck1.htm. Finally, the prices set herein are to Steer Clients’ Stock Trades Into Slow Lane,’’ prices for continuing to support distribution Bloomberg Business, December 14, 2015 (Sigma X formats the Exchange has elected to retire in favor 6 15 U.S.C. 78f(b). dark pool to use direct exchange feeds as the of new and more efficient distribution formats, 7 15 U.S.C. 78f(b)(4), (5). primary source of price data). making cost-based analyses even less relevant.

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For these reasons, the Exchange transaction reports provide pricing themselves provide additional price believes that the proposed fees are discipline for the inputs of proprietary discipline for proprietary data products reasonable, equitable, and not unfairly data products and therefore constrain because they control the primary means discriminatory. markets from overpricing proprietary of access to certain end users. These market data. Broker-dealers send their vendors impose price discipline based B. Self-Regulatory Organization’s order flow and transaction reports to upon their business models. For Statement on Burden on Competition multiple venues, rather than providing example, vendors that assess a The Exchange does not believe that them all to a single venue, which in turn surcharge on data they sell are able to the proposed rule change will impose reinforces this competitive constraint. refuse to offer proprietary products that any burden on competition that is not As a 2010 Commission Concept Release their end users do not or will not necessary or appropriate in furtherance noted, the ‘‘current market structure can purchase in sufficient numbers. Vendors of the purposes of the Act. An be described as dispersed and complex’’ will not elect to make available NYSE exchange’s ability to price its with ‘‘trading volume . . . dispersed MKT BBO or NYSE MKT Trades in the proprietary market data feed products is among many highly automated trading legacy format unless their customers constrained by actual competition for centers that compete for order flow in request it, and customers will not elect the sale of proprietary market data the same stocks’’ and ‘‘trading centers to pay the proposed fees unless NYSE products, the joint product nature of offer[ing] a wide range of services that MKT BBO and NYSE MKT Trades can exchange platforms, and the existence of are designed to attract different types of provide value in the legacy formats by alternatives to the Exchange’s market participants with varying trading sufficiently increasing revenues or proprietary data (and in this instance, needs.’’ 12 More recently, SEC Chair reducing costs in the customer’s the ability of any firm to switch to the Mary Jo White has noted that business in a manner that will offset the new distribution format in a time frame competition for order flow in exchange- fees. The Exchange has provided that eliminates the need to pay these listed equities is ‘‘intense’’ and divided customers with adequate notice that it fees entirely). among many trading venues, including intends to discontinue dissemination of The Existence of Actual Competition exchanges, more than 40 alternative the data feeds in the legacy format. trading systems, and more than 250 Therefore, the proposed Decommission The market for proprietary data broker-dealers.13 Extension Fee would only be applicable products is currently competitive and If an exchange succeeds in competing to those customers who have a need or inherently contestable because there is for quotations, order flow, and trade desire to continue to take the data feeds fierce competition for the inputs executions, then it earns trading in the legacy format beyond the period necessary for the creation of proprietary revenues and increases the value of its provided for migration to the XDP data and strict pricing discipline for the proprietary market data products format. Customers who timely migrate proprietary products themselves. because they will contain greater quote to the XDP format to receive the data Numerous exchanges compete with one and trade information. Conversely, if an feeds would not need to receive the data another for listings and order flow and exchange is less successful in attracting feeds in the legacy format and therefore sales of market data itself, providing quotes, order flow, and trade would not be subject to the ample opportunities for entrepreneurs executions, then its market data Decommission Extension Fee at all. All who wish to compete in any or all of products may be less desirable to of these factors operate as constraints on those areas, including producing and customers in light of the diminished pricing proprietary data products. distributing their own market data. content and data products offered by Proprietary data products are produced competing venues may become more C. Self-Regulatory Organization’s and distributed by each individual attractive. Thus, competition for Statement on Comments on the exchange, as well as other entities, in a quotations, order flow, and trade Proposed Rule Change Received From vigorously competitive market. Indeed, executions puts significant pressure on Members, Participants, or Others the U.S. Department of Justice (‘‘DOJ’’) an exchange to maintain both execution No written comments were solicited (the primary antitrust regulator) has and data fees at reasonable levels. or received with respect to the proposed expressly acknowledged the aggressive In addition, in the case of products rule change. actual competition among exchanges, that are also redistributed through including for the sale of proprietary market data vendors, such as Bloomberg III. Date of Effectiveness of the market data. In 2011, the DOJ stated that and Thompson Reuters, the vendors Proposed Rule Change and Timing for exchanges ‘‘compete head to head to Commission Action offer real-time equity data products. 12 Concept Release on Equity Market Structure, The foregoing rule change is effective These data products include the best bid Securities Exchange Act Release No. 61358 (Jan. 14, upon filing pursuant to Section 2010), 75 FR 3594 (Jan. 21, 2010) (File No. S7–02– 14 and offer of every exchange and 10). This Concept Release included data from the 19(b)(3)(A) of the Act and information on each equity trade, third quarter of 2009 showing that no market center subparagraph (f)(2) of Rule 19b–4 15 including the last sale.’’ 11 traded more than 20% of the volume of listed thereunder, because it establishes a due, Moreover, competitive markets for stocks, further evidencing the dispersal of and fee, or other charge imposed by the competition for trading activity. Id. at 3598. Data listings, order flow, executions, and available on ArcaVision show that from June 30, Exchange. 2013 to June 30, 2014, no exchange traded more At any time within 60 days of the 11 Press Release, U.S. Department of Justice, than 12% of the volume of listed stocks by either filing of such proposed rule change, the Assistant Attorney General Christine Varney Holds trade or dollar volume, further evidencing the Commission summarily may Conference Call Regarding NASDAQ OMX Group continued dispersal of and fierce competition for temporarily suspend such rule change if Inc. and IntercontinentalExchange Inc. Abandoning trading activity. See https://www.arcavision.com/ Their Bid for NYSE Euronext (May 16, 2011), Arcavision/arcalogin.jsp. it appears to the Commission that such available at http://www.justice.gov/iso/opa/atr/ 13 Mary Jo White, Enhancing Our Equity Market action is necessary or appropriate in the speeches/2011/at-speech-110516.html; see also Structure, Sandler O’Neill & Partners, L.P. Global public interest, for the protection of Complaint in U.S. v. Deutsche Borse AG and NYSE Exchange and Brokerage Conference (June 5, 2014) investors, or otherwise in furtherance of Euronext, Case No. 11–cv–2280 (DC Dist.) ¶ 24 (available on the Commission Web site), citing (‘‘NYSE and Direct Edge compete head-to-head . . . Tuttle, Laura, 2014, ‘‘OTC Trading: Description of in the provision of real-time proprietary equity data Non-ATS OTC Trading in National Market System 14 15 U.S.C. 78s(b)(3)(A). products.’’). Stocks,’’ at 7–8. 15 17 CFR 240.19b–4(f)(2).

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the purposes of the Act. If the NYSEMKT–2016–37 and should be and discussed any comments it received Commission takes such action, the submitted on or before April 12, 2016. on the proposed rule change. The text Commission shall institute proceedings For the Commission, by the Division of of those statements may be examined at under Section 19(b)(2)(B) 16 of the Act to Trading and Markets, pursuant to delegated the places specified in Item IV below. determine whether the proposed rule authority.17 The Exchange has prepared summaries, change should be approved or Robert W. Errett, set forth in sections A, B, and C below, disapproved. Deputy Secretary. of the most significant parts of such statements. IV. Solicitation of Comments [FR Doc. 2016–06409 Filed 3–21–16; 8:45 am] Interested persons are invited to BILLING CODE 8011–01–P A. Self-Regulatory Organization’s submit written data, views, and Statement of the Purpose of, and arguments concerning the foregoing, Statutory Basis for, the Proposed Rule SECURITIES AND EXCHANGE Change including whether the proposed rule COMMISSION change is consistent with the Act. 1. Purpose Comments may be submitted by any of [Release No. 34–77385; File No. SR– The Exchange proposes to amend and the following methods: NYSEARCA–2016–25] restate the Fifth Amended and Restated Electronic Comments Self-Regulatory Organizations; NYSE Bylaws of ICE (‘‘ICE Bylaws’’). The • Use the Commission’s Internet Arca, Inc.; Notice of Filing of Proposed proposed amendments to the ICE comment form (http://www.sec.gov/ Rule Change Amending and Restating Bylaws would (1) add a new Section rules/sro.shtml); or the Fifth Amended and Restated 2.15 that permits a stockholder, or • Send an email to rule-comments@ Bylaws of the Exchange’s Ultimate stockholders, that meet specific sec.gov. Please include File Number SR– Parent Company, Intercontinental requirements to nominate director NYSEMKT–2016–37 on the subject line. Exchange, Inc., To Implement Proxy nominees for the board of directors of Access ICE (‘‘ICE Board’’), provided that the Paper Comments nominating stockholder(s) and • Send paper comments in triplicate March 17, 2016. nominee(s) satisfy the proposed to Brent J. Fields, Secretary, Securities Pursuant to Section 19(b)(1) 1 of the requirements, and (2) amend the and Exchange Commission, 100 F Street Securities Exchange Act of 1934 advance notice provisions in Section NE., Washington, DC 20549–1090. (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 2.13 to account for proxy access.4 All submissions should refer to File notice is hereby given that, on March 2, ICE owns 100% of the equity interest Number SR–NYSEMKT–2016–37. This 2016, NYSE Arca, Inc. (the ‘‘Exchange’’ in Intercontinental Exchange Holdings, file number should be included on the or ‘‘NYSE Arca’’) filed with the Inc. (‘‘ICE Holdings’’), which in turn subject line if email is used. To help the Securities and Exchange Commission owns 100% of the equity interest in Commission process and review your (‘‘Commission’’) the proposed rule NYSE Holdings LLC (‘‘NYSE comments more efficiently, please use change as described in Items I, II, and Holdings’’). NYSE Holdings owns 100% only one method. The Commission will III below, which Items have been of the equity interest of NYSE Group, post all comments on the Commission’s prepared by the self-regulatory Inc., which in turn directly owns 100% Internet Web site (http://www.sec.gov/ organization. The Commission is of the equity interest of the Exchange rules/sro.shtml). Copies of the publishing this notice to solicit and its affiliates New York Stock 5 submission, all subsequent comments on the proposed rule change Exchange LLC and NYSE MKT LLC. The proposed amendments to the ICE amendments, all written statements from interested persons. Bylaws have been approved by the ICE with respect to the proposed rule I. Self-Regulatory Organization’s Board, subject to Securities and change that are filed with the Statement of the Terms of Substance of Exchange Commission (‘‘Commission’’) Commission, and all written the Proposed Rule Change approval. Under Section 11.1 of the ICE communications relating to the The Exchange proposes to amend and Bylaws, no stockholder approval is proposed rule change between the restate the Fifth Amended and Restated required for amendment of the ICE Commission and any person, other than Bylaws of the Exchange’s ultimate Bylaws. ICE filed a Form 8–K setting those that may be withheld from the parent company, Intercontinental forth the proposed amendments on public in accordance with the Exchange, Inc. (‘‘ICE’’), to implement January 22, 2016 after approval by the provisions of 5 U.S.C. 552, will be proxy access. The proposed rule change ICE Board, and will file a further Form available for Web site viewing and is available on the Exchange’s Web site 8–K when the amendments are adopted. printing in the Commission’s Public at www.nyse.com, at the principal office Reference Room, 100 F Street NE., Bylaw Section 2.15 of the Exchange, and at the Washington, DC 20549 on official Commission’s Public Reference Room. The proposed rule change would add business days between the hours of new Section 2.15 to the ICE Bylaws. 10:00 a.m. and 3:00 p.m. Copies of the II. Self-Regulatory Organization’s Section 2.15 would permit a filing also will be available for Statement of the Purpose of, and inspection and copying at the principal Statutory Basis for, the Proposed Rule 4 In November 2015, the Comptroller of the City office of the Exchange. All comments Change of New York, on behalf of certain city retirement received will be posted without change; In its filing with the Commission, the systems that are stockholders of ICE, requested that the Commission does not edit personal ICE include a proxy access proposal in its 2016 self-regulatory organization included proxy statement. After discussions with the identifying information from statements concerning the purpose of, Comptroller’s office, ICE management determined submissions. You should submit only and basis for, the proposed rule change to recommend the amendment reflected in the information that you wish to make proposed rule change to the ICE Board and, on that basis, the Comptroller’s request was withdrawn. available publicly. All submissions 17 17 CFR 200.30–3(a)(12). 5 The Exchange’s affiliates have each submitted should refer to File Number SR– 1 15 U.S.C. 78s(b)(1). proposed rule changes to propose the changes 2 15 U.S.C. 78a. described in this filing. See SR–NYSE–2016–14 and 16 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4. SR–NYSEMKT–2016–20.

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stockholder, or group of up to 20 annual meeting and whose re-election is would be required to be held stockholders, to nominate director recommended by the ICE Board. In the continuously throughout the three-year nominees for the ICE Board, so long as event that one or more vacancies for any period preceding and including the date the stockholder(s) have owned at least reason were to occur on the ICE Board of submission of the Nomination Notice, three percent of ICE’s outstanding after the deadline for submitting a and through the date of the annual shares of common stock continuously Nomination Notice, but before the date meeting. The proposed rule change for at least three years. The director of the annual meeting, and the ICE includes provisions relating to how the nominees would be included in ICE’s Board resolved to reduce the size of the members of a group would be counted annual meeting proxy materials. The ICE Board, the number of permitted and the consequences of withdrawal of proposed provision would limit the stockholder nominees would be a member from a group.10 number of proposed director nominees calculated based on the number of A person (or member of a group of to a number equal to twenty percent of directors in office as so reduced. If, after persons) whose nominee has been the number of directors then serving on receipt of a Nomination Notice and elected as a director at an annual the ICE Board (rounded down to the following the deadline for receipt of meeting would not be eligible to nearest whole number, but no less than such notices, either the nominating nominate or participate in the two) provided that the stockholder(s) stockholder becomes ineligible or nomination of a nominee for the and nominee(s) satisfy the other withdraws the nomination, or the following two annual meetings other conditions specified in the ICE Bylaws. nominee becomes ineligible or than the nomination of such previously A candidate would be nominated by unwilling or unable to serve, such elected nominee.11 a nomination notice (‘‘Nomination nominee will be disregarded. The proposed rule change would also Notice’’). Subject to satisfaction of the • Bylaw 2.15(b) would provide a specify that shares may be counted as conditions of Section 2.15, described mechanism for pro rata reduction of the ‘‘owned’’ only if the person making the below, as determined by the ICE Board, number of nominees nominated by nomination possess both the full voting ICE would include in its proxy different stockholders if the total and investment rights pertaining to the statement for the next annual meeting of number of permitted stockholder shares and the full economic interest in stockholders the following information: nominees exceeded the maximum (including the opportunity for profit and • The names of any person or persons permitted. Each nominating stockholder risk of loss on) such shares. Shares that nominated for election; would select one of its nominees to be have been sold, borrowed or hedged are • disclosure about each nominee and included in the proxy statement, with excluded. Loaned shares are included, the nominating stockholder required the nominees to be included selected provided they are recallable within five under the rules of the Commission or from nominating stockholders going in business days, and are recalled by the other applicable law to be included in the order of the largest stockholdings to record date.12 the proxy statement; the smallest, until the available number No person would be permitted to be • any statement in support of the of nominees has been selected, with this in more than one group nominating a nominee’s (or nominees’, as applicable) process to be repeated if the maximum nominee. A person who appears as a election, subject to a limit of 500 words number of nominees has not been member of more than one group would and subject to compliance with Section selected in the first round. be deemed to be a member of the group 14 of the Exchange Act 6 and the rules As a result of these potential that has the largest ownership position thereunder, including Rule 14a–9; 7 and reductions in the number of stockholder as reflected in the Nomination Notice.13 • any other information that ICE nominees, the number of stockholder A Nomination Notice would be management or the ICE Board nominees in any year could be fewer required to be submitted to the secretary determines, in their discretion, to than two. of ICE at ICE’s principal executive include relating to the nomination of the Each person or group of up to 20 office, no earlier than the close of nominee(s), including, without persons desiring to nominate a business 150 calendar days, and no later limitation, any statement in opposition candidate would be required to either than the close of business 120 calendar to the nomination.8 (1) be a record holder of shares of ICE days, before the anniversary of the date ICE Bylaw 2.15 would permit common stock used to satisfy the that ICE mailed its proxy statement for stockholder nominees to constitute up eligibility requirements for a the prior year’s annual meeting of to twenty percent of the number of stockholder nominee continuously for stockholders. If an annual meeting were directors then serving on the ICE Board, the three-year period, or (2) provide to not scheduled to be held within a subject to the following: the secretary of ICE evidence of period that commences 30 days before • If twenty percent of the current continuous ownership of the minimum and ends 30 days after such anniversary number of shares for such three-year number of directors is not a whole date, a Nomination Notice would be period from one or more securities number, the number of permitted required to be given by the later of the intermediaries in a form that the ICE stockholder nominees would be close of business on the date that is 120 Board determines would be acceptable rounded down to the nearest whole days prior to the date of such annual for purposes of a shareholder proposal number, but no less than two. meeting or the tenth day following the • under Rule 14a–8(b)(2) under the The number of permitted date on which such annual meeting date Exchange Act 9 (or any successor rule). stockholder nominees would be further is first publicly announced or The minimum number of shares would reduced by (a) the number of any disclosed.14 stockholder nominees who are be determined as three percent of the ICE Bylaw 2.15 would provide that withdrawn or who are instead outstanding shares as of the most recent any determination to be made by the nominated by the ICE Board and (b) the date for which the total number of ICE Board may be made by the ICE number of directors, if any, who were outstanding shares of common stock stockholder nominees at the preceding was included by ICE in a filing with the 10 Proposed ICE Bylaw 2.15(c). Commission prior to the submission of 11 Proposed ICE Bylaw 2.15(c)(i). 6 15 U.S.C. 78n. the Nomination Notice. Such shares 12 Proposed ICE Bylaw 2.15(c)(iv). 7 17 CFR 240.14a–9. 13 Proposed ICE Bylaw 2.15(c)(v). 8 Proposed ICE Bylaw 2.15(a). 9 17 CFR 240.14a–8(b)(2). 14 Proposed ICE Bylaw 2.15(d).

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Board, a committee of the ICE Board or Independence Policy 17 as most recently meeting, other than its nominee(s) or any officer of ICE designated by the ICE published on its Web site and otherwise any nominee of the ICE Board; Board or a committee of the ICE Board qualifies as independent under the rules Æ a representation and warranty that and that any such determination shall of the principal national securities the nominating stockholder will not use be final and binding on ICE, any Eligible exchange on which ICE’s common stock any proxy card other than ICE’s proxy Holder (as defined in ICE Bylaw 2.15), is traded; 18 card in soliciting stockholders in any nominating stockholder, any • meets the audit committee connection with the election of a nominee and any other person so long nominee at the annual meeting; independence requirements under the Æ as made in good faith. The chairman of rules of the principal national securities if desired, a statement in support of the nominee meeting the standards any annual meeting of stockholders exchange on which ICE’s common stock identified above; and shall have the power and duty to is traded; 19 Æ in the case of a nomination by a determine whether a Nominee has been • is a ‘‘non-employee director’’ for the group, the designation by all group nominated in accordance with the purposes of Rule 16b–3 under the requirements of proposed Section 2.15 members of one group member that is Exchange Act 20 (or any successor rule); authorized to act on behalf of all group and, if not so nominated, shall direct • and declare at the annual meeting that is an ‘‘outside director’’ for the members with respect to matters such Nominee shall not be purposes of Section 162(m) of the relating to the nomination, including 21 considered.15 Internal Revenue Code (or any withdrawal of the nomination; successor provision); and • an executed agreement, in a form The proposed rule change specifies • deemed satisfactory by the ICE Board, information that would be required in a is not and has not been subject to pursuant to which the nominating Nomination Notice, including: any event specified in Rule 506(d)(1) of 22 stockholder (including each group • 16 Regulation D (or any successor rule) A Schedule 14N (or any member) agrees: successor form) relating to the under the Securities Act of 1933 or Item Æ 401(f) of Regulation S–K 23 (or any To comply with all applicable laws, nomination, completed and filed with rules and regulations in connection with the Commission; successor rule) under the Exchange Act, without reference to whether the event the nomination, solicitation and • a written notice, in a form deemed is material to an evaluation of the ability election of a nominee; satisfactory by the ICE Board, of the Æ or integrity of the nominee; to file any written solicitation or nomination of such nominee that Æ other communication with ICE’s includes additional information, a representation and warranty that stockholders relating to one or more of agreements, representations and the nominating stockholder satisfies the ICE’s directors or director nominees or warranties by the nominating eligibility requirements set forth in any stockholder nominee with the stockholder (including, in the case of a Bylaw 2.15 and has provided evidence Commission, regardless of whether any group, each group member), of ownership to the extent required by such filing is required under any rule or Æ the information otherwise required Bylaw 2.15(c)(i); regulation or whether any exemption with respect to the nomination of Æ a representation and warranty that from filing is available for such directors by the ICE Bylaws; the nominating stockholder intends to materials under any rule or regulation; Æ the details of any relationship that continue to satisfy the eligibility Æ to assume all liability stemming existed within the past three years and requirements described in Bylaw 2.15(c) from an action, suit or proceeding that would have been described through the date of the annual meeting; concerning any actual or alleged legal or pursuant to Item 6(e) of Schedule 14N Æ a representation and warranty that regulatory violation arising out of any (or any successor item) if it existed on the nominating stockholder will not communication by the nominating the date of submission of the Schedule engage in a ‘‘solicitation’’ within the stockholder or any of its nominees with 14N; meaning of Rule 14a–1(l) 24 (without ICE, its stockholders or any other person Æ a representation and warranty that reference to the exception in Rule 14a– in connection with the nomination or the nominating stockholder did not (l)(l)(2)(iv) 25) (or any successor rules) election of directors, including, without under the Exchange Act in support of limitation, the Nomination Notice; acquire, and is not holding, securities of Æ ICE for the purpose or with the effect of the election of any individual as a to indemnify and hold harmless influencing or changing control of ICE; director at the applicable annual (jointly with all other group members, in the case of a group member) ICE and Æ a representation and warranty that each of its directors, officers and the nominee’s candidacy or, if elected, 17 The Commission notes that the Independence employees individually against any membership on the ICE Board would Policy can be found at the following Web site: http://ir.theice.com/∼/media/Files/I/Ice-IR/ liability, loss, damages, expenses or not violate applicable state or federal documents/corporate-governance-documents/ other costs (including attorneys’ fees) law or the rules of the principal national board-independence-policy.pdf. incurred in connection with any securities exchange on which ICE’s 18 The Commission notes the independent threatened or pending action, suit or securities are traded; director standards of New York Stock Exchange Æ LLC (‘‘NYSE’’), which is the principal market for proceeding, whether legal, a representation and warranty that ICE’s common stock, are set forth in NYSE’s Listed administrative or investigative, against the nominee: Company Manual in Sections 303A.00, 303A.01 ICE or any of its directors, officers or • does not have any direct or indirect and 303A.02. 19 The Commission notes that the audit employees arising out of or relating to relationship with ICE that will cause the committee independence requirements of NYSE, a failure or alleged failure of the nominee to be deemed not independent the principle market for ICE’s common stock, are set nominating stockholder or any of its pursuant to the ICE Board’s forth in NYSE’s Listed Company Manual under nominees to comply with, or any breach Sections 303A.06 and 303A.07. or alleged breach of, its respective 20 17 CFR 240.16b–3. 15 The Exchange notes that having the chairman 21 obligations, agreements or of the annual meeting make such determination is 26 U.S.C. 162(m). 22 representations under Bylaw 2.15; and consistent with the procedure in Section 2.13(f) of 17 CFR 230.506(d). Æ the ICE Bylaws with respect to non-proxy access 23 17 CFR 229.401(f). in the event that (1) any nominations. 24 17 CFR 240.14a–1(l). information included in the Nomination 16 17 CFR 240.14n–101. 25 17 CFR 240.14a–1(l)(2)(iv). Notice or any other communication by

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the nominating stockholder (including Notice would be deemed submitted on integrity or personal reputation of, or with respect to any group member) with the date on which all of the information directly or indirectly makes charges ICE, its stockholders or any other person and documents required by ICE Bylaw concerning improper, illegal or immoral in connection with the nomination or 2.15 (other than such information and conduct or associations, without factual election of a nominee ceases to be true documents contemplated to be provided foundation, with respect to, any person; and accurate in all material respects (or after the date the Nomination Notice is or omits a material fact necessary to make provided) have been delivered to or, if • The inclusion of such information the statements made not misleading) or sent by mail, received by the Secretary in the proxy statement would otherwise (2) the nominating stockholder of ICE. violate the federal proxy rules or any (including any group member) has Access to ICE’s proxy statement for other applicable law, rule or regulation. failed to continue to satisfy the stockholder nominations under ICE Bylaw Section 2.13 eligibility requirements described in Bylaw 2.15(e)(i) would not be available Bylaw 2.15(c), to promptly (and in any in any year in which ICE has received The proposed rule change also would event within 48 hours of discovering advance notice under ICE Bylaw Section amend the existing advance notice such misstatement, omission or failure) 2.13 that a stockholder intends to provisions in Bylaw 2.13 to extend their notify ICE and any other recipient of nominate a director. In addition, application to stockholder nominations such communication of (1) the nominations would be disregarded under the proxy access provision in misstatement or omission in such under ICE Bylaw 2.15(e)(i) if Bylaw 2.15. previously provided information and of • the nominating stockholder or its • Bylaw 2.13(b) would be amended to the information that is required to representative fails to appear at the provide that stockholder nominations correct the misstatement or omission or annual meeting to present the would be subject to inclusion in the ICE (2) of such failure; and nomination or withdraws its Board’s notice of annual meeting, and • an executed agreement, in a form nomination; that the timing and notice requirements deemed satisfactory by the ICE Board, • the nomination or election of the of the existing advance notice bylaw by the nominee: nominee would be in violation of ICE’s would not apply to stockholder Æ To provide to ICE such other certificate of incorporation or bylaws, or nominations, which have different information and certifications, applicable law, rule or regulation, timing and notice requirements as including completion of ICE’s director including those of stock exchanges; described above. questionnaire, as it may reasonably • the nominee was nominated • Bylaw 2.13(d) would be amended to request; pursuant to ICE Bylaw 2.15 at one of the specify that the definition therein of Æ that the nominee has read and past two annual meetings and either ‘‘publicly announced or disclosed’’ agrees, if elected, to serve as a member withdrew or became ineligible, or failed would also apply in Bylaw 2.15. of the ICE Board, to adhere to ICE’s to receive 20% of the vote; Corporate Governance Guidelines and • the nominee is, or has within the Conforming Changes Global Code of Business Conduct and last three years been, an officer or Finally, the Exchange proposes to any other policies and guidelines director of a competitor of ICE or is a make conforming changes to the title of applicable to directors; and U.S. Disqualified Person as defined in the Bylaws. Æ that the nominee is not and will not ICE’s certificate of incorporation; or become a party to (i) any compensatory, • ICE is notified, or the ICE Board 2. Statutory Basis payment or other financial agreement, determines, that a nominating The Exchange believes that this filing arrangement or understanding with any stockholder has failed to continue to is consistent with Section 6(b) of the person or entity other than ICE in satisfy the eligibility requirements, any Exchange Act,26 in general, and Section connection with service or action as a of the representations and warranties 6(b)(1) of the Exchange Act,27 in director of ICE that has not been made in the Nomination Notice ceases particular, in that it enables the disclosed to ICE, (ii) any agreement, to be true and accurate in all material Exchange to be so organized as to have arrangement or understanding with any respects (or omits a material fact the capacity to be able to carry out the person or entity as to how the nominee necessary to make the statements made purposes of the Exchange Act and to would vote or act on any issue or not misleading), the nominee becomes comply, and to enforce compliance by question as a director (a ‘‘Voting unwilling or unable to serve on the ICE its exchange members and persons Commitment’’) that has not been Board or any material violation or associated with its exchange members, disclosed to ICE or (iii) any Voting breach occurs of the obligations, with the provisions of the Exchange Act, Commitment that could reasonably be agreements, representations or the rules and regulations thereunder, expected to limit or interfere with the warranties of the nominating and the rules of the Exchange. The nominee’s ability to comply, if elected stockholder or the nominee under ICE Exchange believes that, by permitting a as a director of ICE, with its fiduciary Bylaw Section 2.15. stockholder, or a group of up to twenty duties under applicable law. In addition, Bylaw 2.15(e)(ii) would stockholders, of ICE that meet the stated ICE Bylaw 2.15 would specify that the permit ICE to omit from its proxy requirements to nominate and have information and documents required to statement, or supplement or correct, any included in ICE’s annual meeting proxy be provided by the nominating information, including all or any materials director nominees, the stockholder must be: (i) Provided with portion of the statement in support of proposed rule change strengthens the respect to and executed by each group the Nominee included in the corporate governance of the Exchange’s member, in the case of information Nomination Notice, if the ICE Board ultimate parent company and is thus applicable to group members; and (ii) determines that: consistent with Section 6(b)(1). provided with respect to the persons • Such information is not true in all For similar reasons, the Exchange also specified in Instruction 1 to Items 6(c) material respects or omits a material believes that this filing furthers the and (d) of Schedule 14N (or any statement necessary to make the objectives of Section 6(b)(5) of the successor item) in the case of a statements made not misleading; nominating stockholder or group • Such information directly or 26 15 U.S.C. 78f(b). member that is an entity. A Nomination indirectly impugns the character, 27 15 U.S.C. 78f(b)(1).

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Exchange Act,28 because the proposed (B) institute proceedings to determine For the Commission, by the Division of rule change would be consistent with whether the proposed rule change Trading and Markets, pursuant to delegated 29 and facilitate a governance and should be disapproved. authority. regulatory structure that is designed to Robert W. Errett, prevent fraudulent and manipulative IV. Solicitation of Comments Deputy Secretary. acts and practices, to promote just and Interested persons are invited to [FR Doc. 2016–06363 Filed 3–21–16; 8:45 am] equitable principles of trade, to foster submit written data, views and BILLING CODE 8011–01–P cooperation and coordination with arguments concerning the foregoing, persons engaged in regulating, clearing, including whether the proposed rule settling, processing information with SECURITIES AND EXCHANGE change is consistent with the Act. COMMISSION respect to, and facilitating transactions Comments may be submitted by any of in securities, to remove impediments to, the following methods: [Release No. 34–77380; File No. TP 16–5] and perfect the mechanism of a free and open market and a national market Electronic Comments Order Granting Limited Exemptions system and, in general, to protect From Exchange Act Rule 10b–17 and • investors and the public interest. As Use the Commission’s Internet Rules 101 and 102 of Regulation M to discussed above, the Exchange believes comment form (http://www.sec.gov/ First Trust Dorsey Wright Dynamic that by expanding the ability of rules/sro.shtml); or Focus 5 ETF Pursuant to Exchange Act stockholders to nominate directors that • Send an email to rule-comments@ Rule 10b–17(b)(2) and Rules 101(d) and could constitute a significant percent sec.gov. Please include File Number SR– 102(e) of Regulation M (20%) of the number of directors NYSEARCA–2016–25 on the subject March 16, 2016. currently serving on the ICE Board, the line. proposed rule change would ensure By letter dated March 16, 2016 (the better corporate governance and Paper Comments ‘‘Letter’’), as supplemented by accountability to stockholders, thereby conversations with the staff of the • Send paper comments in triplicate Division of Trading and Markets, protecting investors and the public to Secretary, Securities and Exchange interest. counsel for First Trust Exchange-Traded Commission, 100 F Street NE., Fund VI (the ‘‘Trust’’) on behalf of the B. Self-Regulatory Organization’s Washington, DC 20549–1090. Trust, First Trust Dorsey Wright Statement on Burden on Competition All submissions should refer to File Dynamic Focus 5 ETF (the ‘‘Fund’’), any The Exchange does not believe that Number SR–NYSEARCA–2016–25. This national securities exchange on or the proposed rule change will impose file number should be included on the through which shares of the Fund (‘‘Shares’’) are listed and/or may any burden on competition that is not subject line if email is used. To help the subsequently trade, and persons or necessary or appropriate in furtherance Commission process and review your entities engaging in transactions in of the purposes of the Exchange Act. comments more efficiently, please use Shares (collectively, the ‘‘Requestors’’), The proposed rule change is not only one method. The Commission will requested exemptions, or interpretive or designed to address any competitive post all comments on the Commission’s issue in the U.S. or European securities no-action relief, from Rule 10b-17 of the Internet Web site (http://www.sec.gov/ Securities Exchange Act of 1934, as markets or have any impact on rules/sro.shtml). Copies of the competition in those markets; rather, amended (‘‘Exchange Act’’), and Rules submission, all subsequent 101 and 102 of Regulation M, in adoption of a proxy access bylaw by ICE amendments, all written statements is intended to enhance corporate connection with secondary market with respect to the proposed rule transactions in Shares and the creation governance and accountability to change that are filed with the stockholders. or redemption of aggregations of Shares Commission, and all written of 50,000 shares (‘‘Creation Units’’). C. Self-Regulatory Organization’s communications relating to the The Trust is registered with the Statement on Comments on the proposed rule change between the Commission under the Investment Proposed Rule Change Received From Commission and any person, other than Company Act of 1940, as amended Members, Participants, or Others those that may be withheld from the (‘‘1940 Act’’), as an open-end public in accordance with the No written comments were solicited management investment company. The provisions of 5 U.S.C. 552, will be or received with respect to the proposed Fund seeks to track the performance of available for Web site viewing and rule change. an underlying index, the Dorsey Wright printing in the Commission’s Public Dynamic Focus Five Index (‘‘Underlying III. Date of Effectiveness of the Reference Room, 100 F Street NE., Index’’). The Underlying Index is Proposed Rule Change and Timing for Washington, DC 20549, on official designed to provide targeted exposure to Commission Action business days between the hours of the five First Trust sector-based and Within 45 days of the date of 10:00 a.m. and 3:00 p.m. Copies of the industry-based ETFs that the index publication of this notice in the Federal filing also will be available for provider determines offer the greatest Register or within such longer period inspection and copying at the principal potential to outperform the other First up to 90 days (i) as the Commission may office of the Exchange. All comments Trust sector-based and industry-based designate if it finds such longer period received will be posted without change; ETFs. The Underlying Index is also to be appropriate and publishes its the Commission does not edit personal designed to decrease overall equity reasons for so finding or (ii) as to which identifying information from exposure when the cash equivalents 1 the self-regulatory organization submissions. You should submit only consents, the Commission will: information that you wish to make 29 17 CFR 200.30–3(a)(12). (A) By order approve or disapprove available publicly. All submissions 1 The cash equivalents in which the Fund may the proposed rule change, or should refer to File Number SR– invest are 1- to 3-month U.S. Treasury Bills NYSEARCA–2016–25 and should be representing the component securities of an index (the Nasdaq US T-Bill Index (the ‘‘Cash Index’’)) 28 15 U.S.C. 78f(b)(5). submitted on or before April 12, 2016. that is a component of the Underlying Index.

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gain strength. The allocation of the Cash will be applicable that day to creation Shares of the Fund as described in more Index is evaluated and adjusted and redemption requests; detail below. periodically. The Cash Index may • The arbitrage mechanism will be Rule 101 of Regulation M constitute between 0% and 95% of the facilitated by the transparency of the weight of the Underlying Index. Fund’s portfolio and the availability of Generally, Rule 101 of Regulation M The Fund will seek to track the the intraday indicative value, the is an anti-manipulation rule that, performance of its Underlying Index by liquidity of securities held by the Fund, subject to certain exceptions, prohibits normally investing at least 80% of its the ability to acquire such securities, as any ‘‘distribution participant’’ and its total assets in the underlying exchange- well as arbitrageurs’ ability to create ‘‘affiliated purchasers’’ from bidding for, traded funds and the cash equivalents workable hedges; purchasing, or attempting to induce any that comprise the Underlying Index. In • The Fund will invest solely in person to bid for or purchase any light of the composition of the liquid securities; security which is the subject of a Underlying Index, the Fund intends to • The Fund will invest in securities distribution until after the applicable operate as an ‘‘ETF of ETFs.’’ Except for that will facilitate an effective and restricted period, except as specifically the fact that the Fund will operate as an efficient arbitrage mechanism and the permitted in the rule. Rule 100 of ETF of ETFs, the Fund will operate in ability to create workable hedges; Regulation M defines ‘‘distribution’’ to a manner identical to the underlying • All ETFs in which the Fund invests mean any offering of securities that is ETFs. will either meet all conditions set forth distinguished from ordinary trading The Requestors represent, among in one or more class relief letters,3 will transactions by the magnitude of the other things, the following: have received individual relief from the offering and the presence of special • Shares of the Fund will be issued Commission, will be able to rely on selling efforts and selling methods. The by the Trust, an open-end management individual relief even though they are provisions of Rule 101 of Regulation M investment company that is registered not named parties, or will be able to rely apply to underwriters, prospective with the Commission; underwriters, brokers, dealers, or other • on applicable class relief for actively- Creation Units will be continuously managed ETFs; 4 persons who have agreed to participate redeemable at the net asset value • The Trust believes that arbitrageurs or are participating in a distribution of (‘‘NAV’’) next determined after receipt are expected to take advantage of price securities. The Shares are in a of a request for redemption by the Fund, variations between the Fund’s market continuous distribution and, as such, the restricted period in which and the secondary market price of the price and its NAV; and distribution participants and their Shares should not vary substantially • A close alignment between the affiliated purchasers are prohibited from from the NAV of such Shares; market price of Shares and the Fund’s • bidding for, purchasing, or attempting to Shares of the Fund will be listed NAV is expected. and traded on The NASDAQ Stock induce others to bid for or purchase Market LLC or another exchange in Regulation M extends indefinitely. Based on the representations and facts accordance with exchange listing While redeemable securities issued by presented in the Letter, particularly that standards that are, or will become, an open-end management investment the Trust is a registered open-end effective pursuant to Section 19(b) of the company are excepted from the management investment company, that Exchange Act (the ‘‘Listing provisions of Rule 101 and 102 of 2 Creation Unit size aggregations of the Exchange’’); Regulation M, the Requestors may not • Shares of the Fund will be continuously The Fund seeks to track the rely upon that exception for the Shares.5 performance of the Underlying Index, redeemable at the NAV next determined However, we find that it is appropriate after receipt of a request for redemption all the components of which have in the public interest and is consistent publicly available last sale trade by the Fund, and that a close alignment with the protection of investors to grant between the market price of Shares and information; a conditional exemption from Rules 101 • The Listing Exchange will the Fund’s NAV is expected, the and 102 to persons who may be deemed disseminate continuously every 15 Commission finds that it is appropriate to be participating in a distribution of seconds throughout the trading day, in the public interest and consistent through the facilities of the with the protection of investors to grant 3 Exchange Act Rel. No. 67215 (Jun. 19, 2012), 77 the Trust an exemption under paragraph Consolidated Tape Association, the FR 37941 (Jun. 25, 2012); Letter from Catherine market value of a Share; McGuire, Esq., Chief Counsel, Division of Market (d) of Rule 101 of Regulation M with • The Listing Exchange, market data Regulation, to the Securities Industry Association respect to the Fund, thus permitting vendors or other information providers Derivative Products Committee (Nov. 21, 2005); persons participating in a distribution of will disseminate, every 15 seconds Letter from Racquel L. Russell, Branch Chief, Shares of the Fund to bid for or Division of Market Regulation, to George T. Simon, throughout the trading day, a Esq., Foley & Lardner LLP (Jun. 21, 2006); Letter purchase such Shares during their 6 calculation of the intraday indicative from James A. Brigagliano, Acting Associate participation in such distribution. Director, Division of Market Regulation, to Stuart value of a Share; Rule 102 of Regulation M • On each business day before the M. Strauss, Esq., Clifford Chance US LLP (Oct. 24, 2006); Letter from James A. Brigagliano, Associate Rule 102 of Regulation M prohibits opening of business on the Listing Director, Division of Market Regulation, to Exchange, the Fund will cause to be Benjamin Haskin, Esq., Willkie. Farr & Gallagher issuers, selling security holders, and any published through the National LLP (Apr. 9, 2007); or Letter from Josephine Tao, affiliated purchaser of such person from Securities Clearing Corporation the list Assistant Director, Division of Trading and Markets, bidding for, purchasing, or attempting to of the names and the quantities of to Domenick Pugliese, Esq., Paul, Hastings, Janofsky and Walker LLP (Jun. 27, 2007). 6 Additionally, we confirm the interpretation that securities of the Fund’s portfolio that 4 See Staff Legal Bulletin No. 9, ‘‘Frequently a redemption of Creation Unit size aggregations of Asked Questions About Regulation M’’ (Apr. 12, Shares of the Fund and the receipt of securities in 2 Further, the Letter states that should the Shares 2002) (regarding actively-managed ETFs). exchange by a participant in a distribution of Shares also trade on a market pursuant to unlisted trading 5 While ETFs operate under exemptions from the of the Fund would not constitute an ‘‘attempt to privileges, such trading will be conducted pursuant definitions of ‘‘open-end company’’ under Section induce any person to bid for or purchase, a covered to self-regulatory organization rules that have 5(a)(1) of the 1940 Act and ‘‘redeemable security’’ security during the applicable restricted period’’ become effective pursuant to Section 19(b) of the under Section 2(a)(32) of the 1940 Act, the Fund within the meaning of Rule 101 of Regulation M Exchange Act. and its securities do not meet those definitions. and therefore would not violate that rule.

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induce any person to bid for or purchase facts presented in the Letter, is exempt For the Commission, by the Division of a covered security during the applicable from the requirements of Rule 102 with Trading and Markets, pursuant to delegated 8 restricted period in connection with a respect to the Fund, thus permitting the authority. distribution of securities effected by or Fund to redeem Shares of the Fund Robert W. Errett, on behalf of an issuer or selling security during the continuous offering of such Deputy Secretary. holder. Shares. [FR Doc. 2016–06340 Filed 3–21–16; 8:45 am] Based on the representations and facts BILLING CODE 8011–01–P presented in the Letter, particularly that It is further ordered, pursuant to Rule the Trust is a registered open-end 10b–17(b)(2), that the Trust, based on management investment company, that the representations and the facts SECURITIES AND EXCHANGE Creation Unit size aggregations of the presented in the Letter and subject to COMMISSION the conditions below, is exempt from Shares of the Fund will be continuously [Release No. IC–32029; File No. 812–14600] redeemable at the NAV next determined the requirements of Rule 10b–17 with after receipt of a request for redemption respect to transactions in the shares of Principal Life Insurance Company, et by the Fund, and that a close alignment the Fund. al., Notice of Application between the market price of Shares and This exemptive relief is subject to the March 17, 2016. the Fund’s NAV is expected, the following conditions: Commission finds that it is appropriate AGENCY: Securities and Exchange • in the public interest and consistent The Trust will comply with Rule Commission (‘‘Commission’’). with the protection of investors to grant 10b–17 except for Rule 10b– ACTION: Notice of application for an the Trust an exemption under paragraph 17(b)(1)(v)(a) and (b); and order approving the substitution of (e) of Rule 102 of Regulation M with • The Trust will provide the certain securities pursuant to Section respect to the Fund, thus permitting the information required by Rule 10b– 26(c) of the Investment Company Act of Fund to redeem Shares of the Fund 17(b)(1)(v)(a) and (b) to the Listing 1940 (the ‘‘Act’’). during the continuous offering of such Exchange as soon as practicable before Shares. Applicants: Principal Life Insurance trading begins on the ex-dividend date, Company (‘‘PLIC’’) and Principal Life Rule 10b–17 but in no event later than the time when Insurance Company Separate Account B Rule 10b–17, with certain exceptions, the Listing Exchange last accepts (‘‘Separate Account’’) (together, the requires an issuer of a class of publicly information relating to distributions on ‘‘Applicants’’). traded securities to give notice of certain the day before the ex-dividend date. SUMMARY: Summary of Application: specified actions (for example, a This exemptive relief is subject to Applicants seek an order pursuant to dividend distribution) relating to such modification or revocation at any time Section 26(c) of the Act approving the class of securities in accordance with the Commission determines that such substitution of shares of Fidelity Rule 10b–17(b). Based on the action is necessary or appropriate in Variable Insurance Products Fund V Government Money Market Portfolio representations and facts in the Letter, furtherance of the purposes of the (the ‘‘Replacement Fund’’) for shares of and subject to the conditions below, we Exchange Act. Persons relying upon this find that it is appropriate in the public Principal Variable Contracts Funds, Inc. exemptive relief shall discontinue Money Market Account (the ‘‘Existing interest, and consistent with the transactions involving the Shares of the protection of investors to grant the Trust Fund’’) held by the Separate Account to Fund, pending presentation of the facts support variable annuity contracts a conditional exemption from Rule 10b– for the Commission’s consideration, in 17 because market participants will (each, a ‘‘Contract’’ and collectively, the the event that any material change ‘‘Contracts’’) issued by PLIC. receive timely notification of the occurs with respect to any of the facts existence and timing of a pending DATES: Filing Dates: The application was or representations made by the distribution, and thus the concerns that filed on January 14, 2016 and amended Requestors and, consistent with all the Commission raised in adopting Rule on February 29, 2016, March 7, 2016, 10b–17 will not be implicated.7 preceding letters, particularly with and March 14, 2016. respect to the close alignment between Hearing or Notification of Hearing: An Conclusion the market price of Shares and the order granting the requested relief will It is hereby ordered, pursuant to Rule Fund’s NAV. In addition, persons be issued unless the Commission orders 101(d) of Regulation M, that the Trust, relying on this exemption are directed a hearing. Interested persons may based on the representations and facts to the anti-fraud and anti-manipulation request a hearing by writing to the presented in the Letter, is exempt from provisions of the Exchange Act, Commission’s Secretary and serving the requirements of Rule 101 with particularly Sections 9(a) and 10(b), and applicants with a copy of the request, respect to the Fund, thus permitting Rule 10b–5 thereunder. personally or by mail. Hearing requests should be received by the Commission persons who may be deemed to be Responsibility for compliance with by 5:30 p.m. on April 7, 2016, and participating in a distribution of Shares these and any other applicable of the Fund to bid for or purchase such should be accompanied by proof of provisions of the federal securities laws Shares during their participation in service on applicants, in the form of an must rest with the persons relying on such distribution. affidavit or, for lawyers, a certificate of It is further ordered, pursuant to Rule these exemptions. This order should not service. Pursuant to Rule 0–5 under the 102(e) of Regulation M, that the Trust, be considered a view with respect to Act, hearing requests should state the based on the representations and the any other question that the proposed nature of the writer’s interest, any facts transactions may raise, including, but bearing upon the desirability of a 7 We also note that timely compliance with Rule not limited to the adequacy of the hearing on the matter, the reason for the 10b–17(b)(1)(v)(a) and (b) would be impractical in disclosure concerning, and the request, and the issues contested. light of the nature of the Fund. This is because it applicability of other federal or state is not possible for the Fund to accurately project ten Persons who wish to be notified of a days in advance what dividend, if any, would be laws to, the proposed transactions. paid on a particular record date. 8 17 CFR 200.30–3(a)(6) and (9).

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hearing may request notification by Form N–4. The application sets forth the V’’) was created under a declaration of writing to the Commission’s Secretary. registration file numbers for the trust under Massachusetts law and is ADDRESSES: Brent J. Fields, Secretary, Contracts under the Separate Account. registered as an open-end management U.S. Securities and Exchange 4. The Contracts are either individual investment company under the Act. Commission, 100 F Street NE., flexible premium deferred variable Fidelity VIP Fund V currently offers 32 Washington, DC 20549–1090; annuity contracts (‘‘Retail Contracts’’) or series, including the Replacement Fund. Applicants: Doug Hodgson, Principal group variable annuity contracts for Fidelity Management & Research Life Insurance Company, The Principal employer-sponsored qualified and non- Company (‘‘FMR’’), an investment Financial Group, Des Moines, Iowa qualified retirement plans (‘‘Group adviser registered under the Advisers 50392–0300. Contracts’’). The Retail Contracts are: Act, serves as the investment adviser of Principal Freedom Variable Annuity, FOR FURTHER INFORMATION CONTACT: the Replacement Fund, with overall Principal Investment Plus Variable Rochelle Kauffman Plesset, Senior responsibility for directing portfolio Annuity, Principal Variable Annuity Counsel, at (202) 551–6840, or Nadya investments and handling Fidelity VIP (Flexible Variable Annuity), Principal Roytblat, Assistant Chief Counsel at Fund V’s business affairs. Fidelity Variable Annuity (Flexible Variable (202) 551–0825 (Division of Investment Investments Money Management, Inc. Annuity with Purchase Payment Credit), (‘‘FIMM’’) and other affiliates of FMR Management, Chief Counsel’s Office). Principal Freedom 2 Variable Annuity, serve as sub-advisers to the SUPPLEMENTARY INFORMATION: The Principal Lifetime Income Solutions, Replacement Fund, with FIMM having following is a summary of the Principal Investment Plus Variable day-to-day responsibility of choosing application. The complete application Annuity, and Principal Pivot Series investments for the Replacement Fund. may be obtained via the Commission’s Variable Annuity (‘‘Pivot’’). The Group Effective December 1, 2015, the Web site by searching for the file Contracts are: Premier Variable Annuity fundamental concentration policy of the number, or an applicant using the Contract, Personal Variable Annuity Replacement Fund was modified in Company name box, at http:// Contract and Pension Builder Plus- such a manner as to enable it to operate www.sec.gov/search/search.htm or by Group Variable Annuity Contract. as a government money market fund. calling (202) 551–8090. 5. Pursuant to the Contracts, Retail None of Fidelity VIP Fund V, FMR, Applicants’ Representations Contract owners and Group Contracts FIMM, and other affiliates of FMR are plan participants (together referred to as affiliated persons (or affiliated persons 1. PLIC is a stock life insurance ‘‘Contract Owners’’) may select among of affiliated persons) of the Applicants company incorporated under the laws of several variable account investment or PVC. the state of Iowa. PLIC is authorized to options. Applicants state that, as 8. With the exception of Pivot, transact life insurance business in all disclosed in the prospectuses for the Applicants propose to substitute Initial states of the United States and the Contracts, PLIC reserves the right, Class Shares of the Replacement Fund District of Columbia. PLIC is a wholly- subject to Commission approval and for Class 1 Shares of the Existing Fund. owned indirect subsidiary of Principal compliance with applicable law, to With respect to Pivot, Applicants Financial Group, Inc. PLIC is the substitute shares of another registered propose to substitute Service Class 2 depositor and sponsor, as those terms open-end management investment Shares of the Replacement Fund for have been interpreted by the company for shares of a registered open- Class 2 Shares of the Existing Fund Commission with respect to variable end management investment company (together, the ‘‘Substitutions’’). annuity separate accounts, of the held by a subaccount of a Separate 9. Applicants represent that the Separate Account. PLIC established the Account. Replacement Fund is an appropriate Separate Account as a separate account 6. Principal Variable Contracts Funds, alternative for Contract Owners. under Iowa law on January 12, 1970. Inc. (‘‘PVC’’) is organized as a Maryland Applicants state that the Replacement 2. The Separate Account is a corporation and is registered as an open- Fund and the Existing Fund each has an ‘‘separate account’’ as defined in Rule end management investment company investment objective to seek current 0–1(e) under the Act and is registered as under the Act. PVC currently offers 37 income as is consistent with a unit investment trust under the Act. series, including the Existing Fund. preservation of capital and liquidity. In Under Iowa law, PLIC owns the assets Principal Management Corporation, addition, while the principal investment of the Separate Account attributable to (‘‘PMC’’), an investment adviser strategies of the Replacement Fund may the Contracts through which interests in registered under the Investment differ from those of the Existing Fund, the Separate Account are issued, but Advisers Act of 1940 (the ‘‘Advisers the goal of each is to maintain a net those assets are held separately from all Act’’), provides investment advisory asset value of $1.00 per share. other assets of PLIC for the benefit of the services and certain corporate Applicants note that although the risk owners of the Contracts and the persons administrative services to PVC and the profiles of the Replacement Fund and entitled to payment under the Contracts. Existing Fund. Principal Global the Existing Fund differ, applicants Consequently, the assets in the Separate Investors, an affiliate of PMC, is the sub- believe that the Replacement Fund Account are not chargeable with adviser for the Existing Fund and has entails less investment risk than the liabilities arising out of any other day-to-day responsibility for selecting Existing Fund. Additional information business that PLIC may conduct. investments for the Existing Fund. The about the Existing Fund and the 3. The Separate Account is divided Existing Fund serves as the only Replacement Fund, including into subaccounts. Each subaccount underlying money market investment investment objectives, principal invests exclusively in shares of a option for all Group Contracts. The investment strategies, principal risks corresponding underlying registered Existing Fund also served as the only and performance history, can be found open-end management investment underlying money market investment in the application. company. The Separate Account option for all Retail Contracts until the 10. Applicants represent that the supports the Contracts and interests in addition of the Replacement Fund Substitutions will result in a decrease in the Separate Account offered through effective on February 6, 2016. overall expenses, which benefits the such Contracts have been registered 7. Fidelity Variable Insurance Contract Owners. The application sets under the Securities Act of 1933 on Products Fund V (‘‘Fidelity VIP Fund forth the fees and expenses of the

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appropropriate class of the Existing directly or indirectly as a result of the any direct or indirect benefits from the Fund with the corresponding class of Substitution. Replacement Fund, its adviser or the Replacement Fund in greater detail. 16. Affected Contract Owners will be underwriter (or their affiliates), in 11. Applicants state that the board of permitted to make at least one transfer connection with assets attributable to directors of PVC voted to terminate the of Contract value from the subaccount Contracts affected by the proposed Existing Fund and liquidate its assets investing in the Existing Fund (before Substitutions, at a higher rate than they effective April 8, 2016. In light of the the Substitution Date) or the had received from the Existing Fund, its impending liquidation and the Replacement Fund (after the adviser or underwriter (or their importance of offering a money market Substitution Date) to any other available affiliates), including, without limitation, fund investment option for the investment option under the Contract 12b–1 fees, shareholder service, Contracts, the applicants determined without charge for a period beginning at administrative or other service fees, that the Substitutions are necessary and least 30 days before the Substitution revenue sharing, or other arrangements. in the best interests of Contract owners. Date through at least 30 days following Legal Analysis 12. Applicants represent that the the Substitution Date. Except as Substitutions and the selection of the described in any market timing/short- 1. Applicants request that the Replacement Fund were not motivated term trading provisions of the relevant Commission issue an order pursuant to by any financial consideration paid or to prospectus, PLIC will not exercise any Section 26(c) of the Act approving the be paid to PLIC or to its affiliates by the right it may have under the Contracts to proposed Substitutions. Section 26(c) of Replacement Fund, its adviser or impose restrictions on transfers between the Act requires the depositor of a underwriter, or their affiliates. the subaccounts under the Contracts, registered unit investment trust holding 13. Applicants state that as of the including limitations on the future securities of a single issuer to receive effective date of the Substitution, April number of transfers, for a period Commission approval before 8, 2016 (‘‘Substitution Date’’), shares of beginning at least 30 days before the substituting the securities held by the the Existing Fund will be redeemed for Substitution Date through at least 30 trust. Section 26(c) provides that such cash. PLIC, on behalf of the Existing days following the Substitution Date. approval shall be granted by order of the 17. All Group Contract Owners were Fund subaccount of the Separate Commission if the evidence establishes notified of this application by means of Account, will simultaneously place a that the substitution is consistent with a supplement to the Contract redemption request with the Existing the protection of investors and the prospectuses dated March 7, 2016. All purposes of the Act. Fund and a purchase order with the Retail Contract Owners were notified of 2. Applicants submit that the Replacement Fund so that the purchase the intent to file this application by Substitutions meet the standards set of Replacement Fund shares will be for means of a supplement to the Contract the exact amount of the redemption prospectuses dated December 11, 2015. forth in Section 26(c) and that, if proceeds. Thus, Contract values will Among other information regarding the implemented, the Substitutions would remain fully invested at all times. The Substitutions, the supplement informed not raise any of the concerns underlying proceeds of such redemptions will then Affected Contract Owners of the right to that provision. Applicants represent that be used to purchase the appropriate transfer Contract value from the the Substitutions will provide Contract number of shares of the Replacement subaccount investing in the Existing Owners with a comparable investment Fund. Fund (before the Substitution Date) or vehicle which will not circumvent 14. The Substitutions will take place the Replacement Fund (after the Contract Owner-initiated decisions and at relative net asset value (in accordance Substitution Date) to any other available PLIC’s obligations under the Contracts, with Rule 22c–1 under the Act) with no investment option under the Contract and will enable Contract Owners to change in the amount of the contract without charge. Additionally, a continue to use the full range of value, cash value, accumulation value, prospectus for the Replacement Fund applicable Contract features as they use account value or death benefit or in was included with the supplement. today. Applicants further state that the dollar value of the investment in the 18. On March 9, 2016 (30 days before Replacement Fund and the Existing Separate Account. PLIC or its affiliates the Substitution Date) Affected Contract Fund have essentially the same will pay all expenses and transaction Owners were provided a ‘‘Pre- investment objectives, the Replacement costs of the Substitutions, including Substitution Notice,’’ setting forth: (a) Fund entails less investment risk than legal and accounting expenses, any The intended substitution of the the Existing Fund, and the Substitutions applicable brokerage expenses and other Existing Fund with the Replacement will result in a decrease in overall fees and expenses. Fund; (b) the intended Substitution Date expenses, thereby benefiting Contract 15. The rights or obligations of PLIC (subject to approval and order by the Owners. under the Contracts of those Contract Commission); and (c) information with 3. Applicants state that, as disclosed Owners with interests in the subaccount respect to transfers. In addition, PLIC in the prospectuses for the Contract, of the Existing Fund (‘‘Affected Contract delivered a prospectus for the PLIC reserves the right, subject to Owners’’) will not be altered in any Replacement Fund with the Pre- Commission approval, to substitute way. The Substitutions will in no way Substitution Notice. shares of another registered open-end alter the tax treatment of Affected 19. PLIC will deliver to each Affected management investment company for Contract Owners in connection with Contract Owner within five (5) business shares of an open-end management their Contracts, and no tax liability will days of the Substitution Date, a written investment company held by a arise for Affected Contract Owners as a confirmation, which will include a subaccount of a Separate Account. result of the Substitutions. The confirmation that the Substitutions were Applicants determined that the Substitutions also will not adversely carried out as previously notified, a Substitutions are necessary and in the affect any riders under the Contracts. To restatement of the information set forth best interests of Contract Owners in the extent a Contract offers living in the Pre-Substitution Notice, and light of the impending liquidation of the benefits, death benefits, or other before and after account values. Existing Fund and the importance of guarantees, the value of any such 20. Applicants will not receive for offering a money market fund guarantee will not materially decrease three years from the Substitution Date, investment option for the Contracts.

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4. Applicants also assert that the 6. Affected Contract Owners will be SECURITIES AND EXCHANGE Substitutions do not entail any of the permitted to make at least one transfer COMMISSION abuses that Section 26(c) was designed of Contract value from the subaccount to prevent. Each Affected Contract investing in the Existing Fund (before [Release No. 34–77379; File No. SR–BATS– Owner has been advised of his right, the Substitution Date) or the 2016–16] any time prior to the Substitution Date, Replacement Fund (after the and for at least 30 days after the Substitution Date) to any other available Self-Regulatory Organizations; BATS Substitution Date, to reallocate account investment option under the Contract Exchange, Inc.; Notice of Filing of a value under the affected Contract without charge for a period beginning at Proposed Rule Change To List and without any cost or limitation, or least 30 days before the Substitution Trade Shares of the Pointbreak otherwise withdraw or terminate his Date through at least 30 days following Diversified Commodity Fund of the interest in accordance with the terms the Substitution Date. Except as Pointbreak ETF Trust Under BATS and conditions of his Contract. described in any market timing/short- Rule 14.11(i), Managed Fund Shares Furthermore, Contract Owners will not term trading provisions of the relevant incur any additional tax liability or any prospectus, PLIC will not exercise any March 16, 2016. additional fees or expenses as a result of right they may have under the Contracts Pursuant to section 19(b)(1) of the the Substitutions. to impose restrictions on transfers Securities Exchange Act of 1934 (the Applicants’ Conditions between the subaccounts under the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Contracts, including limitations on the notice is hereby given that on March 7, Applicants agree that any order future number of transfers, for a period 2016, BATS Exchange, Inc. (the granting the requested relief will be beginning at least 30 days before the ‘‘Exchange’’ or ‘‘BATS’’) filed with the subject to the following conditions: Substitution Date through at least 30 Securities and Exchange Commission 1. The Substitutions will not be days following the Substitution Date. (‘‘Commission’’) the proposed rule effected unless the Applicants 7. All Affected Contract Owners will change as described in Items I, II and III determine that: (a) The Contracts allow be notified, at least 30 days before the below, which Items have been prepared the substitution of shares of registered Substitution Date about: (a) The by the Exchange. The Commission is open-end investment companies in the publishing this notice to solicit manner contemplated by the intended substitution of the Existing Fund with the Replacement Fund; (b) comments on the proposed rule change application; (b) the Substitutions can be from interested persons. consummated as described in the the intended Substitution Date; and (c) application under applicable insurance information with respect to transfers as I. Self-Regulatory Organization’s laws; and (c) any regulatory set forth in Condition 6 above. In Statement of the Terms of Substance of requirements in each jurisdiction where addition, the Applicants will deliver to the Proposed Rule Change the Contracts are qualified for sale have all Affected Contract Owners, at least 30 been complied with to the extent days before the Substitution Date, a The Exchange filed a proposal to list necessary to complete the proposed prospectus for the Replacement Fund. and trade shares of the Pointbreak Substitutions. 8. Applicants will deliver to each Diversified Commodity Fund (the ‘‘Fund’’) of the Pointbreak ETF Trust 2. Applicants or their affiliates will Affected Contract Owner within five (5) (the ‘‘Trust’’) under BATS Rule 14.11(i) pay all expenses and transaction costs of business days of the Substitution Date a (‘‘Managed Fund Shares’’). The shares of the proposed Substitutions, including written confirmation which will the Fund are referred to herein as the legal and accounting expenses, any include: (a) A confirmation that the ‘‘Shares’’. applicable brokerage expenses and other proposed Substitutions were carried out fees and expenses. No fees or charges as previously notified; (b) a restatement The text of the proposed rule change will be assessed to the Affected Contract of the information set forth in the Pre- is available at the Exchange’s Web site Owners to effect the proposed Substitution Notice; and (c) before and at www.batstrading.com, at the Substitutions. after account values. principal office of the Exchange, and at 3. The Substitutions will be effected 9. Applicants will not receive, for the Commission’s Public Reference at the relative net asset values of the three years from the Substitution Date, Room. respective shares in conformity with any direct or indirect benefits from the II. Self-Regulatory Organization’s Section 22(c) of the Act and Rule 22c– Replacement Fund, its adviser or Statement of the Purpose of, and 1 thereunder without the imposition of underwriter (or their affiliates), in Statutory Basis for, the Proposed Rule any transfer or similar charges by connection with assets attributable to Change Applicants. The Substitutions will be Contracts affected by the Substitutions, effected without change in the amount at a higher rate than they had received In its filing with the Commission, the or value of any Contracts held by from the Existing Fund, its adviser or Exchange included statements Affected Contract Owners. underwriter (or their affiliates), concerning the purpose of and basis for 4. The Substitutions will in no way including without limitation 12b–1 fees, the proposed rule change and discussed alter the tax treatment of Affected shareholder service, administrative or any comments it received on the Contract Owners in connection with other service fees, revenue sharing, or proposed rule change. The text of these their Contracts, and no tax liability will other arrangements. statements may be examined at the arise for Affected Contract Owners as a For the Commission, by the Division of places specified in Item IV below. The result of the proposed Substitutions. Investment Management, under delegated Exchange has prepared summaries, set 5. The rights or obligations of the authority. forth in sections A, B, and C below, of PLIC under the Contracts of Affected the most significant parts of such Contract Owners will not be altered in Robert W. Errett, statements. any way. The Substitutions will not Deputy Secretary. adversely affect any riders under the [FR Doc. 2016–06410 Filed 3–21–16; 8:45 am] 1 15 U.S.C. 78s(b)(1). Contracts. BILLING CODE 8011–01–P 2 17 CFR 240.19b–4.

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(A) Self-Regulatory Organization’s Description of the Shares and the Fund prevent the use and dissemination of Statement of the Purpose of, and Pointbreak Advisers LLC is the material nonpublic information Statutory Basis for, the Proposed Rule investment adviser (‘‘Adviser’’) to the regarding the Fund’s portfolio. In the Change Fund. Brown Brothers Harriman & Co. event that (a) the Adviser becomes a broker-dealer or newly affiliated with a 1. Purpose (‘‘BBH’’) is the administrator, custodian and transfer agent for the Trust. ALPS broker-dealer, or (b) any new adviser or The Exchange proposes to list and Distributors, Inc. (‘‘Distributor’’) serves sub-adviser is a broker-dealer or trade the Shares under BATS Rule as the distributor for the Trust. The becomes affiliated with a broker-dealer, 14.11(i), which governs the listing and Adviser is not affiliated with either BBH it will implement a fire wall with trading of Managed Fund Shares on the or the Distributor. respect to its relevant personnel or such Exchange.3 The Fund will be an actively BATS Rule 14.11(i)(7) provides that, if broker-dealer affiliate, as applicable, managed fund that seeks to provide long the investment adviser to the regarding access to information term capital appreciation, primarily investment company issuing Managed concerning the composition and/or through exposure to the commodity Fund Shares is affiliated with a broker- changes to the portfolio, and will be futures markets. dealer, such investment adviser shall subject to procedures designed to The Shares will be offered by the erect a ‘‘fire wall’’ between the prevent the use and dissemination of Trust, which was organized as a investment adviser and the broker- material non-public information Delaware statutory trust on June 18, dealer with respect to access to regarding such portfolio. 2015. The Trust is registered with the information concerning the composition Pointbreak Diversified Commodity Fund Commission as an open-end investment and/or changes to such investment company and has filed a registration company portfolio.5 In addition, Rule According to the Registration statement on behalf of the Fund on 14.11(i)(7) further requires that Statement, the Fund is an actively Form N–1A (‘‘Registration Statement’’) personnel who make decisions on the managed exchange-traded fund (‘‘ETF’’) with the Commission.4 The Commodity investment company’s portfolio that seeks to provide total return that Futures Trading Commission (‘‘CFTC’’) composition must be subject to exceeds that of a benchmark, the has recently adopted substantial procedures designed to prevent the use Solactive Diversified Commodity Index amendments to CFTC Rule 4.5 relating and dissemination of material (the ‘‘Benchmark’’) over time. The Fund to the permissible exemptions and nonpublic information regarding the is not an index tracking exchange-traded conditions for reliance on exemptions applicable investment company fund and is not required to invest in the from registration as a commodity pool portfolio. Rule 14.11(i)(7) is similar to specific components of the Benchmark. operator. As a result of the instruments BATS Rule 14.11(b)(5)(A)(i), however, However, the Fund will generally seek that will be held by the Fund, prior to Rule 14.11(i)(7) in connection with the to maintain a portfolio of instruments listing on the Exchange, the Adviser establishment of a ‘‘fire wall’’ between similar to those included in the will be registered as a Commodity Pool the investment adviser and the broker- Benchmark and will seek exposure to Operator (‘‘CPO’’) and will become a dealer reflects the applicable open-end commodities included in the member of the National Futures fund’s portfolio, not an underlying Benchmark. The Benchmark is a rules- Association (‘‘NFA’’). The Fund and a benchmark index, as is the case with based index composed of futures wholly-owned subsidiary of the Fund index-based funds. The Adviser is not a contracts on 16 heavily traded organized under the laws of the Cayman registered broker-dealer and is not commodities across the energy, precious Islands (the ‘‘Subsidiary’’) will be affiliated with a broker-dealer. The metals, industrial metals and agriculture subject to regulation by the CFTC and Adviser personnel who make decisions sectors: Aluminum, Brent crude oil, NFA and additional disclosure, regarding the Fund’s portfolio are cocoa, copper, corn, gold, heating oil, reporting and recordkeeping rules subject to procedures designed to live cattle, natural gas, Reformulated imposed upon commodity pools. The Gasoline Blendstock for Oxygen Fund will generally obtain its exposure 5 An investment adviser to an open-end fund is Blending (‘‘RBOB’’) gasoline, silver, to commodity markets via investments required to be registered under the Investment soybeans, sugar #11, wheat, WTI light in the Subsidiary. These investments are Advisers Act of 1940 (the ‘‘Advisers Act’’). As a result, the Adviser and its related personnel are crude oil, and zinc. The allocation intended to provide the Fund with subject to the provisions of Rule 204A–1 under the among the Fund’s investments generally exposure to commodity markets in Advisers Act relating to codes of ethics. This Rule approximates the allocation among the accordance with applicable rules and requires investment advisers to adopt a code of components of the Benchmark. The regulations. Henceforth, references to ethics that reflects the fiduciary nature of the relationship to clients as well as compliance with Benchmark will further seek to select the investments of the Fund include other applicable securities laws. Accordingly, the contract month, for each specific investments of the Subsidiary to which procedures designed to prevent the communication commodity, among the next 13 months the Fund gains indirect exposure and misuse of non-public information by an that display the most backwardation, or through investment in the Subsidiary. investment adviser must be consistent with Rule 204A–1 under the Advisers Act. In addition, Rule the least contango, and does not attempt 206(4)–7 under the Advisers Act makes it unlawful to always own those contracts that are 3 The Commission approved BATS Rule 14.11(i) for an investment adviser to provide investment closest to expiration. Although the Fund in Securities Exchange Act Release No. 65225 advice to clients unless such investment adviser has seeks returns comparable to the returns (August 30, 2011), 76 FR 55148 (September 6, 2011) (i) adopted and implemented written policies and (SR–BATS–2011–018). procedures reasonably designed to prevent of the Benchmark, the Fund can have a 4 See Registration Statement on Form N–1A for violation, by the investment adviser and its higher or lower exposure to any the Trust, dated December 4, 2015 [sic] (File Nos. supervised persons, of the Advisers Act and the component within the Benchmark at 333–205324 and 811–23068). The descriptions of Commission rules adopted thereunder; (ii) any time and may invest in other the Fund and the Shares contained herein are implemented, at a minimum, an annual review based, in part, on information in the Registration regarding the adequacy of the policies and commodity-linked instruments as well, Statement. The Commission has issued an order procedures established pursuant to subparagraph (i) as described below. granting certain exemptive relief to the Trust under above and the effectiveness of their the Investment Company Act of 1940 (15 U.S.C. implementation; and (iii) designated an individual Principal Holdings 80a–1) (‘‘1940 Act’’) (the ‘‘Exemptive Order’’). See (who is a supervised person) responsible for Investment Company Act Release No. 30562 (June administering the policies and procedures adopted According to the Registration 18, 2013) (File No. 812–14041) [sic]. under subparagraph (i) above. Statement, under normal

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circumstances,6 the Fund will invest, by the Adviser. Unlike the Fund, the Fund will monitor its portfolio liquidity either directly or through the Subsidiary is not an investment on an ongoing basis to determine Subsidiary, in a combination of company registered under the 1940 Act. whether, in light of current Commodity Futures, as defined below, The Fund’s investment in the circumstances, an adequate level of and cash and cash-like instruments Subsidiary is intended to provide the liquidity is being maintained, and will (‘‘Cash Instruments’’). Commodity Fund with exposure to commodity consider taking appropriate steps in Futures include only the following markets in accordance with applicable order to maintain adequate liquidity if, instruments: Exchange-traded futures on rules and regulations. The Subsidiary through a change in values, net assets, commodities; and exchange-traded has the same investment objective and or other circumstances, more than 15% futures contracts on commodity indices. investment restrictions as the Fund. The of the Fund’s net assets are held in These instruments provide exposure to Fund will generally invest up to 25% of illiquid assets. Illiquid assets include the investment returns of the its total assets in the Subsidiary. assets subject to contractual or other commodities markets, without investing During times of adverse market, restrictions on resale and other directly in physical commodities. economic, political or other conditions, instruments that lack readily available Under normal circumstances, in the Fund may depart temporarily from markets as determined in accordance addition to investing in Commodity its principal investment strategies (such with Commission staff guidance. Aside Futures through the Subsidiary, the as by maintaining a significant from the Fund’s investments in the Fund will invest its remaining assets in uninvested cash position) for defensive Subsidiary, neither the Fund nor the Cash Instruments, including cash, cash- purposes. Doing so could help the Fund Subsidiary will invest in non-U.S. like instruments or high-quality avoid losses, but may mean lost equity securities or options. collateral securities that provide investment opportunities. During these The Fund’s investments will be liquidity, serve as margin, or periods, the Fund may not achieve its consistent with the Fund’s investment collateralize the Subsidiary’s investment objective. objective and will not be used to investments in Commodity Futures. The Fund intends to qualify each year achieve leveraged or inverse leveraged Such Cash Instruments include only the as a regulated investment company (a returns (e.g. two times or three times the following instruments: (i) Short-term ‘‘RIC’’) under Subchapter M of the Fund’s benchmark). obligations issued by the U.S. Internal Revenue Code of 1986, as Government; (ii) cash and cash-like amended.9 The Fund will invest its Net Asset Value instruments; (iii) money market mutual assets (including via the Subsidiary), According to the Registration funds, including affiliated money and otherwise conduct its operations, in Statement, the net asset value (‘‘NAV’’) market mutual funds; and (iv) a manner that is intended to satisfy the of the Shares of the Fund will be repurchase agreements.7 The Fund will qualifying income, diversification and calculated by dividing the value of the not invest in Cash Instruments that are distribution requirements necessary to net assets of the Fund (i.e., the value of below investment grade. establish and maintain RIC qualification its total assets less total liabilities) by The Fund generally will not invest under Subchapter M. the total number of Shares outstanding. directly in Commodity Futures. The Investment Restrictions Expenses and fees, including the Fund expects to gain exposure to management and administration fees, Commodity Futures by investing a The Fund may hold up to an aggregate are accrued daily and taken into account portion of its assets in the Subsidiary, amount of 15% of its net assets in for purposes of determining NAV. The which will invest in Commodity illiquid assets (calculated at the time of NAV of the Fund is generally Futures.8 The Subsidiary is also advised investment) deemed illiquid by the 10 11 determined at 4:00 p.m. Eastern Time Adviser under the 1940 Act. The each business day when the Exchange is 6 The term ‘‘under normal circumstances’’ open for trading. If the Exchange or includes, but is not limited to, the absence of interests of the Fund or its shareholders. The extreme volatility or trading halts in the futures Fund’s Board of Trustees (‘‘Board’’) has oversight market on which the Fund’s markets or the financial markets generally; responsibility for the investment activities of the investments are primarily traded closes operational issues causing dissemination of Fund, including its expected investment in the early, the NAV may be calculated prior inaccurate market information; or force majeure Subsidiary, and the Fund’s role as the sole to its normal calculation time. Creation/ type events such as systems failure, natural or man- shareholder of the Subsidiary. The Adviser receives made disaster, act of God, armed conflict, act of no additional compensation for managing the assets redemption transaction order time terrorism, riot or labor disruption or any similar of the Subsidiary. The Subsidiary will also enter cutoffs (as further described below) intervening circumstance. into separate contracts for the provision of custody, would also be accelerated. 7 The Fund follows certain procedures designed transfer agency, and accounting agent services with Securities and other assets held by the same or with affiliates of the same service to minimize the risks inherent in repurchase both the Fund and the Subsidiary are agreements. Such procedures include effecting providers that provide those services to the Fund. repurchase transactions only with large, well- 9 26 U.S.C. 851. generally valued at their market price capitalized, and well-established financial 10 In reaching liquidity decisions, the Adviser using market quotations or information institutions whose condition will be continually may consider the following factors: The frequency provided by a pricing service. Certain monitored by the Sub-Adviser [sic]. It is the current of trades and quotes for the security; the number of short-term debt securities are valued on policy of the Fund not to invest in repurchase dealers wishing to purchase or sell the security and agreements that do not mature within seven days the number of other potential purchasers; dealer the basis of amortized cost. Commodity if any such investment, together with any other undertakings to make a market in the security; and illiquid assets held by the Fund, amount to more the nature of the security and the nature of the Securities’’); Investment Company Act Release No. than 15% of the Fund’s net assets. The investments marketplace in which it trades (e.g., the time 18612 (March 12, 1992), 57 FR 9828 (March 20, of the Fund in repurchase agreements, at times, may needed to dispose of the security, the method of 1992) (Revisions of Guidelines to Form N–1A). A be substantial when, in the view of the Sub-Adviser soliciting offers, and the mechanics of transfer). fund’s portfolio security is illiquid if it cannot be [sic], liquidity or other considerations so warrant. 11 The Commission has stated that long-standing disposed of in the ordinary course of business 8 The Subsidiary is not registered under the 1940 Commission guidelines have required open-end within seven days at approximately the value Act and is not directly subject to its investor funds to hold no more than 15% of their net assets ascribed to it by the fund. See Investment Company protections, except as noted in the Registration in illiquid securities and other illiquid assets. See Act Release No. 14983 (March 12, 1986), 51 FR Statement. However, the Subsidiary is wholly- Investment Company Act Release No. 28193 (March 9773 (March 21, 1986) (adopting amendments to owned and controlled by the Fund and is advised 11, 2008), 73 FR 14618 (March 18, 2008), footnote Rule 2a–7 under the 1940 Act); Investment by the Adviser. Therefore, because of the Fund’s 34. See also, Investment Company Act Release No. Company Act Release No. 17452 (April 23, 1990), ownership and control of the Subsidiary, the 5847 (October 21, 1969), 35 FR 19989 (December 55 FR 17933 (April 30, 1990) (adopting Rule 144A Subsidiary would not take action contrary to the 31, 1970) (Statement Regarding ‘‘Restricted under the Securities Act of 1933).

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Futures are generally valued at their The Deposit Assets and Fund normal, the Fund may require orders to settlement price as determined by the Securities (as defined below), as the create or to redeem Creation Units to be relevant exchange. Repurchase case may be, in connection with a placed earlier in the day. agreements will generally be valued at purchase or redemption of a Creation A standard creation transaction fee bid prices received from independent Unit, generally will correspond pro rata, may be imposed to offset the transfer pricing services as of the announced to the extent practicable, to the assets and other transaction costs associated closing time for trading in such held by the Fund. with the issuance of Creation Units. instruments. Cash and cash equivalents The Cash Component will be an Shares of the Fund may be redeemed (other than money market mutual funds) amount equal to the difference between only in Creation Units at their NAV next also may be valued on the basis of the NAV of the Shares (per Creation determined after receipt of a redemption information furnished by an Unit) and the ‘‘Deposit Amount,’’ which request in proper form by the independent pricing service that uses a will be an amount equal to the market Distributor and only on a business day. valuation matrix which incorporates value of the Deposit Assets, and serve to Adviser will make available through the both dealer-supplied valuations and compensate for any differences between NSCC, prior to the opening of business electronic data processing techniques. the NAV per Creation Unit and the on the Exchange on each business day, Short-term debt securities with Deposit Amount. The Adviser will make the designated portfolio of assets remaining maturities of sixty days or available through the National (including any portion of such assets for less for which market quotations and Securities Clearing Corporation which cash may be substituted) that will information furnished by an (‘‘NSCC’’) on each business day, prior to be applicable (subject to possible independent pricing service are not the opening of business on the amendment or correction) to readily available will be valued at Exchange, the list of names and the redemption requests received in proper amortized cost. Shares of money market required number or par value of each form on that day (‘‘Fund Securities’’). mutual funds will be valued at their Deposit Asset and the amount of the The redemption proceeds for a Creation current Net Asset Value per share. Cash Component to be included in the Unit generally will consist of a specified For more information regarding the current Fund Deposit (based on amount of cash less a redemption valuation of Fund investments in information as of the end of the transaction fee. The Fund generally will calculating the Fund’s NAV, see the previous business day) for the Fund. redeem Creation Units entirely for cash. Registration Statement. The identity and number or par value A standard redemption transaction fee, in an amount disclosed in the The Shares of the Deposit Assets may change pursuant to changes in the composition current prospectus for the Fund, may be The Fund will issue and redeem of the Fund’s portfolio as rebalancing imposed to offset transfer and other Shares on a continuous basis at the NAV adjustments and corporate action events transaction costs that may be incurred per Share only in large blocks of a occur from time to time. The by the Fund. specified number of Shares or multiples composition of the Deposit Assets may Redemption requests for Creation thereof (‘‘Creation Units’’) in also change in response to adjustments Units of the Fund must be submitted to transactions with authorized to the weighting or composition of the the Distributor by or through an participants who have entered into holdings of the Fund. authorized participant by a time agreements with the Distributor. The The Fund reserves the right to permit specified by the Adviser. The Fund Adviser currently anticipates that a or require the substitution of a ‘‘cash in currently intends that such requests Creation Unit will consist of 50,000 lieu’’ amount to be added to the Cash must be received no later than 10:30 Shares, though this number may change Component to replace any Deposit Asset a.m. Eastern Time on any business day, from time to time, including prior to that may not be available in sufficient in order to receive that day’s NAV. The listing of the Shares. The exact number quantity for delivery or that may not be authorized participant must transmit the of Shares that will constitute a Creation request for redemption in the form Unit will be disclosed in the eligible for transfer through the Depository Trust Company (‘‘DTC’’) or required by the Fund to the Distributor Registration Statement. Once created, in accordance with procedures set forth Shares of the Fund may trade on the the clearing process through the NSCC.12 in the authorized participant agreement. secondary market in amounts less than Additional information regarding the Except as noted below, all creation a Creation Unit. Shares and the Fund, including orders must be placed for one or more Although the Adviser anticipates that investment strategies, risks, creation and Creation Units and must be received by purchases and redemptions for Creation redemption procedures, fees and the Distributor at a time specified by the Units will generally be executed on an expenses, portfolio holdings disclosure Adviser. The Fund currently intends all-cash basis, the consideration for policies, distributions, taxes and reports that such orders must be received in purchase of Creation Units of the Fund to be distributed to beneficial owners of proper form no later than 10:30 a.m. may consist of an in-kind deposit of a the Shares can be found in the Eastern Time on the date such order is designated portfolio of assets (including Registration Statement or on the Web placed in order for creation of Creation any portion of such assets for which site for the Fund Units to be effected based on the NAV cash may be substituted) (i.e., the (www.pointbreakETFs.com), as of Shares of the Fund as next ‘‘Deposit Assets’’), and the ‘‘Cash applicable. Component’’ computed as described determined on such date after receipt of below. Together, the Deposit Assets and the order in proper form. The Availability of Information the Cash Component constitute the ‘‘Settlement Date’’ is generally the third The Fund’s Web site, which will be ‘‘Fund Deposit,’’ which represents the business day after the transmittal date. publicly available prior to the public minimum initial and subsequent On days when the Exchange or the offering of Shares, will include a form investment amount for a Creation Unit futures markets close earlier than of the prospectus for the Fund that may of the Fund. The specific terms be downloaded. The Web site will 12 The Adviser represents that, to the extent the surrounding the creation and Trust permits or requires a ‘‘cash in lieu’’ amount, include additional quantitative redemption of shares are at the such transactions will be effected in the same or information updated on a daily basis, discretion of the Adviser. equitable manner for all authorized participants. including, for the Fund: (1) The prior

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business day’s reported NAV, the and will be updated and widely Disclosed Portfolio will be made closing market price or the midpoint of disseminated by one or more major available to all market participants at the bid/ask spread at the time of market data vendors at least every 15 the same time. calculation of such NAV (the ‘‘Bid/Ask seconds during the Exchange’s Regular Price’’),13 daily trading volume, and a Trading Hours.16 In addition, the Trading Halts calculation of the premium and quotations of certain of the Fund’s With respect to trading halts, the discount of the closing market price or holdings may not be updated for Exchange may consider all relevant Bid/Ask Price against the NAV; and (2) purposes of calculating Intraday factors in exercising its discretion to data in chart format displaying the Indicative Value during U.S. trading halt or suspend trading in the Shares of frequency distribution of discounts and hours where the market on which the the Fund. The Exchange will halt premiums of the daily closing market underlying asset is traded settles prior trading in the Shares under the price or Bid/Ask Price against the NAV, to the end of the Exchange’s Regular within appropriate ranges, for each of Trading Hours. conditions specified in BATS Rule the four previous calendar quarters. The dissemination of the Intraday 11.18. Trading may be halted because of Daily trading volume information for Indicative Value, together with the market conditions or for reasons that, in the Fund will be available in the Disclosed Portfolio, will allow investors the view of the Exchange, make trading financial section of newspapers, through to determine the value of the underlying in the Shares inadvisable. These may subscription services such as portfolio of the Fund on a daily basis include: (1) The extent to which trading Bloomberg, Thomson Reuters, and and provide an estimate of that value is not occurring in the Commodity International Data Corporation, which throughout the trading day. Futures and other assets composing the can be accessed by authorized Intraday price quotations on U.S. Disclosed Portfolio of the Fund; or (2) participants and other investors, as well government securities, debt securities, whether other unusual conditions or as through other electronic services, and repurchase agreements of the type circumstances detrimental to the including major public Web sites. On held by the Fund are available from maintenance of a fair and orderly each business day, before major broker-dealer firms and from market are present. Trading in the commencement of trading in Shares third-parties, which may provide prices Shares also will be subject to Rule during Regular Trading Hours 14 on the free with a time delay, or ‘‘live’’ with a 14.11(i)(4)(B)(iv), which sets forth Exchange, the Fund will disclose on its paid fee. For futures, such intraday circumstances under which Shares of Web site the identities and quantities of information is available directly from the Fund may be halted. the portfolio Commodity Futures and the applicable listing exchange. Intraday other assets (the ‘‘Disclosed Portfolio’’) price information is also available Trading Rules through subscription services, such as held by the Fund and the Subsidiary The Exchange deems the Shares to be that will form the basis for the Fund’s Bloomberg and Thomson Reuters, which can be accessed by authorized equity securities, thus rendering trading calculation of NAV at the end of the in the Shares subject to the Exchange’s business day.15 The Disclosed Portfolio participants and other investors. existing rules governing the trading of will include, as applicable: Ticker Information regarding market price equity securities. BATS will allow symbol or other identifier, a description and trading volume of the Shares will be trading in the Shares from 8:00 a.m. of the holding, identity of the asset upon continually available on a real-time which the derivative is based, the basis throughout the day on brokers’ until 5:00 p.m. Eastern Time. The quantity of each security or other asset computer screens and other electronic Exchange has appropriate rules to held as measured by select metrics, services. The previous day’s closing facilitate transactions in the Shares maturity date, coupon rate, effective price and trading volume information during all trading sessions. As provided date, market value and percentage for the Shares will be generally available in BATS Rule 14.11(i)(2)(C), the weight of the holding in the portfolio. daily in the print and online financial minimum price variation for quoting The Web site and information will be press. Quotation and last sale and entry of orders in Managed Fund publicly available at no charge. information for the Shares will be Shares traded on the Exchange is $0.01. available on the facilities of the CTA. In addition, for the Fund, an Surveillance estimated value, defined in BATS Rule Initial and Continued Listing 14.11(i)(3)(C) as the ‘‘Intraday Indicative The Exchange believes that its The Shares will be subject to BATS Value,’’ that reflects an estimated surveillance procedures are adequate to Rule 14.11(i), which sets forth the initial intraday value of the Fund’s portfolio, properly monitor the trading of the and continued listing criteria applicable will be disseminated. Moreover, the Shares on the Exchange during all Intraday Indicative Value will be based to Managed Fund Shares. The Exchange represents that, for initial and/or trading sessions and to deter and detect upon the current value for the violations of Exchange rules and the components of the Disclosed Portfolio continued listing, the Fund must be in compliance with Rule 10A–3 under the applicable federal securities laws. Trading of the Shares through the 13 The Bid/Ask Price of the Fund will be Act.17 A minimum of 100,000 Shares determined using the midpoint of the highest bid will be outstanding at the Exchange will be subject to the and the lowest offer on the Exchange as of the time commencement of trading on the Exchange’s surveillance procedures for of calculation of the Fund’s NAV. The records derivative products, including Managed relating to Bid/Ask Prices will be retained by the Exchange. The Exchange will obtain a Fund and its service providers. representation from the issuer of the Fund Shares. The Exchange may obtain 14 Regular Trading Hours are 9:30 a.m. to 4:00 Shares that the NAV will be calculated information regarding trading in the p.m. Eastern Time. daily and that the NAV and the Shares and the underlying futures, 15 Under accounting procedures to be followed by including futures contracts held by the the Fund, trades made on the prior business day (‘‘T’’) will be booked and reflected in NAV on the 16 Currently, it is the Exchange’s understanding Subsidiary, via the Intermarket current business day (‘‘T+1’’). Accordingly, the that several major market data vendors display and/ Surveillance Group (‘‘ISG’’) from other Fund will be able to disclose at the beginning of the or make widely available Intraday Indicative Values exchanges who are members or affiliates business day the portfolio that will form the basis published via the Consolidated Tape Association of the ISG or with which the Exchange for the NAV calculation at the end of the business (‘‘CTA’’) or other data feeds. day. 17 See 17 CFR 240.10A–3. has entered into a comprehensive

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surveillance sharing agreement.18 In in the Registration Statement. The is able to access, as needed, trade addition, the Exchange is able to access, Information Circular will also disclose information for certain fixed income as needed, trade information for certain the trading hours of the Shares of the instruments reported to FINRA’s fixed income instruments reported to Fund and the applicable NAV TRACE. FINRA’s Trade Reporting and calculation time for the Shares. The Under normal circumstances, the Compliance Engine (‘‘TRACE’’). The Information Circular will disclose that Fund will invest, either directly or Exchange prohibits the distribution of information about the Shares of the through the Subsidiary, in a material non-public information by its Fund will be publicly available on the combination of Commodity Futures and employees. Fund’s Web site. In addition, the Cash Instruments. Commodity Futures Information Circular will reference that provide exposure to the investment Information Circular the Trust is subject to various fees and returns of the commodities markets, Prior to the commencement of expenses described in the Registration without investing directly in physical trading, the Exchange will inform its Statement. commodities. The Fund generally will members in an Information Circular of not invest directly in Commodity the special characteristics and risks 2. Statutory Basis Futures. The Fund expects to gain associated with trading the Shares. The Exchange believes that the exposure to these investments by Specifically, the Information Circular proposal is consistent with section 6(b) investing a portion of its assets in the will discuss the following: (1) The of the Act 21 in general and section Subsidiary. Cash Instruments include procedures for purchases and 6(b)(5) of the Act 22 in particular in that only the following instruments: (i) redemptions of Shares in Creation Units it is designed to prevent fraudulent and Short-term obligations issued by the (and that Shares are not individually manipulative acts and practices, to U.S. Government; (ii) cash and cash-like redeemable); (2) BATS Rule 3.7, which promote just and equitable principles of instruments; and (iii) money market imposes suitability obligations on trade, to foster cooperation and mutual funds, including affiliated Exchange members with respect to coordination with persons engaged in money market mutual funds. The Fund recommending transactions in the facilitating transactions in securities, to will not invest in Cash Instruments that Shares to customers; (3) how remove impediments to and perfect the are below investment grade. information regarding the Intraday mechanism of a free and open market During times of adverse market, Indicative Value and Disclosed Portfolio and a national market system and, in economic, political or other conditions, are disseminated; (4) the risks involved general, to protect investors and the the Fund may depart temporarily from in trading the Shares during the Pre- public interest. its principal investment strategies (such Opening 19 and After Hours Trading The Exchange believes that the as by maintaining a significant Sessions 20 when an updated Intraday proposed rule change is designed to uninvested cash position) for defensive Indicative Value will not be calculated prevent fraudulent and manipulative purposes. Doing so could help the Fund or publicly disseminated; (5) the acts and practices in that the Shares will avoid losses, but may mean lost requirement that members deliver a be listed and traded on the Exchange investment opportunities. During these prospectus to investors purchasing pursuant to the initial and continued periods, the Fund may not achieve its newly issued Shares prior to or listing criteria in BATS Rule 14.11(i). investment objective. concurrently with the confirmation of a The Exchange believes that its Additionally, the Fund may hold up transaction; and (6) trading information. surveillance procedures are adequate to to an aggregate amount of 15% of its net In addition, the Information Circular properly monitor the trading of the assets in illiquid assets (calculated at will advise members, prior to the Shares on the Exchange during all the time of investment). The Fund will commencement of trading, of the trading sessions and to deter and detect monitor its portfolio liquidity on an prospectus delivery requirements violations of Exchange rules and the ongoing basis to determine whether, in applicable to the Fund. Members applicable federal securities laws. If the light of current circumstances, an purchasing Shares from the Fund for investment adviser to the investment adequate level of liquidity is being resale to investors will deliver a company issuing Managed Fund Shares maintained, and will consider taking prospectus to such investors. The is affiliated with a broker-dealer, such appropriate steps in order to maintain Information Circular will also discuss investment adviser to the investment adequate liquidity if, through a change any exemptive, no-action, and company shall erect a ‘‘fire wall’’ in values, net assets, or other interpretive relief granted by the between the investment adviser and the circumstances, more than 15% of the Commission from any rules under the broker-dealer with respect to access to Fund’s net assets are held in illiquid Act. information concerning the composition assets. Illiquid assets include assets In addition, the Information Circular and/or changes to such investment subject to contractual or other will reference that the Fund is subject company portfolio. The Adviser is not a restrictions on resale and other to various fees and expenses described registered broker-dealer and is not instruments that lack readily available affiliated with a broker-dealer. The markets as determined in accordance 18 For a list of the current members and affiliate Exchange may obtain information with Commission staff guidance. members of ISG, see www.isgportal.com. The The proposed rule change is designed Exchange notes that not all components of the regarding trading in the Shares and the Disclosed Portfolio for the Fund may trade on underlying futures, including those held to promote just and equitable principles markets that are members of ISG or with which the by the Subsidiary, via the ISG from of trade and to protect investors and the Exchange has in place a comprehensive other exchanges who are members or public interest in that the Exchange will surveillance sharing agreement. The Exchange also obtain a representation from the issuer notes that all of the futures contracts in the affiliates of the ISG or with which the Disclosed Portfolio for the Fund will trade on Exchange has entered into a of the Shares that the NAV will be markets that are a member of ISG or affiliate or with comprehensive surveillance sharing calculated daily and that the NAV and which the Exchange has in place a comprehensive agreement.23 In addition, the Exchange the Disclosed Portfolio will be made surveillance sharing agreement. available to all market participants at 19 The Pre-Opening Session is from 8:00 a.m. to 9:30 a.m. Eastern Time. 21 15 U.S.C. 78f. the same time. In addition, a large 20 The After Hours Trading Session is from 4:00 22 15 U.S.C. 78f(b)(5). amount of information is publicly p.m. to 5:00 p.m. Eastern Time. 23 See note 21, supra. available regarding the Fund and the

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Shares, thereby promoting market which can be accessed by authorized approve or disapprove such proposed transparency. Moreover, the Intraday participants and other investors. rule change, or (b) institute proceedings Indicative Value will be disseminated The proposed rule change is designed to determine whether the proposed rule by one or more major market data to perfect the mechanism of a free and change should be disapproved. vendors at least every 15 seconds during open market and, in general, to protect Regular Trading Hours. On each investors and the public interest in that IV. Solicitation of Comments business day, before commencement of it will facilitate the listing and trading Interested persons are invited to of additional types of actively-managed trading in Shares during Regular submit written data, views, and exchange-traded product that will Trading Hours, the Fund will disclose arguments concerning the foregoing, enhance competition among market on its Web site the Disclosed Portfolio including whether the proposed rule participants, to the benefit of investors that will form the basis for the Fund’s change is consistent with the Act. and the marketplace. As noted above, calculation of NAV at the end of the Comments may be submitted by any of the Exchange has in place surveillance business day. Pricing information will the following methods: be available on the Fund’s Web site procedures relating to trading in the including: (1) The prior business day’s Shares and may obtain information via Electronic Comments ISG from other exchanges that are reported NAV, the Bid/Ask Price of the • Fund, and a calculation of the premium members of ISG or with which the Use the Commission’s Internet and discount of the Bid/Ask Price Exchange has entered into a comment form (http://www.sec.gov/ against the NAV; and (2) data in chart comprehensive surveillance sharing rules/sro.shtml); or format displaying the frequency agreement as well as trade information • Send an email to rule-comments@ distribution of discounts and premiums for certain fixed income instruments as sec.gov. Please include File Number SR– of the daily closing market price or Bid/ reported to FINRA’s TRACE. In BATS–2016–16 on the subject line. Ask Price against the NAV, within addition, as noted above, investors will appropriate ranges, for each of the four have ready access to information Paper Comments regarding the Fund’s holdings, the previous calendar quarters. • Send paper comments in triplicate Intraday Indicative Value, the Disclosed Additionally, information regarding to Secretary, Securities and Exchange Portfolio, and quotation and last sale market price and trading of the Shares Commission, 100 F Street NE., information for the Shares. will be continually available on a real- Washington, DC 20549–1090. time basis throughout the day on For the above reasons, the Exchange brokers’ computer screens and other believes that the proposed rule change All submissions should refer to File electronic services, and quotation and is consistent with the requirements of Number SR–BATS–2016–16. This file last sale information for the Shares will section 6(b)(5) of the Act. number should be included on the be available on the facilities of the CTA. (B) Self-Regulatory Organization’s subject line if email is used. To help the The Web site for the Fund will include Statement on Burden on Competition Commission process and review your a form of the prospectus for the Fund comments more efficiently, please use and additional data relating to NAV and The Exchange does not believe that only one method. The Commission will other applicable quantitative the proposed rule change will impose post all comments on the Commission’s information. Trading in Shares of the any burden on competition that is not Internet Web site (http://www.sec.gov/ Fund will be halted under the necessary or appropriate in furtherance rules/sro.shtml). Copies of the conditions specified in BATS Rule of the purpose of the Act. The Exchange submission, all subsequent 11.18. Trading may also be halted notes that the proposed rule change, amendments, all written statements because of market conditions or for rather will facilitate the listing and with respect to the proposed rule reasons that, in the view of the trading of additional actively-managed change that are filed with the Exchange, make trading in the Shares exchange-traded products that will Commission, and all written inadvisable. Finally, trading in the enhance competition among both communications relating to the Shares will be subject to BATS Rule market participants and listing venues, proposed rule change between the 14.11(i)(4)(B)(iv), which sets forth to the benefit of investors and the Commission and any person, other than circumstances under which Shares of marketplace. those that may be withheld from the the Fund may be halted. In addition, as (C) Self-Regulatory Organization’s public in accordance with the noted above, investors will have ready Statement on Comments on the provisions of 5 U.S.C. 552, will be access to information regarding the Proposed Rule Change Received From available for Web site viewing and Fund’s holdings, the Intraday Indicative Members, Participants or Others printing in the Commission’s Public Value, the Disclosed Portfolio, and The Exchange has neither solicited Reference Room, 100 F Street NE., quotation and last sale information for nor received written comments on the Washington, DC 20549, on official the Shares. proposed rule change. business days between the hours of Intraday price quotations on U.S. 10:00 a.m. and 3:00 p.m. Copies of such government securities, debt securities, III. Date of Effectiveness of the filing will also be available for and repurchase agreements of the type Proposed Rule Change and Timing for inspection and copying at the principal held by the Fund are available from Commission Action office of the Exchange. All comments major broker-dealer firms and from Within 45 days of the date of received will be posted without change; third-parties, which may provide prices publication of this notice in the Federal the Commission does not edit personal free with a time delay, or ‘‘live’’ with a Register or within such longer period (i) identifying information from paid fee. For futures, such intraday as the Commission may designate up to submissions. You should submit only information is available directly from 90 days of such date if it finds such information that you wish to make the applicable listing exchange. Intraday longer period to be appropriate and available publicly. All submissions price information is also available publishes its reasons for so finding or should refer to File Number SR–BATS– through subscription services, such as (ii) as to which the Exchange consents, 2016–16 and should be submitted on or Bloomberg and Thomson Reuters, the Commission will: (a) by order before April 12, 2016.

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For the Commission, by the Division of the most significant aspects of such recently increased the capacity of its Trading and Markets, pursuant to delegated statements. wireless networks connecting Nasdaq’s authority.24 Carteret data center to those third-party A. Self-Regulatory Organization’s Robert W. Errett, data centers, so that they may now Statement of the Purpose of, and Deputy Secretary. support delivery of ITTO market data. Statutory Basis for, the Proposed Rule Nasdaq is proposing to deliver ITTO [FR Doc. 2016–06339 Filed 3–21–16; 8:45 am] Change BILLING CODE 8011–01–P market data to Nasdaq-owned cabinets 1. Purpose at the third-party data centers located in Nasdaq is proposing to amend Nasdaq Mahwah and Secaucus via a wireless SECURITIES AND EXCHANGE Options Market (‘‘NOM’’) Rules chapter network, as is currently done for COMMISSION XV, section 3, to establish fees for TotalView ITCH market data. This Remote ITCH to Trade Options offering, which is entirely optional, will [Release No. 34–77381; File No. SR– (‘‘ITTO’’) Wave Ports for clients co- enable delivery of Nasdaq ITTO market NASDAQ–2016–033] data to the third-party data centers at located at other third-party data centers 6 located in Mahwah, N.J. (‘‘Mahwah’’) the same low latency. Clients will have Self-Regulatory Organizations; The and Secaucus, N.J. (‘‘Secaucus’’), the option of cross-connecting to their Nasdaq Stock Market LLC; Notice of through which Nasdaq ITTO market subscribed ITTO Wave Ports in those Filing of Proposed Rule Change To data will be distributed after delivery to data centers to receive the ITTO data Offer Remote ITCH to Trade Options those data centers via a wireless feed. Nasdaq is proposing to assess an Wave Ports network. Nasdaq ITTO is a data feed installation charge for a Remote Wave that provides quotation information for March 16, 2016. Port in Mahwah of $5,000 and a charge individual orders on the NOM book, last Pursuant to section 19(b)(1) of the of $2,500 for a Remote Wave Port in sale information for trades executed on Securities Exchange Act of 1934 Secaucus. Nasdaq is also proposing a NOM, and Order Imbalance Information (‘‘Act’’),1 and Rule 19b-4 thereunder,2 monthly recurring fee of $10,000 for a as set forth in NOM Rules chapter VI, notice is hereby given that on March 2, Remote Wave Port in Mahwah and section 8.3 Nasdaq ITTO market data is 2016, The Nasdaq Stock Market LLC $7,500 for a Remote Wave Port in subscribed to under NOM Rules chapter (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Secaucus. Clients opting to subscribe to Securities and Exchange Commission XV, section 4. Nasdaq provides market data via two a Remote ITTO Wave Port will continue (‘‘SEC’’ or ‘‘Commission’’) the proposed connectivity mediums: Fiber optic to be fee liable for the applicable market rule change as described in Items I, II, networks, and/or wireless networks, data fees as described in NOM Rules and III below, which Items have been (aka, Remote Wave Ports). ITTO market chapter XV, section 4(a). prepared by the Exchange. The Competition for market data data is currently provided only by Commission is publishing this notice to distribution is considerable and the Nasdaq through fiber optic networks. solicit comments on the proposed rule Exchange believes that this proposal Nasdaq is now proposing to provide change from interested persons. clearly evidences such competition. ITTO market data through Remote Wave Nasdaq is offering a new data delivery Ports. A Remote Wave Port is a physical I. Self-Regulatory Organization’s option via Remote Wave Ports to keep port located in Nasdaq’s space within a Statement of the Terms of Substance of pace with changes in the industry and third-party’s (remote) data center that the Proposed Rule Change evolving customer needs as new receives market data delivered by The Exchange proposes to establish a technologies emerge and products Nasdaq via a wireless network,4 fee for a new optional wireless which continue to develop and change. The connectivity service, Remote ITCH to is then simultaneously distributed to new delivery option is similar to Trade Options Wave Ports. Wave Ports within that location. Clients existing offerings, entirely optional, and The text of the proposed rule change must separately subscribe to the data is geared towards attracting new is available on the Exchange’s Web site received by the Remote Wave Port customers, as well as retaining existing at http://nasdaq.cchwallstreet.com, at service. customers. Nasdaq offers TotalView ITCH the principal office of the Exchange, and The proposed fees are based on the equities market data through Remote at the Commission’s Public Reference cost to Nasdaq and its vendors of MITCH Wave Ports for clients co- Room. installing and maintaining the wireless located at third-party data centers in 5 connectivity and on the value provided II. Self-Regulatory Organization’s Mahwah and Secaucus. Nasdaq has to the customer, which receives low Statement of the Purpose of, and latency delivery of data feeds. The costs 3 See Nasdaq Options Rules chapter VI, section Statutory Basis for, the Proposed Rule associated with the wireless Change 1(a)(3)(A). 4 Wireless technology has been in existence for connectivity system are incrementally In its filing with the Commission, the many years, used primarily by the defense, retail, higher than fiber optics-based solutions Exchange included statements and telecommunications industries. Wireless due to the expense of the wireless connectivity involves the beaming of signals concerning the purpose of and basis for through the air between towers that are within sight equipment, cost of installation, and the proposed rule change and discussed of one another. Because the signals travel a straight, any comments it received on the unimpeded line, and because light waves travel notes that the higher ongoing fee for Mahwah is proposed rule change. The text of these faster through air than through glass (fiber optics), reflective of the longer distance from Carteret to message latency is reduced. The continued use of Mahwah requiring greater investment in statements may be examined at the this technology by the defense industry and infrastructure to connect the two locations. places specified in Item IV below. The regulation of the spectrum by the FCC demonstrates 6 Nasdaq cannot preclude minor latency variances Exchange has prepared summaries, set the secure nature of wireless networks. in delivery of Nasdaq ITTO in the third-party data forth in sections A, B, and C below, of 5 Nasdaq assesses a MITCH Wave Port installation centers to individual clients because it does not fee of $5,000 for Mahwah installations and an control the cross-connects in those centers; ongoing monthly fee of $12,500. See Nasdaq Rule however, the microwave connectivity will provide 24 17 CFR 200.30–3(a)(12). 7015(g)(1). Nasdaq assesses a MITCH Wave Port the same latency to all clients’ Remote ITTO Wave 1 15 U.S.C. 78s(b)(1). installation fee of $2,500 for Secaucus installations Ports and offers an improvement in latency over 2 17 CFR 240.19b–4. and an ongoing monthly fee of $7,500. Id. Nasdaq fiber optic network connectivity.

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testing. The differing fee levels between trading strategies not dependent upon is true of all co-location services, all co- Mahwah and Secaucus are reflective of co-location. Thus, the exchange located clients have the option to select higher cost of connecting to Mahwah charging excessive fees would stand to this voluntary connectivity option, and based on the longer distance to lose not only co-location and there is no differentiation among Mahwah, thus a higher network cost, connectivity revenues but also revenues customers with regard to the fees and higher charges incurred by Nasdaq associated with the execution of orders charged for the service. Further, the in co-locating and connecting within routed to it by affected members. latency reduction offered will be the Mahwah. Nasdaq notes that the Commission same for all clients who choose to The fees also allow Nasdaq to make a recently approved an NYSE MKT LLC receive this wireless feed from the profit, and reflect the premium received (‘‘NYSE MKT’’) rule change to offer Remote Wave Ports, The [sic] same by the clients in terms of lower latency similar services.10 Nasdaq believes that cannot be said of the alternative where over the fiber optics option. Clients can this competitive dynamic imposes entities with substantial resources choose to build and maintain their own powerful restraints on the ability of any invest in private services and thereby wireless networks or choose their own exchange to charge unreasonable fees obtain lower latency transmission, third party network vendors but the for co-location or connectivity services, while those without resources are upfront and ongoing costs will be much including fees for wireless connectivity. unable to invest in the necessary more substantial than this Nasdaq A co-location customer may obtain a infrastructure. wireless offering. similar service by contracting with a Nasdaq’s proposal is also consistent Nasdaq notes that the proposed fees wireless service provider to install the with the requirement of section 6(b)(5) are identical to, or less than, the required dishes on towers near the data of the Act that Exchange rules be analogous installation and monthly fees centers and paying the service provider designed to promote just and equitable assessed for Remote MITCH Wave Ports to maintain the service. However, the principles of trade [sic] to prevent located in the same third-party data cost involved in establishing service in fraudulent and manipulative acts and centers in Mahwah and Secaucus.7 this manner is substantial and could practices, to promote just and equitable result in uneven access to wireless principles of trade, to foster cooperation 2. Statutory Basis connectivity. Nasdaq’s proposed fees and coordination with persons engaged Nasdaq believes that its proposal is will allow these clients to utilize in regulating, clearing, settling, consistent with section 6(b) of the Act,8 wireless connectivity and obtain the processing information with respect to, in general, and with sections 6(b)(4) and lower latency transmission of data from and facilitating transactions in (b)(5) of the Act,9 in particular, in that Nasdaq that is available to others, at a securities, to remove impediments to it provides for the equitable allocation reasonable cost. and perfect the mechanism of a free and of reasonable dues, fees and other Moreover, Nasdaq believes that the open market and a national market charges among members and issuers and proposed fees for wireless connectivity system, and, in general, to protect other persons using any facility or to Nasdaq are reasonable because they investors and the public interest; and system which the Exchange operates or are based on Nasdaq’s and its vendors’ are not designed to permit unfair controls, and is designed to promote just costs to cover hardware, installation, discrimination between customers, and equitable principles of trade, to testing and connection, as well expenses issuers, brokers, or dealers. The remove impediments to and perfect the involved in maintaining and managing proposal is consistent with these mechanism of a free and open market the new connection. The proposed fees requirements insomuch as it makes and a national market system, and, in allow Nasdaq to recoup these costs and available to market participants, at a general to protect investors and the make a profit, while providing reasonable fee and on a non- public interest. customers the ability to reduce latency discriminatory basis, access to low Nasdaq operates in a highly in the transmission of data from Nasdaq, latency means of receiving Nasdaq’s competitive market in which exchanges and reducing the cost to them that market data feeds at third-party data offer co-location and connectivity would be involved if they build or buy centers. services as a means to facilitate the their own wireless networks. Initially, Nasdaq will perform trading activities of those members who Nasdaq believes that the proposed substantial network testing prior to believe that co-location and low latency fees are reasonable in that they reflect making the service available to connectivity enhances the efficiency of the costs of the connection and the members. After this testing period, the their trading. benefit of the lower latency to clients. wireless network will continue to be Accordingly, fees charged for co- Last [sic], the proposed fees are closely monitored and maintained by location and connectivity services are reasonable because they are identical to, the vendor and the client will be constrained by the active competition or less than, the analogous installation informed of any issues. Additionally, for the order flow of such members. If and monthly fees assessed by Nasdaq during the initial roll-out of the service a particular exchange charges excessive for Remote Wave Ports located in the and on a rolling basis for future clients, fees for these services, affected members same third-party data centers in the Exchange will enable clients to test will opt to terminate their co-location Mahwah and Secaucus that receive the receipt of the feed(s) for a minimum and/or connectivity arrangements with ITCH market data. of 30 days before incurring any monthly that exchange, and adopt a possible Nasdaq believes the proposed Remote recurring fees. Similar to receiving range of alternative strategies, including Wave Port fees are equitably allocated market data over fiber optic networks, using another vendor for connectivity and non-discriminatory in that all co- the wireless network can encounter services, co-locating with a different location clients that voluntarily select delays or outages due to equipment exchange, placing their servers in a this service option will be charged the issues. As wireless networks may be physically proximate location outside same amount for the same services. As affected by severe weather events, the exchange’s data center, or pursuing clients will be expected to have 10 See Securities Exchange Act Release No. 76750 redundant methods to receive this (December 23, 2015), 80 FR 81648 (December 30, 7 See Nasdaq Rule 7015(g)(1). 2015) (SR–NYSEMKT–2015–85)(approving the market data and will be asked to attest 8 15 U.S.C. 78f(b). offering of a wireless connection to allow users to to having alternate methods or 9 15 U.S.C. 78f(b)(4) and (5). receive market data feeds from third party markets). establishing an alternate method in the

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near future when they order this service C. Self-Regulatory Organization’s printing in the Commission’s Public from the Exchange. Statement on Comments on the Reference Room, 100 F Street NE., Proposed Rule Change Received From Washington, DC 20549, on official B. Self-Regulatory Organization’s Members, Participants or Others business days between the hours of Statement on Burden on Competition No written comments were either 10:00 a.m. and 3:00 p.m. Copies of such Nasdaq does not believe that the solicited or received. filing will also be available for proposed rule change will result in any inspection and copying at the principal III. Date of Effectiveness of the burden on competition that is not office of the Exchange. All comments Proposed Rule Change and Timing for received will be posted without change; necessary or appropriate in furtherance Commission Action the Commission does not edit personal of the purposes of the Act, as amended. Within 45 days of the date of identifying information from To the contrary, this proposal will publication of this notice in the Federal submissions. You should submit only promote competition for distribution of Register or within such longer period (i) information that you wish to make market data by offering an optional and as the Commission may designate up to available publicly. All submissions innovative product enhancement. 90 days of such date if it finds such should refer to File Number SR– Wireless technology has been in use for longer period to be appropriate and NASDAQ–2016–033 and should be decades, is available from multiple publishes its reasons for so finding or submitted on or before April 12, 2016. providers, and has been adopted by (ii) as to which the Exchange consents, For the Commission, by the Division of other exchanges to offer microwave the Commission shall: (a) By order Trading and Markets, pursuant to delegated connectivity for delivery of market data. approve or disapprove such proposed authority.11 As discussed above, the Exchange rule change, or (b) institute proceedings Robert W. Errett, believes that fees for co-location to determine whether the proposed rule Deputy Secretary. services, including those proposed for change should be disapproved. [FR Doc. 2016–06341 Filed 3–21–16; 8:45 am] microwave connectivity, are constrained IV. Solicitation of Comments BILLING CODE 8011–01–P by the robust competition for order flow Interested persons are invited to among exchanges and non-exchange submit written data, views, and markets, because co-location exists to SMALL BUSINESS ADMINISTRATION arguments concerning the foregoing, advance that competition. Further, including whether the proposed rule Reporting and Recordkeeping excessive fees for co-location services, change is consistent with the Act. Requirements Under OMB Review including for wireless technology, Comments may be submitted by any of would serve to impair an exchange’s the following methods: AGENCY: Small Business Administration. ability to compete for order flow rather ACTION: 30-Day Notice. than burdening competition. Electronic Comments SUMMARY: The Small Business Competition between the Exchange • Use the Commission’s Internet comment form (http://www.sec.gov/ Administration (SBA) is publishing this and competing trading venues will be notice to comply with requirements of enhanced by allowing the Exchange to rules/sro.shtml); or • Send an email to rule-comments@ the Paperwork Reduction Act (PRA) (44 offer its market participants a lower U.S.C. Chapter 35), which requires latency connectivity option to receive sec.gov. Please include File Number SR– NASDAQ–2016–033 on the subject line. agencies to submit proposed reporting market data, which is currently and recordkeeping requirements to available through other connectivity. Paper Comments OMB for review and approval, and to Competition among market participants • Send paper comments in triplicate publish a notice in the Federal Register will also be supported by allowing small to Brent J. Fields, Secretary, Securities notifying the public that the agency has and large participants the same price for and Exchange Commission, 100 F Street made such a submission. This notice this lower latency connectivity. NE., Washington, DC 20549–1090. also allows an additional 30 days for The proposed rule change will All submissions should refer to File public comments. likewise enhance competition among Number SR–NASDAQ–2016–033. This DATES: Submit comments on or before service providers offering connections file number should be included on the April 21, 2016. between market participants and the subject line if email is used. To help the ADDRESSES: Comments should refer to data centers. The offering will expand Commission process and review your the information collection by name and/ the multiple means of connectivity comments more efficiently, please use or OMB Control Number and should be available, allowing customers to only one method. The Commission will sent to: Agency Clearance Officer, Curtis compare the benefits and costs of lower post all comments on the Commission’s Rich, Small Business Administration, latency transmission and related costs Internet Web site (http://www.sec.gov/ 409 3rd Street SW., 5th Floor, with reference to numerous variables. rules/sro.shtml). Copies of the Washington, DC 20416; and SBA Desk submission, all subsequent Officer, Office of Information and The Exchange, and presumably its amendments, all written statements Regulatory Affairs, Office of competitors, selects service providers on with respect to the proposed rule Management and Budget, New a competitive basis in order to pass change that are filed with the Executive Office Building, Washington, along price advantages to their Commission, and all written DC 20503. customers, and to win and maintain communications relating to the FOR FURTHER INFORMATION CONTACT: their business. The offering is consistent proposed rule change between the Curtis Rich, Agency Clearance Officer, with the Exchange’s own economic Commission and any person, other than (202) 205–7030, [email protected]. incentives to facilitate as many market those that may be withheld from the Copies: A copy of the Form OMB 83– participants as possible in connecting to public in accordance with the 1, supporting statement, and other its market. provisions of 5 U.S.C. 552, will be available for Web site viewing and 11 17 CFR 200.30–3(a)(12).

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documents submitted to OMB for Economic Injury (EIDL) Loan disaster for Public Assistance Only for review may be obtained from the Application Deadline Date: 12/14/2016. the State of TEXAS (FEMA–4255–DR), Agency Clearance Officer. ADDRESSES: Submit completed loan dated 02/09/2016. SUPPLEMENTARY INFORMATION: Small applications to: U.S. Small Business Incident: Severe Winter Storms, Business Administration SBA Form 912 Administration, Processing and Tornadoes, Straight-line Winds, and is used to collect information needed to Disbursement Center, 14925 Kingsport Flooding. make character determinations with Road, Fort Worth, TX 76155. Incident Period: 12/26/2015 through 01/21/2016. respect to applicants for monetary loan FOR FURTHER INFORMATION CONTACT: A. assistance or applicants for participation Effective Date: 03/15/2016. Escobar, Office of Disaster Assistance, Physical Loan Application Deadline in SBA programs. The information U.S. Small Business Administration, Date: 04/11/2016. collected is used as the basis for 409 3rd Street SW., Suite 6050, Economic Injury (EIDL) Loan conducting name checks at national Washington, DC 20416. Application Deadline Date: 11/09/2016. Federal Bureau of Investigations (FBI) SUPPLEMENTARY INFORMATION: Notice is ADDRESSES: Submit completed loan and local levels. hereby given that as a result of the SBA is requesting that applicants applications to: U.S. Small Business President’s major disaster declaration on Administration, Processing and include their email contact information 03/14/2016, Private Non-Profit when listing their (or their firm’s) name Disbursement Center, 14925 Kingsport organizations that provide essential Road, Fort Worth, TX 76155. and address. SBA is also requesting services of governmental nature may file additional information pertaining to FOR FURTHER INFORMATION CONTACT: disaster loan applications at the address Alan Escobar, Office of Disaster applicants’ citizenship or Lawful listed above or other locally announced Permanent Resident status. SBA made Assistance, U.S. Small Business locations. Administration, 409 3rd Street SW., several minor changes to enhance the The following areas have been readability and clarity of the form, Suite 6050, Washington, DC 20416. determined to be adversely affected by SUPPLEMENTARY INFORMATION: The notice including renumbering Question 1, the disaster: revising the wording of Questions 2 and of the President’s major disaster 9, moving the burden information from Primary Counties: atlantic, bergen, declaration for Private Non-Profit Page 1 to Page 2, and explicitly burlington, camden, cape may, organizations in the State of TEXAS, instructing applicants that they ‘‘must’’ cumberland, essex, hudson, dated 02/09/2016, is hereby amended to fully complete SBA Form 912, including hunterdon, mercer, middlesex, include the following areas as adversely furnishing details on a separate sheet for monmouth, morris, ocean, affected by the disaster. any ‘‘Yes’’ responses to Questions 7, 8, somerset, union, warren. Primary Counties: Borden, Cass, or 9. The Interest Rates are: Collingsworth, Cottle, Crosby, Title: Statement of Personal History. Delta, Donley, Fisher, Floyd, Foard, Description of Respondents: Percent Franklin, Haskell, Hockley, Jones, Applicants participating in SBA Knox, Leon, Motley, Nolan, Scurry, For Physical Damage: programs. Non-Profit Organizations With Shackelford, Stonewall, Terry, Form Number: 912. Credit Available Elsewhere ... 2.625 Trinity, Walker, Wheeler, Estimated Annual Responses: Non-Profit Organizations With- Wilbarger. 142,000. out Credit Available Else- All other information in the original Estimated Annual Hour Burden: where ...... 2.625 declaration remains unchanged. 35,500. For Economic Injury: Non-Profit Organizations With- (Catalog of Federal Domestic Assistance Curtis B. Rich, out Credit Available Else- Numbers 59008) Management Analyst. where ...... 2.625 Lisa Lopez-Suarez, [FR Doc. 2016–06413 Filed 3–21–16; 8:45 am] Acting Associate Administrator for Disaster BILLING CODE 8025–01–P The number assigned to this disaster Assistance. for physical damage is 14669B and for [FR Doc. 2016–06387 Filed 3–21–16; 8:45 am] economic injury is 14670B. BILLING CODE 8025–01–P SMALL BUSINESS ADMINISTRATION (Catalog of Federal Domestic Assistance [Disaster Declaration #14669 and #14670] Numbers 59008) SMALL BUSINESS ADMINISTRATION New Jersey Disaster #NJ–00046 Lisa Lopez-Suarez, Acting Associate Administrator for Disaster [Disaster Declaration #14667 and #14668] AGENCY: U.S. Small Business Assistance. Administration. [FR Doc. 2016–06385 Filed 3–21–16; 8:45 am] Louisiana Disaster Number LA–00062 ACTION: Notice. BILLING CODE 8025–01–P AGENCY: U.S. Small Business Administration. SUMMARY: This is a Notice of the ACTION: Amendment 1. Presidential declaration of a major SMALL BUSINESS ADMINISTRATION disaster for Public Assistance Only for [Disaster Declaration #14625 and #14626] SUMMARY: This is an amendment of the the State of New Jersey (FEMA–4264– Presidential declaration of a major DR), dated 03/14/2016. Texas Disaster Number TX–00464 disaster for the State of Louisiana Incident: Severe Winter Storm and (FEMA–4263–DR), dated 03/13/2016. Snowstorm. AGENCY: U.S. Small Business Incident: Severe Storms and Flooding. Incident Period: 01/22/2016 through Administration. Incident Period: 03/08/2016 and 01/24/2016. ACTION: Amendment 1. continuing. Effective Date: 03/14/2016. Effective Date: 03/15/2016. Physical Loan Application Deadline SUMMARY: This is an amendment of the Physical Loan Application Deadline Date: 05/13/2016. Presidential declaration of a major Date: 05/12/2016.

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EIDL Loan Application Deadline Date: Gas Corporation, and King Valley Golf 3. Project Sponsor: Aqua 12/13/2016. Course; and (3) took additional actions, Pennsylvania, Inc. Project Facility: ADDRESSES: Submit completed loan as set forth in the SUPPLEMENTARY Midway Manor System, Kingston applications to: U.S. Small Business INFORMATION below. Township, Luzerne County, PA. Administration, Processing and DATES: March 10, 2016. Groundwater withdrawal of up to 0.035 Disbursement Center, 14925 Kingsport ADDRESSES: Susquehanna River Basin mgd (30-day average) from Hilltop Well. Road, Fort Worth, TX 76155. Commission, 4423 N. Front Street, 4. Project Sponsor: Aqua Pennsylvania, Inc. Project Facility: FOR FURTHER INFORMATION CONTACT: A. Harrisburg, PA 17110–1788. Midway Manor System, Kingston Escobar, Office of Disaster Assistance, FOR FURTHER INFORMATION CONTACT: Township, Luzerne County, PA. U.S. Small Business Administration, Jason E. Oyler, General Counsel, Groundwater withdrawal of up to 0.158 409 3rd Street SW., Suite 6050, telephone: (717) 238–0423, ext. 1312; mgd (30-day average) from Midway Washington, DC 20416. fax: (717) 238–2436; email: joyler@ Well 1. SUPPLEMENTARY INFORMATION: The notice srbc.net. Regular mail inquiries may be 5. Project Sponsor: Aqua of the Presidential disaster declaration sent to the above address. See also Pennsylvania, Inc. Project Facility: for the State of LOUISIANA, dated 03/ Commission Web site at www.srbc.net. Midway Manor System, Kingston 13/2016 is hereby amended to include SUPPLEMENTARY INFORMATION: In Township, Luzerne County, PA. the following areas as adversely affected addition to the actions taken on projects Groundwater withdrawal of up to 0.110 by the disaster: identified in the summary above and the mgd (30-day average) from Midway Primary Parishes: (Physical Damage and listings below, the following items were Well 2. Economic Injury Loans): also presented or acted upon at the 6. Project Sponsor and Facility: East Beauregard, Bienville, Caddo, business meeting: (1) Adoption of a Berlin Area Joint Authority, Reading Caldwell, De Soto, La Salle, budget for the 2017 fiscal year; (2) a Township, Adams County, PA. Livingston, Madison, Natchitoches, recommendation for engaging an Groundwater withdrawal of up to 0.044 Saint Tammany, Tangipahoa, independent auditor; (3) approval/ mgd (30-day average) from Well 1. Union, Vernon, Washington, West ratification of a grant amendment and 7. Project Sponsor and Facility: East Carroll, Winn. an agreement; and (4) a report on Berlin Area Joint Authority, Reading Contiguous Parishes/Counties: delegated settlements with the following Township, Adams County, PA. (Economic Injury Loans Only): project sponsors, pursuant to SRBC Groundwater withdrawal of up to 0.065 Louisiana: Allen, Ascension, Resolution 2014–15: Dauphin County mgd (30-day average) from Well 2. Avoyelles, Calcasieu, Catahoula, General Authority—Highlands Golf 8. Project Sponsor and Facility: East East Baton Rouge, Jefferson, Course, in the amount of $2,000; Berlin Area Joint Authority, East Berlin Jefferson Davis, Orleans, Sabine, Talisman Energy USA Inc., in the Borough, Adams County, PA. Saint Charles, Saint Helena, St John amount of $1,000; and Mountain Energy Groundwater withdrawal of up to 0.058 The Baptist, Tensas. Services, Inc., in the amount of $1,000. mgd (30-day average) from Well 4. 9. Project Sponsor and Facility: East Mississippi: Amite, Hancock, Marion, Compliance Matters Pearl River, Pike, Walthall, Warren. Berlin Area Joint Authority, East Berlin Texas: Cass, Harrison, Marion, The Commission approved Borough, Adams County, PA. Renewal Newton, Panola, Shelby. settlements in lieu of civil penalties for with modification to increase All other information in the original the following projects: groundwater withdrawal limit, for a declaration remains unchanged. 1. Aqua Pennsylvania, Inc. (Beech total of up to 0.051 mgd (30-day Mountain System), Butler Township, average) from Well 5 (Docket No. (Catalog of Federal Domestic Assistance Luzerne County, PA—$9,000. 19860601). Numbers 59008) 2. Cabot Oil & Gas Corporation 10. Project Sponsor and Facility: East Lisa Lopez-Suarez, (GillinghamR P1 Pad (ABR–201305017; Cocalico Township Authority, East Acting Associate Administrator for Disaster Forest Lake Township) and DeluciaR P1 Cocalico Township, Lancaster County, Assistance. Pad (ABR–201211002; Harford PA. Groundwater withdrawal of up to [FR Doc. 2016–06386 Filed 3–21–16; 8:45 am] Township)), Susquehanna County, PA— 0.059 mgd (30-day average) from Well BILLING CODE 8025–01–P $11,000. 3A. 3. King Valley Golf Course, Kimmel 11. Project Sponsor and Facility: East Township, Bedford County, PA— Cocalico Township Authority, East $10,000. Cocalico Township, Lancaster County, SUSQUEHANNA RIVER BASIN PA. Groundwater withdrawal of up to COMMISSION Project Applications Approved 0.023 mgd (30-day average) from Well 4. Actions Taken at March 10, 2016, The Commission approved the 12. Project Sponsor and Facility: East Meeting following project applications: Cocalico Township Authority, East 1. Project Sponsor and Facility: Cocalico Township, Lancaster County, AGENCY: Susquehanna River Basin Anadarko E&P Onshore LLC (Lycoming PA. Groundwater withdrawal of up to Commission. Creek), Lewis Township, Lycoming 0.056 mgd (30-day average) from Well 5. ACTION: Notice. County, PA. Renewal of surface water 13. Project Sponsor and Facility: East withdrawal of up to 1.340 mgd (peak Cocalico Township Authority, East SUMMARY: As part of its regular business day) (Docket No. 20120301). Cocalico Township, Lancaster County, meeting held on March 10, 2016, in 2. Project Sponsor: Aqua PA. Groundwater withdrawal of up to Aberdeen, Maryland, the Commission Pennsylvania, Inc. Project Facility: 0.022 mgd (30-day average) from Well 6. took the following actions: (1) Approved Midway Manor System, Kingston 14. Project Sponsor and Facility: East or tabled the applications of certain Township, Luzerne County, PA. Cocalico Township Authority, East water resources projects; (2) accepted Groundwater withdrawal of up to 0.115 Cocalico Township, Lancaster County, settlements in lieu of penalties from mgd (30-day average) from Dug Road PA. Groundwater withdrawal of up to Aqua Pennsylvania, Inc., Cabot Oil & Well. 0.046 mgd (30-day average) from Well 7.

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15. Project Sponsor and Facility: EQT Borough, Cambria County, PA. withdrawal of up to 0.900 mgd (peak Production Company (Wilson Creek), Groundwater withdrawal from the day) (Docket No. 20120303). Duncan Township, Tioga County, PA. Argyle Stone Bridge Well as part of a Project Application Approved Renewal of surface water withdrawal of four-well system drawing up to 6.300 Involving a Diversion up to 0.720 mgd (peak day) (Docket No. mgd (30-day average) from the Gallitzin 20120307). Shaft and Cresson Mine Pools. The Commission approved the 16. Project Sponsor and Facility: 25. Project Sponsor: Pennsylvania following project application involving Furman Foods, Inc., Point Township, Department of Environmental a diversion: Northumberland County, PA. Renewal Protection, Bureau of Conservation and 1. Project Sponsor: Gas Field of groundwater withdrawal to include a Restoration. Project Facility: Cresson Specialists, Inc. Project Facility: Wayne phased implementation of seasonal Mine Drainage Treatment Plant, Cresson Gravel Products Quarry, Ceres groundwater withdrawal limits for Well Township, Cambria County, PA. Township, McKean County, PA. Into- 1 (Docket No. 19850901). Groundwater withdrawal from the basin diversion from the Ohio River 17. Project Sponsor and Facility: Cresson No. 9 Well as part of a four-well Basin of up to 1.170 mgd (peak day). Furman Foods, Inc., Point Township, system drawing up to 6.300 mgd (30-day Authority: Public Law 91–575, 84 Stat. Northumberland County, PA. Renewal average) from the Gallitzin Shaft and 1509 et seq., 18 CFR parts 806, 807, and 808. of groundwater withdrawal to include a Cresson Mine Pools. Dated: March 17, 2016. phased implementation of seasonal 26. Project Sponsor: Pennsylvania Stephanie L. Richardson, groundwater withdrawal limits for Well Department of Environmental Secretary to the Commission. 4 (Docket No. 19850901). Protection, Bureau of Conservation and 18. Project Sponsor and Facility: [FR Doc. 2016–06428 Filed 3–21–16; 8:45 am] Restoration. Project Facility: Cresson BILLING CODE 7040–01–P Furman Foods, Inc., Point Township, Mine Drainage Treatment Plant, Northumberland County, PA. Renewal Gallitzin Township, Cambria County, of groundwater withdrawal to include a PA. Groundwater withdrawal from the DEPARTMENT OF TRANSPORTATION phased implementation of seasonal Gallitzin Shaft Well 2A (Gallitzin Shaft groundwater withdrawal limits for Well #2) as part of a four-well system Federal Aviation Administration 7 (Docket No. 19850901). drawing up to 6.300 mgd (30-day 19. Project Sponsor and Facility: average) from the Gallitzin Shaft and Public Notice For Waiver of Mount Joy Borough Authority, Mount Cresson Mine Pools. Aeronautical Land-Use Assurance Joy Borough, Lancaster County, PA. 27. Project Sponsor: Pennsylvania Mankato Regional Airport, Mankato, Modification to increase withdrawal Department of Environmental MN limit from Well 2 by 0.105 mgd (30-day Protection, Bureau of Conservation and average), for a total Well 2 withdrawal AGENCY: Federal Aviation Restoration. Project Facility: Cresson limit of 1.270 mgd (30-day average), and Administration, DOT Mine Drainage Treatment Plant, to increase the combined withdrawal ACTION: Notice of intent of waiver with Gallitzin Township, Cambria County, limit by an additional 0.199 mgd (30- respect to land. PA. Groundwater withdrawal from the day average), for a total combined Gallitzin Shaft Well 2B (Gallitzin Shaft withdrawal limit of 1.799 mgd (30-day SUMMARY: The Federal Aviation #1) as part of a four-well system average) from Wells 1 and 2 (Docket No. Administration (FAA) is considering a drawing up to 6.300 mgd (30-day 20110617). proposal to authorize the release of 2.35 20. Project Sponsor and Facility: average) from the Gallitzin Shaft and acres of the airport property at the Muncy Borough Municipal Authority, Cresson Mine Pools. Mankato Regional Airport, Mankato Muncy Creek Township, Lycoming 28. Project Sponsor and Facility: SWN MN. The City is proposing a land swap County, PA. Groundwater withdrawal of Production Company, LLC to exchange this 2.35 acre parcel for up to 0.324 mgd (30-day average) from (Susquehanna River), Mehoopany another parcel of 2.0 acres. Well 5. Township, Wyoming County, PA. The acreage being released is not 21. Project Sponsor and Facility: Surface water withdrawal of up to 1.500 needed for aeronautical use as currently Muncy Borough Municipal Authority, mgd (peak day). identified on the Airport Layout Plan. Muncy Creek Township, Lycoming 29. Project Sponsor and Facility: SWN The acreage comprising this parcel was County, PA. Groundwater withdrawal of Production Company, LLC originally acquired in 1982 and funded up to 0.352 mgd (30-day average) from (Susquehanna River), Oakland with an Airport Improvement Program Well 6. Township, Susquehanna County, PA. (AIP) grant (3–27–0055–05–87). In 22. Project Sponsor and Facility: Renewal of surface water withdrawal of exchange for the 2.35 acres the airport Muncy Borough Municipal Authority, up to 3.000 mgd (peak day) (Docket No. will receive a new parcel of land in the Muncy Creek Township, Lycoming 20120311). Runway Protection Zone (RPZ) to County, PA. Groundwater withdrawal of 30. Project Sponsor and Facility: SWN Runway 33. The FAA approved a up to 0.126 mgd (30-day average) from Production Company, LLC Categorical Exclusion for environmental Well 7. (Tunkhannock Creek), Lenox Township, requirements on May 30, 2014. 23. Project Sponsor and Facility: Susquehanna County, PA. Renewal of Approval does not constitute a Muncy Borough Municipal Authority, surface water withdrawal of up to 1.218 commitment by the FAA to financially Muncy Creek Township, Lycoming mgd (peak day) (Docket No. 20120312). assist in the disposal of the subject County, PA. Groundwater withdrawal of airport property nor a determination of Project Application Tabled up to 0.276 mgd (30-day average) from eligibility for grant-in-aid funding from Well 8. The Commission tabled action on the the FAA. The disposition of proceeds 24. Project Sponsor: Pennsylvania following project application: from the disposal of the airport property Department of Environmental 1. Project Sponsor and Facility: Black will be in accordance with FAA’s Policy Protection, Bureau of Conservation and Bear Waters, LLC (Lycoming Creek), and Procedures Concerning the Use of Restoration. Project Facility: Cresson Lewis Township, Lycoming County, PA. Airport Revenue, published in the Mine Drainage Treatment Plant, Cresson Application for renewal of surface water Federal Register on February 16, 1999.

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In accordance with section 47107(h) ACTION: Notice of Availability of a Final Policies and Procedures,’’ which is of title 49, United States Code, this Environmental Assessment (Final EA) compliant with FAA Order 1050.1F, notice is required to be published in the and Finding of No Significant Impact effective July 16, 2015, paragraph 1–9, Federal Register 30 days before (FONSI)/Record of Decision (ROD) for a pertaining to ongoing environmental modifying the land-use assurance that Proposed Airport Traffic Control Tower documents. In addition, FAA Order requires the property to be used for an and Base Building at Peoria 5050.4B, ‘‘National Environmental aeronautical purpose. International Airport, Peoria, Illinois. Policy Act (NEPA) Implementing DATES: Comments must be received on Instructions for Airport Actions’’ has or before April 21, 2016. SUMMARY: The Federal Aviation been used as guidance in the Administration (FAA) is issuing this ADDRESSES: Ms. Sandra E. DePottey, preparation of the environmental notice to advise the public that the FAA Program Manager, Federal Aviation analysis. has prepared, and approved on Administration, Airports District Office, December 15, 2015, a Finding of No Issued in Des Plaines, Illinois, on February 6020 28th Avenue South, Room 102, 17, 2016. Minneapolis, MN 55450–2706. Significant Impact (FONSI)/Record of Decision (ROD) based on the Final Virginia Marcks, Telephone Number (612) 253–4642/ Manager, Infrastructure Engineering Center, FAX Number (612) 253–4611. Environmental Assessment (Final EA) for a Proposed Airport Traffic Control Chicago, AJW–2C15H, Federal Aviation Documents reflecting this FAA action Administration. may be reviewed at this same location Tower (ATCT) with Associated Base Building at Peoria International Airport [FR Doc. 2016–06321 Filed 3–21–16; 8:45 am] or at the Minnesota Department of BILLING CODE 4910–13–P Transportation, 222 East Plato Blvd., St. (PIA), Peoria, Illinois. The FAA Paul, MN 55107. prepared the Final EA in accordance with the National Environmental Policy FOR FURTHER INFORMATION CONTACT: Ms. DEPARTMENT OF TRANSPORTATION Act and the FAA’s regulations and Sandra E. DePottey, Program Manager, guidelines for environmental documents Federal Aviation Administration, Federal Aviation Administration and was signed on September 25, 2015. Airports District Office, 6020 28th Copies of the FONSI/ROD and/or Final Avenue South, Room 102, Minneapolis, Notice of Request To Release Airport MN 55450–2706. Telephone Number EA are available by contacting Ms. Property (612) 253–4642/FAX Number (612) 253– Virginia Marcks through the contact information provided below. AGENCY: Federal Aviation 4611. Documents reflecting this FAA Administration (FAA), DOT. action may be reviewed at this same FOR FURTHER INFORMATION CONTACT: Ms. ACTION: Notice of Intent to Rule on location or at the Minnesota Department Virginia Marcks, Manager, Infrastructure Request to Release Airport Property at of Transportation, 222 East Plato Blvd., Engineering Center, AJW–2C15H, the Humboldt Municipal Airport, St. Paul, MN 55107. Federal Aviation Administration, 2300 Humboldt, Iowa. SUPPLEMENTARY INFORMATION: Following East Devon Avenue, Des Plaines, Illinois 60018. Telephone number: (847) 294– is a description of the subject airport SUMMARY: The FAA proposes to rule and property to be released at Mankato 7494. invites public comment on the release of Regional Airport in Mankato, Minnesota SUPPLEMENTARY INFORMATION: The Final land at the Humboldt Municipal, and described as follows: EA evaluated the construction and Humboldt, Iowa, under the provisions A parcel of land to the Southeast of operation of a new ATCT and Base of 49 U.S.C. 47107(h)(2). the Airport along the extended Building at PIA. The ATCT will be DATES: Comments must be received on centerline of Runway 15/33, East of located approximately 660 feet east of or before April 21, 2016. 594th Avenue, and North of 230th the existing ATCT facility on vacant ADDRESSES: Comments on this Street. Also identified as Lot 1, Block 3, land located on airport property. The Hilgers subdivision #2 (Hilgers Lot 1). application may be mailed or delivered new ATCT will be a Low Activity Level to the FAA at the following address: Said parcel subject to all easements, facility with a 440 square foot cab and restrictions, and reservations of record. Lynn D. Martin, Airports Compliance will be at an overall height of 162 feet Specialist, Federal Aviation Issued in Minneapolis, MN, on January 28, above ground level. The Base Building Administration, Airports Division, 2016. will be 11,000 sq. feet to house the ACE–610C, 901 Locust Room 364, Andy Peek, Terminal Radar Approach Control Kansas City, MO 64106. Manager, Dakota-Minnesota Airports District (TRACON) facility. The project also In addition, one copy of any Office, FAA, Great Lakes Region. includes, and the Final EA evaluated, comments submitted to the FAA must [FR Doc. 2016–06464 Filed 3–21–16; 8:45 am] construction of a paved parking area be mailed or delivered to: Humboldt BILLING CODE 4910–13–P next to the Base Building; site work, Airport Commission, Dave Dodgen, City including, grading, drainage, utilities, of Humboldt, 29 Fifth Street South, and fencing; decommissioning the Humboldt, IA 50548, 515–332–3435. DEPARTMENT OF TRANSPORTATION existing ATCT; modification to the existing FAA Remote Transmitter/ FOR FURTHER INFORMATION CONTACT: Federal Aviation Administration Receiver (RTR) and Low Level Lynn D. Martin, Airports Compliance Specialist, Federal Aviation Notice of Availability of a Final Windshear Alert System (LLWAS) including upgrade and/or relocation; Administration, Airports Division, Environmental Assessment (Final EA) ACE–610C, 901 Locust, Room 364, and a Finding of No Significant Impact unconditional approval of the revised Airport Layout Plan; and Federal Kansas City, MO 64106, (816) 329–2644, (FONSI)/Record of Decision (ROD) for [email protected]. The request to a Proposed Airport Traffic Control funding of the project. The Final EA has been prepared in release property may be reviewed, by Tower and Base Building at Peoria appointment, in person at this same International Airport, Peoria, Illinois. accordance with the National Environmental Policy Act (NEPA) of location. AGENCY: Federal Aviation 1969, as amended, and FAA Order SUPPLEMENTARY INFORMATION: The FAA Administration (FAA), DOT. 1050.1E, ‘‘Environmental Impacts: invites public comment on the request

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to release approximately 3.82 acres of DEPARTMENT OF TRANSPORTATION Spring/McMahon-Wrinkle Airport & airport property at the Humboldt Industrial Airpark, 3200 Rickabaugh Dr. Municipal Airport (0K7) under the Federal Aviation Administration West, Big Spring, TX 79720, telephone provisions of 49 U.S.C. 47107(h)(2). On (432) 264–2362, or Mr. Anthony Public Notice For Waiver for Mekhail, Federal Aviation January 18, 2016, the Airport Aeronautical Land-Use Assurance at Commission at the Humboldt Municipal Administration, Texas Airports Big Spring McMahon-Wrinkle Airport, Development Program Manager, 10101 Airport requested from the FAA that Big Spring, TX approximately 3.82 acres of property be Hillwood Parkway, Fort Worth, TX released for sale to AP Air for use as a AGENCY: Federal Aviation 76177, telephone (817) 222–5663, FAX storage and distribution facility. On Administration, DOT. (817) 222–5989. Documents reflecting March 10, 2016, the FAA determined ACTION: Notice of Intent for Waiver of this FAA action may be reviewed at the that the request to release property at Aeronautical Land-Use. above locations. the Humboldt Municipal Airport (0K7) Issued in Fort Worth, Texas on 15 January SUMMARY: The Federal Aviation 2016. submitted by the Sponsor meets the Administration (FAA) is considering a procedural requirements of the Federal Ignacio Flores, proposal to change a portion of the Manager, Airports Division, FAA, Southwest Aviation Administration and the release airport from aeronautical use to of the property does not and will not Region. nonaeronautical use and to authorize [FR Doc. 2016–06322 Filed 3–21–16; 8:45 am] impact future aviation needs at the the conversion of the airport property. BILLING CODE 4910–13–P airport. The FAA may approve the The proposal consists of one parcel of request, in whole or in part, no sooner land containing a total of approximately than thirty days after the publication of 120.4 acres and one parcel of land DEPARTMENT OF TRANSPORTATION this Notice. containing a total of approximately 86.0 The following is a brief overview of acres. Federal Motor Carrier Safety the request: Ownership of the associated property Administration transferred Webb Air Force Base to the Humboldt Municipal Airport (0K7) is City of Big Spring via an ‘‘Indenture’’ [Docket No. FMCSA–1998–4334; FMCSA– proposing the release of one parcel, of 1999–5578; FMCSA–1999–5748; FMCSA– between the United States of America 1999–6156; FMCSA–2000–7363; FMCSA– 3.82 acres, more or less. The release of and the City of Big Spring, Texas on 2001–10578; FMCSA–2003–15268; FMCSA– land is necessary to comply with October 6, 1978. The land comprising 2003–15892; FMCSA–2005–22194; FMCSA– Federal Aviation Administration Grant this parcel is outside the forecasted 2005–22727; FMCSA–2007–0017; FMCSA– Assurances that do not allow federally need for aviation development and, 2007–27897; FMCSA–2009–0154; FMCSA– acquired airport property to be used for thus, is no longer needed for indirect or 2009–0206; FMCSA–2009–0303; FMCSA– non-aviation purposes. The sale of the direct aeronautical use. The airport 2011–0092; FMCSA–2011–0142; FMCSA– 2011–0190; FMCSA–2011–0298; FMCSA– subject property will result in the land wishes to develop this land for 2011–0325; FMCSA–2013–0029; FMCSA– at the Humboldt Municipal Airport compatible commercial, 2013–0165; FMCSA–2013–0166; FMCSA– (0K7) being changed from aeronautical nonaeronautical use. The income from 2013–0167; FMCSA–2013–0168; FMCSA– to non-aeronautical use and release the the conversion of this parcel will benefit 2013–0169; FMCSA–2013–0170; FMCSA– lands from the conditions of the Airport the aviation community by reinvestment 2013–0174] Improvement Program Grant Agreement in the airport. Approval does not Qualification of Drivers; Exemption Grant Assurances. In accordance with constitute a commitment by the FAA to Applications; Vision 49 U.S.C. 47107(c)(2)(B)(i) and (iii), the financially assist in the conversion of airport will receive fair market value for the subject airport property nor a AGENCY: Federal Motor Carrier Safety the property, which will be determination of eligibility for grant-in- Administration (FMCSA), DOT. aid funding from the FAA. The subsequently reinvested in another ACTION: Notice of renewal of disposition of proceeds from the eligible airport improvement project for exemptions; request for comments. conversion of the airport property will general aviation facilities at the be in accordance with FAA’s Policy and SUMMARY: FMCSA announces its Humboldt Municipal Airport. Procedures Concerning the Use of decision to renew the exemptions from Any person may inspect, by Airport Revenue, published in the the vision requirement in the Federal appointment, the request in person at Federal Register on February 16, 1999. Motor Carrier Safety Regulations for 66 the FAA office listed above under FOR In accordance with Section 47107(h) of individuals. FMCSA has statutory FURTHER INFORMATION CONTACT. In Title 49, United States Code, this notice authority to exempt individuals from addition, any person may, upon is required to be published in the the vision requirement if the appointment and request, inspect the Federal Register 30 days before exemptions granted will not application, notice and other documents modifying the land-use assurance that compromise safety. The Agency has determined by the FAA to be related to requires the property to be used for an concluded that granting these the application in person at the aeronautical purpose. exemption renewals will provide a level Humboldt Municipal Airport. DATES: Comments must be received on of safety that is equivalent to or greater or before April 21, 2016. than the level of safety maintained Issued in Kansas City, MO, on March 11, without the exemptions for these 2016. ADDRESSES: Send comments on this document to Mr. Cameron Bryan, commercial motor vehicle (CMV) Jim A. Johnson, Federal Aviation Administration, Acting drivers. Manager, Airports Division. Manager, Texas Airports Development DATES: Each group of renewed [FR Doc. 2016–06320 Filed 3–21–16; 8:45 am] Office, 10101 Hillwood Parkway, Fort exemptions are effective from the dates BILLING CODE 4910–13–P Worth, TX 76177. stated in the discussions below. FOR FURTHER INFORMATION CONTACT: Mr. Comments must be received on or James F. Little, Director, City of Big before April 21, 2016.

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ADDRESSES: You may submit comments comment (or of the person signing the enforcement official. Each exemption bearing the Federal Docket Management comment, if submitted on behalf of an will be valid for two years unless System (FDMS) numbers: Docket No. association, business, labor union, etc.). rescinded earlier by FMCSA. The [Docket No. FMCSA–1998–4334; You may review DOT’s Privacy Act exemption will be rescinded if: (1) The FMCSA–1999–5578; FMCSA–1999– Statement for the Federal Docket person fails to comply with the terms 5748; FMCSA–1999–6156; FMCSA– Management System (FDMS) published and conditions of the exemption; (2) the 2000–7363; FMCSA–2001–10578; in the Federal Register on January 17, exemption has resulted in a lower level FMCSA–2003–15268; FMCSA–2003– 2008 (73 FR 3316). of safety than was maintained before it 15892; FMCSA–2005–22194; FMCSA– FOR FURTHER INFORMATION CONTACT: was granted; or (3) continuation of the 2005–22727; FMCSA–2007–0017; Christine A. Hydock, Chief, Medical exemption would not be consistent with FMCSA–2007–27897; FMCSA–2009– Programs Division, Medical Programs the goals and objectives of 49 U.S.C. 0154; FMCSA–2009–0206; FMCSA– Division, 202–366–4001, 31136(e) and 31315. 2009–0303; FMCSA–2011–0092; [email protected], FMCSA, Basis for Renewing Exemptions FMCSA–2011–0142; FMCSA–2011– Department of Transportation, 1200 Under 49 U.S.C. 31315(b)(1), an 0190; FMCSA–2011–0298; FMCSA– New Jersey Avenue SE., Room W64– exemption may be granted for no longer 2011–0325; FMCSA–2013–0029; 224, Washington, DC 20590–0001. than two years from its approval date FMCSA–2013–0165; FMCSA–2–13– Office hours are from 8:30 a.m. to 5 p.m. 0166; FMCSA–2013–0167; FMCSA– and may be renewed upon application Monday through Friday, except Federal for additional two year periods. The 2013–0168; FMCSA–2013–0169; holidays. FMCSA–2013–0170; FMCSA–2013– following group(s) of drivers will 0174], using any of the following SUPPLEMENTARY INFORMATION: receive renewed exemptions effective in methods: Background the month of February and are • Federal eRulemaking Portal: Go to discussed below. http://www.regulations.gov. Follow the Under 49 U.S.C. 31136(e) and 31315, As of February 9, 2016, and in on-line instructions for submitting FMCSA may renew an exemption from accordance with 49 U.S.C. 31136(e) and comments. the vision requirements in 49 CFR 31315, the following 54 individuals • Mail: Docket Management Facility; 391.41(b)(10), which applies to drivers have satisfied the conditions for U.S. Department of Transportation, 1200 of CMVs in interstate commerce, for a obtaining a renewed exemption from the New Jersey Avenue SE., West Building two-year period if it finds ‘‘such vision requirements (63 FR 66226; 64 Ground Floor, Room W12–140, exemption would likely achieve a level FR 16517; 64 FR 27027; 64 FR 40404; Washington, DC 20590–0001. of safety that is equivalent to or greater 64 FR 51568; 64 FR 54948; 64 FR 66962; • Hand Delivery or Courier: West than the level that would be achieved 65 FR 159; 65 FR 45817; 65 FR 77066; Building Ground Floor, Room W12–140, absent such exemption.’’ The 66 FR 41656; 66 FR 48504; 66 FR 53826; 1200 New Jersey Avenue SE., procedures for requesting an exemption 66 FR 66966; 66 FR 66969; 67 FR 71610; Washington, DC, between 9 a.m. and 5 (including renewals) are set out in 49 68 FR 37917; 68 FR 44837; 68 FR 48989; p.m., Monday through Friday, except CFR part 381. 68 FR 52811; 68 FR 54775; 68 FR 61860; Federal Holidays. Exemption Decision 68 FR 69432; 68 FR 69434; 70 FR 25878; • Fax: 1–202–493–2251. 70 FR 41811; 70 FR 42615; 70 FR 53412; Instructions: Each submission must This notice addresses 66 individuals 70 FR 57353; 70 FR 61165; 70 FR 71884; include the Agency name and the who have requested renewal of their 70 FR 72689; 70 FR 74102; 71 FR 644; docket number for this notice. Note that exemptions in accordance with FMCSA 71 FR 4632; 71 FR 6825; 72 FR 39879; DOT posts all comments received procedures. FMCSA has evaluated these 72 FR 40360; 72 FR 52419; 72 FR 62896; without change to http:// 66 applications for renewal on their 72 FR 62897; 72 FR 64273; 72 FR 67340; www.regulations.gov, including any merits and decided to extend each 72 FR 71993; 72 FR 71995; 72 FR 71998; personal information included in a exemption for a renewable two-year 73 FR 1395; 73 FR 5259; 73 FR 6246; 74 comment. Please see the Privacy Act period. Each individual is identified FR 34632; 74 FR 37295; 74 FR 43217; heading below. according to the renewal date. 74 FR 43221; 74 FR 43222; 74 FR 48343; Docket: For access to the docket to The exemptions are extended subject 74 FR 53581; 74 FR 57551; 74 FR 60021; read background documents or to the following conditions: (1) That 74 FR 60022; 74 FR 62632; 74 FR 65845; comments, go to http:// each individual has a physical 74 FR 65847; 75 FR 1450; 75 FR 1451; www.regulations.gov at any time or examination every year (a) by an 75 FR 4623; 76 FR 25766; 76 FR 37885; Room W12–140 on the ground level of ophthalmologist or optometrist who 76 FR 49528; 76 FR 53708; 76 FR 61143; the West Building, 1200 New Jersey attests that the vision in the better eye 76 FR 62143; 76 FR 64171; 76 FR 66123; Avenue SE., Washington, DC, between 9 continues to meet the requirements in 76 FR 70210; 76 FR 70212; 76 FR 70215; a.m. and 5 p.m., Monday through 49 CFR 391.41(b)(10), and (b) by a 76 FR 75942; 76 FR 78728; 76 FR 78729; Friday, except Federal holidays. The medical examiner who attests that the 76 FR 79760; 77 FR 543; 77 FR 545; 77 Federal Docket Management System individual is otherwise physically FR 3554; 78 FR 34143; 78 FR 47818; 78 (FDMS) is available 24 hours each day, qualified under 49 CFR 391.41; (2) that FR 52602; 78 FR 62935; 78 FR 63302; 365 days each year. If you want each individual provides a copy of the 78 FR 63307; 78 FR 64271; 78 FR 64274; acknowledgment that we received your ophthalmologist’s or optometrist’s 78 FR 66099; 78 FR 67452; 78 FR 67454; comments, please include a self- report to the medical examiner at the 78 FR 67462; 78 FR 68137; 78 FR 76395; addressed, stamped envelope or time of the annual medical examination; 78 FR 76704; 78 FR 76705; 78 FR 76707; postcard or print the acknowledgement and (3) that each individual provide a 78 FR 77778; 78 FR 77780; 78 FR 77782; page that appears after submitting copy of the annual medical certification 78 FR 78475; 78 FR 78477; 79 FR 2247; comments on-line. to the employer for retention in the 79 FR 2748; 79 FR 3919; 79 FR 4803): Privacy Act: Anyone may search the driver’s qualification file and retains a Larry Adams, Jr. (FL) electronic form of all comments copy of the certification on his/her Dennis S. Anderson (MN) received into any of our dockets by the person while driving for presentation to James S. Ayers (GA) name of the individual submitting the a duly authorized Federal, State, or local Garry A. Baker (OH)

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Edgar G. Baxter (FL) As of February 11, 2016 and in for each renewal applicant for a period Morris R. Beebe, II (CO) accordance with 49 U.S.C. 31136(e) and of two years is likely to achieve a level Craig J. Belles (NY) 31315, the following individual, Bobby of safety equal to that existing without John E. Bellosi, Jr. (MD) R. Cox (TN), has satisfied the conditions the exemption. William Bucaria, Jr. (FL) for obtaining a renewed exemption from Request for Comments Freddie A. Carrasquillo (TX) the vision requirements (79 FR 1908; 79 Martina B. Classen (IA) FR 14333). FMCSA will review comments Jimmie L. Crenshaw (AL) The driver was included in Docket received at any time concerning a Robert L. Cross, Jr. (MO) No. FMCSA–2013–0174. The exemption particular driver’s safety record and Herman R. Dahmer (MD) is effective as of February 11, 2016 and determine if the continuation of the Vincent DeMedici (PA) will expire on February 11, 2018. exemption is consistent with the Vernon J. Dohrn (MN) As of February 22, 2016, and in requirements at 49 U.S.C. 31136(e) and Michael M. Edleston (MA) accordance with 49 U.S.C. 31136(e) and 31315. However, FMCSA requests that Daniel W. Eynon (OH) 31315, the following 10 individuals interested parties with specific data Russell W. Foster (OH) have satisfied the conditions for concerning the safety records of these Richard L. Gandee (OH) obtaining a renewed exemption from the drivers submit comments by April 21, Christopher L. Granby (MI) vision requirements (72 FR 67340; 73 2016. James B. Grega (PA) FR 1395; 74 FR 65845; 76 FR 64169; 76 FMCSA believes that the James Hawthorne (NM) FR 70213; 76 FR 75943; 76 FR 78728; requirements for a renewal of an Britt D. Hazelwood (IL) 77 FR 539; 77 FR 541; 77 FR 10608; 79 exemption under 49 U.S.C. 31136(e) and Leonard R. Jackson (IN) FR 6993): 31315 can be satisfied by initially Kevin Jacoby (NJ) granting the renewal and then Wayne C. Knighton (NV) Brian K. Cline (NC) Jeremy W. Knott (NC) Richard D. Hackney (MO) requesting and evaluating, if needed, Michael R. Leftwich (GA) Mickey Lawson (NC) subsequent comments submitted by Michael S. Maki (MN) Robbey Nelson (NC) interested parties. As indicated above, Leonard A. Martin (NV) John E. Nichols (PA) the Agency previously published Dennis L. Maxcy (NY) Thomas M. Nubert (OH) notices of final disposition announcing Cameron S. McMillen (NM) Robert T. Reynolds (OH) its decision to exempt these 66 Joseph W. Meacham (MS) Glenn T. Riley (OH) individuals from the vision requirement David L. Menken (NY) Gary S. Warren (IA) in 49 CFR 391.41(b)(10). The final Gilberto Miramontes (TX) Chadwick L. Wyatt (NC) decision to grant an exemption to each Rashawn L. Morris (VA) The drivers were included in one of of these individuals was made on the Charles D. Oestreich (MN) the following dockets: Docket No. merits of each case and made only after Dean B. Ponte (MA) FMCSA–2007–0017; FMCSA–2011– careful consideration of the comments Jack E. Potts, Jr. (PA) 0190; FMCSA–2011–0298; FMCSA– received to its notices of applications. Andres Regalado (CA) 2011–0325. Their exemptions are The notices of applications stated in Riland O. Richardson (GA) effective as of February 22, 2016 and detail the qualifications, experience, Thenon D. Ridley (TX) will expire on February 22, 2018. and medical condition of each applicant Richard S. Robb (NM) As of February 27, 2016 and in for an exemption from the vision Harry Smith, Jr. (NC) accordance with 49 U.S.C. 31136(e) and requirements. That information is John R. Snyder (WA) 31315, the following individual, available by consulting the above cited Scott C. Star (NJ) Danielle Wilkins (CA), has satisfied the Federal Register publications. Kirk A. Thelen (MI) conditions for obtaining a renewed Interested parties or organizations Clifford B. Thompson, Jr. (SC) exemption from the vision requirements possessing information that would Roger L. Unser (OR) (79 FR 1908; 79 FR 14333). otherwise show that any, or all, of these Steven M. Veloz (CA) The driver was included in Docket drivers are not currently achieving the Daniel G. Wilson (IL) No. FMCSA–2013–0174. The exemption statutory level of safety should Jason M. Wolf (DE) is effective as of February 27, 2016 and immediately notify FMCSA. The Walter M. Yohn, Jr. (AL) will expire on February 27, 2018. Agency will evaluate any adverse The drivers were included in one of Each of the 66 applicants listed in the evidence submitted and, if safety is the following dockets: Docket Nos. groups above has requested renewal of being compromised or if continuation of FMCSA–1998–4334; FMCSA–1999– the exemption and has submitted the exemption would not be consistent 5578; FMCSA–1999–5748; FMCSA– evidence showing that the vision in the with the goals and objectives of 49 1999–6156; FMCSA–2000–7363; better eye continues to meet the U.S.C. 31136(e) and 31315, FMCSA will FMCSA–2001–10578; FMCSA–2003– requirement specified at 49 CFR take immediate steps to revoke the 15268; FMCSA–2003–15892; FMCSA– 391.41(b)(10) and that the vision exemption of a driver. 2005–22194; FMCSA–2005–22727; impairment is stable. In addition, a Submitting Comments FMCSA–2007–0017; FMCSA–2007– review of each record of safety while 27897; FMCSA–2009–0154; FMCSA– driving with the respective vision You may submit your comments and 2009–0206; FMCSA–2009–0303; deficiencies over the past two years material online or by fax, mail, or hand FMCSA–2011–0092; FMCSA–2011– indicates each applicant continues to delivery, but please use only one of 0142; FMCSA–2013–0029; FMCSA– meet the vision exemption these means. FMCSA recommends that 2013–0165; FMCSA–2013–0166; requirements. you include your name and a mailing FMCSA–2013–0167; FMCSA–2013– These factors provide an adequate address, an email address, or a phone 0168; FMCSA–2013–0169; FMCSA– basis for predicting each driver’s ability number in the body of your document 2013–0170. Their exemptions are to continue to drive safely in interstate so that FMCSA can contact you if there effective as of February 9, 2016 and will commerce. Therefore, FMCSA are questions regarding your expire on February 9, 2018. concludes that extending the exemption submission.

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To submit your comment online, go to Issued on: March 3, 2016. Privacy Act: In accordance with 5 http://www.regulations.gov and in the Larry W. Minor, U.S.C. 553(c), DOT solicits comments search box insert the docket numbers Associate Administrator for Policy. from the public to better inform its FMCSA–1998–4334; FMCSA–1999– [FR Doc. 2016–06390 Filed 3–21–16; 8:45 am] rulemaking process. DOT posts these 5578; FMCSA–1999–5748; FMCSA– BILLING CODE 4910–EX–P comments, without edit, including any 1999–6156; FMCSA–2000–7363; personal information the commenter FMCSA–2001–10578; FMCSA–2003– provides, to www.regulations.gov, as 15268; FMCSA–2003–15892; FMCSA– DEPARTMENT OF TRANSPORTATION described in the system of records 2005–22194; FMCSA–2005–22727; notice (DOT/ALL–14 FDMS), which can FMCSA–2007–0017; FMCSA–2007– Federal Motor Carrier Safety be reviewed at www.dot.gov/privacy. 27897; FMCSA–2009–0154; FMCSA– Administration II. Background 2009–0206; FMCSA–2009–0303; [Docket No. FMCSA–2015–0070] FMCSA–2011–0092; FMCSA–2011– On November 2, 2015, FMCSA 0142; FMCSA–2011–0190; FMCSA– Qualification of Drivers; Exemption published a notice of receipt of 2011–0298; FMCSA–2011–0325; Applications; Vision exemption applications from certain FMCSA–2013–0029; FMCSA–2013– individuals, and requested comments 0165; FMCSA–2–13–0166; FMCSA– AGENCY: Federal Motor Carrier Safety from the public (80 FR 67476). That 2013–0167; FMCSA–2013–0168; Administration (FMCSA), DOT. notice listed 36 applicants’ case FMCSA–2013–0169; FMCSA–2013– ACTION: Notice of final disposition. histories. The 36 individuals applied for 0170; FMCSA–2013–0174 and click the exemptions from the vision requirement SUMMARY: FMCSA announces its search button. When the new screen in 49 CFR 391.41(b)(10), for drivers who decision to exempt 36 individuals from appears, click on the blue ‘‘Comment operate CMVs in interstate commerce. the vision requirement in the Federal Now!’’ button on the right hand side of Under 49 U.S.C. 31136(e) and 31315, Motor Carrier Safety Regulations the page. On the new page, enter FMCSA may grant an exemption for a 2- (FMCSRs). They are unable to meet the information required including the year period if it finds ‘‘such exemption vision requirement in one eye for specific section of this document to would likely achieve a level of safety various reasons. The exemptions will which each comment applies, and that is equivalent to or greater than the enable these individuals to operate provide a reason for each suggestion or level that would be achieved absent commercial motor vehicles (CMVs) in recommendation. If you submit your such exemption.’’ The statute also interstate commerce without meeting comments by mail or hand delivery, allows the Agency to renew exemptions the prescribed vision requirement in submit them in an unbound format, no at the end of the 2-year period. one eye. The Agency has concluded that larger than 81⁄2 by 11 inches, suitable for Accordingly, FMCSA has evaluated the granting these exemptions will provide copying and electronic filing. If you 36 applications on their merits and a level of safety that is equivalent to or submit comments by mail and would made a determination to grant greater than the level of safety like to know that they reached the exemptions to each of them. maintained without the exemptions for facility, please enclose a stamped, self- these CMV drivers. III. Vision and Driving Experience of addressed postcard or envelope. the Applicants We will consider all comments and DATES: The exemptions were granted material received during the comment December 3, 2015. The exemptions The vision requirement in the period and may change the decision expire on December 3, 2017. FMCSRs provides: based on your comments. FMCSA may FOR FURTHER INFORMATION CONTACT: A person is physically qualified to issue a response at any time after the Christine A. Hydock, Chief, Medical drive a commercial motor vehicle if that close of the comment period. Programs Division, (202) 366–4001, person has distant visual acuity of at [email protected], FMCSA, least 20/40 (Snellen) in each eye Viewing Comments and Documents Department of Transportation, 1200 without corrective lenses or visual To view comments, as well as any New Jersey Avenue SE., Room W64– acuity separately corrected to 20/40 documents mentioned in this preamble, 113, Washington, DC 20590–0001. (Snellen) or better with corrective go to http://www.regulations.gov and in Office hours are 8:30 a.m. to 5 p.m., e.t., lenses, distant binocular acuity of a least the search box insert the docket number Monday through Friday, except Federal 20/40 (Snellen) in both eyes with or FMCSA–1998–4334; FMCSA–1999– holidays. If you have questions without corrective lenses, field of vision 5578; FMCSA–1999–5748; FMCSA– regarding viewing or submitting of at least 70° in the horizontal meridian 1999–6156; FMCSA–2000–7363; material to the docket, contact Docket in each eye, and the ability to recognize FMCSA–2001–10578; FMCSA–2003– Services, telephone (202) 366–9826. the colors of traffic signals and devices 15268; FMCSA–2003–15892; FMCSA– SUPPLEMENTARY INFORMATION: showing red, green, and amber (49 CFR 2005–22194; FMCSA–2005–22727; 391.41(b)(10)). FMCSA–2007–0017; FMCSA–2007– I. Electronic Access FMCSA recognizes that some drivers 27897; FMCSA–2009–0154; FMCSA– You may see all the comments online do not meet the vision requirement but 2009–0206; FMCSA–2009–0303; through the Federal Document have adapted their driving to FMCSA–2011–0092; FMCSA–2011– Management System (FDMS) at http:// accommodate their vision limitation 0142; FMCSA–2011–0190; FMCSA– www.regulations.gov. and demonstrated their ability to drive 2011–0298; FMCSA–2011–0325; Docket: For access to the docket to safely. The 36 exemption applicants FMCSA–2013–0029; FMCSA–2013– read background documents or listed in this notice are in this category. 0165; FMCSA–2–13–0166; FMCSA– comments, go to http:// They are unable to meet the vision 2013–0167; FMCSA–2013–0168; www.regulations.gov and/or Room requirement in one eye for various FMCSA–2013–0169; FMCSA–2013– W12–140 on the ground level of the reasons, including amblyopia, aniridia, 0170; FMCSA–2013–0174 and click West Building, 1200 New Jersey Avenue anisotropic amblyopia, Best disease, ‘‘Search.’’ Next, click ‘‘Open Docket SE., Washington, DC, between 9 a.m. branch retinal artery occlusion, chronic Folder’’ and you will find all documents and 5 p.m., Monday through Friday, retinal detachment, complete loss of and related comments. except Federal holidays. vision, corneal scar, fibrovascular

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ingrowth, hypertropia, macular restricting him or her to driving in Record Study prepared by the California degeneration, macular edema, macular intrastate commerce. Department of Motor Vehicles scar, partial coloboma, prosthetic eye, To evaluate the effect of these concluded that the best overall crash pseudophakia, refractive amblyopia, exemptions on safety, FMCSA predictor for both concurrent and retinal detachment, retinal vein considered the medical reports about nonconcurrent events is the number of occlusion, strabismic amblyopia. In the applicants’ vision as well as their single convictions. This study used 3 most cases, their eye conditions were driving records and experience with the consecutive years of data, comparing the not recently developed. Twenty-six of vision deficiency. experiences of drivers in the first 2 years the applicants were either born with To qualify for an exemption from the with their experiences in the final year. their vision impairments or have had vision requirement, FMCSA requires a Applying principles from these them since childhood. person to present verifiable evidence studies to the past 3-year record of the The 10 individuals that sustained that he/she has driven a commercial 36 applicants, 2 drivers were involved their vision conditions as adults have vehicle safely with the vision deficiency in crashes, and 3 drivers were convicted had it for a range of 2 to 54 years. for the past 3 years. Recent driving of moving violations in a CMV. All the Although each applicant has one eye performance is especially important in applicants achieved a record of safety which does not meet the vision evaluating future safety, according to while driving with their vision requirement in 49 CFR 391.41(b)(10), several research studies designed to impairment, demonstrating the each has at least 20/40 corrected vision correlate past and future driving likelihood that they have adapted their in the other eye, and in a doctor’s performance. Results of these studies driving skills to accommodate their opinion, has sufficient vision to perform support the principle that the best condition. As the applicants’ ample all the tasks necessary to operate a CMV. predictor of future performance by a driving histories with their vision Doctors’ opinions are supported by the driver is his/her past record of crashes deficiencies are good predictors of applicants’ possession of valid and traffic violations. Copies of the future performance, FMCSA concludes commercial driver’s licenses (CDLs) or studies may be found at Docket Number their ability to drive safely can be non-CDLs to operate CMVs. Before FMCSA–1998–3637. projected into the future. issuing CDLs, States subject drivers to FMCSA believes it can properly apply We believe that the applicants’ knowledge and skills tests designed to the principle to monocular drivers, intrastate driving experience and history evaluate their qualifications to operate a because data from the Federal Highway provide an adequate basis for predicting CMV. Administration’s (FHWA) former waiver their ability to drive safely in interstate All of these applicants satisfied the study program clearly demonstrate the commerce. Intrastate driving, like testing requirements for their State of driving performance of experienced interstate operations, involves residence. By meeting State licensing monocular drivers in the program is substantial driving on highways on the requirements, the applicants better than that of all CMV drivers interstate system and on other roads demonstrated their ability to operate a collectively (See 61 FR 13338, 13345, built to interstate standards. Moreover, CMV, with their limited vision, to the March 26, 1996). The fact that driving in congested urban areas satisfaction of the State. experienced monocular drivers exposes the driver to more pedestrian While possessing a valid CDL or non- demonstrated safe driving records in the and vehicular traffic than exists on CDL, these 36 drivers have been waiver program supports a conclusion interstate highways. Faster reaction to authorized to drive a CMV in intrastate that other monocular drivers, meeting traffic and traffic signals is generally commerce, even though their vision the same qualifying conditions as those required because distances between disqualified them from driving in required by the waiver program, are also them are more compact. These interstate commerce. They have driven likely to have adapted to their vision conditions tax visual capacity and CMVs with their limited vision in deficiency and will continue to operate driver response just as intensely as careers ranging for 3 to 54 years. In the safely. interstate driving conditions. The past three years, 2 drivers were involved The first major research correlating veteran drivers in this proceeding have in crashes, and 3 drivers were convicted past and future performance was done operated CMVs safely under those of moving violations in CMVs. in England by Greenwood and Yule in conditions for at least 3 years, most for The qualifications, experience, and 1920. Subsequent studies, building on much longer. Their experience and medical condition of each applicant that model, concluded that crash rates driving records lead us to believe that were stated and discussed in detail in for the same individual exposed to each applicant is capable of operating in the November 2, 2015 notice (80 FR certain risks for two different time interstate commerce as safely as he/she 67476). periods vary only slightly (See Bates has been performing in intrastate and Neyman, University of California commerce. Consequently, FMCSA finds IV. Basis for Exemption Determination Publications in Statistics, April 1952). that exempting these applicants from Under 49 U.S.C. 31136(e) and 31315, Other studies demonstrated theories of the vision requirement in 49 CFR FMCSA may grant an exemption from predicting crash proneness from crash 391.41(b)(10) is likely to achieve a level the vision requirement in 49 CFR history coupled with other factors. of safety equal to that existing without 391.41(b)(10) if the exemption is likely These factors—such as age, sex, the exemption. For this reason, the to achieve an equivalent or greater level geographic location, mileage driven and Agency is granting the exemptions for of safety than would be achieved conviction history—are used every day the 2-year period allowed by 49 U.S.C. without the exemption. Without the by insurance companies and motor 31136(e) and 31315 to the 36 applicants exemption, applicants will continue to vehicle bureaus to predict the listed in the notice of November 2, 2015 be restricted to intrastate driving. With probability of an individual (80 FR 67476). the exemption, applicants can drive in experiencing future crashes (See Weber, We recognize that the vision of an interstate commerce. Thus, our analysis Donald C., ‘‘Accident Rate Potential: An applicant may change and affect his/her focuses on whether an equal or greater Application of Multiple Regression ability to operate a CMV as safely as in level of safety is likely to be achieved by Analysis of a Poisson Process,’’ Journal the past. As a condition of the permitting each of these drivers to drive of American Statistical Association, exemption, therefore, FMCSA will in interstate commerce as opposed to June 1971). A 1964 California Driver impose requirements on the 36

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individuals consistent with the Clark M. Robinson (SC) standards, design, construction, and grandfathering provisions applied to Donald L. Schoendienst (MO) installation procedures to provide a drivers who participated in the Wesley C. Slattery (KS) replacement switch. DTC issued two Agency’s vision waiver program. James J. Slemmer, Jr. (PA) requests for proposals (RFPs) for Those requirements are found at 49 Jeffrey W. Smith (NC) procurement of the switch, and received CFR 391.64(b) and include the Mark R. Stevens (IA) only one proposal, which was not Buy following: (1) That each individual be Kevin A. Szafranski (ND) America-complaint. 49 U.S.C. 5323(j)(2) physically examined every year (a) by Gerry W. Talbott (VA) and 49 CFR 661.7(c)(2). In accordance an ophthalmologist or optometrist who Raymond W. Teemer (NJ) with 49 U.S.C. 5323(j)(3)(A), FTA is attests that the vision in the better eye In accordance with 49 U.S.C. 31136(e) providing notice of the non-availability continues to meet the requirement in 49 and 31315, each exemption will be valid waiver request and seeks public CFR 391.41(b)(10) and (b) by a medical for 2 years unless revoked earlier by comment before deciding whether to examiner who attests that the individual FMCSA. The exemption will be revoked grant the request. If granted, the waiver is otherwise physically qualified under if: (1) The person fails to comply with would apply for the switch identified in 49 CFR 391.41; (2) that each individual the terms and conditions of the the waiver request. provide a copy of the ophthalmologist’s exemption; (2) the exemption has DATES: Comments must be received by or optometrist’s report to the medical resulted in a lower level of safety than March 29, 2016. Late-filed comments examiner at the time of the annual was maintained before it was granted; or will be considered to the extent medical examination; and (3) that each (3) continuation of the exemption would practicable. individual provide a copy of the annual not be consistent with the goals and ADDRESSES: Please submit your medical certification to the employer for objectives of 49 U.S.C. 31136 and 31315. comments by one of the following retention in the driver’s qualification If the exemption is still effective at the means, identifying your submissions by file, or keep a copy in his/her driver’s end of the 2-year period, the person may docket number FTA–2016–0005: qualification file if he/she is self- apply to FMCSA for a renewal under 1. Web site: http:// employed. The driver must have a copy procedures in effect at that time. www.regulations.gov. Follow the of the certification when driving, for Issued on: March 16, 2016. instructions for submitting comments presentation to a duly authorized on the U.S. Government electronic Federal, State, or local enforcement Larry W. Minor, Associate Administrator for Policy. docket site. official. 2. Fax: (202) 493–2251. [FR Doc. 2016–06395 Filed 3–21–16; 8:45 am] V. Discussion of Comments 3. Mail: U.S. Department of BILLING CODE 4910–EX–P Transportation, 1200 New Jersey FMCSA received no comments in this Avenue SE., Docket Operations, M–30, proceeding. West Building, Ground Floor, Room DEPARTMENT OF TRANSPORTATION IV. Conclusion W12–140, Washington, DC 20590–0001. Federal Transit Administration 4. Hand Delivery: U.S. Department of Based upon its evaluation of the 36 Transportation, 1200 New Jersey exemption applications, FMCSA [Docket No. FTA–2016–0005] Avenue SE., Docket Operations, M–30, exempts the following drivers from the West Building, Ground Floor, Room vision requirement in 49 CFR Notice of Proposed Buy America W12–140, Washington, DC 20590–0001 391.41(b)(10), subject to the Waiver for Special Trackwork Turnout between 9 a.m. and 5 p.m., Monday requirements cited above (49 CFR Switch Components through Friday, except Federal holidays. 391.64(b)): AGENCY: Federal Transit Administration, Instructions: All submissions must Raymond H. Annis (CA) DOT. make reference to the ‘‘Federal Transit Joseph A. Basista (PA) Administration’’ and include docket ACTION: Notice of Proposed Buy America James T. Bauer (PA) number FTA–2016–0005. Due to the waiver and request for comment. Duane W. Brzuchalski (AZ) security procedures in effect since John D. Burns, Jr. (NY) SUMMARY: The Federal Transit October 2011, mail received through the Stephen J. Calandrino (PA) Administration (FTA) received a request U.S. Postal Service may be subject to Randall S. Canedy (PA) from the Detroit Transportation delays. Parties making submissions Rufus A. Dennis (TN) Corporation (DTC) for a Buy America responsive to this notice should David Diamond (IL) consider using an express mail firm to David D. Frey (FL) non-availability waiver for the procurement of two special trackwork ensure the prompt filing of any Jason T. Glaude (ME) submissions not filed electronically or Patrick Griffin (OK) turnout switch components (switch). The existing switches were installed as by hand. Note that all submissions Roger J. Hansen (WI) received, including any personal Elvin M. Hursh (PA) original equipment in 1987 and information therein, will be posted Tommy R. Jefferies (FL) designed to European standards, using without change or alteration to http:// Jeffrey A. Keefer (OH) AREMA 115RE rail throughout the Dale R. Knuppel (CO) turnout with a special 60E1A1 switch www.regulations.gov. For more James J. Kopesky (WI) point section. The proper operation of information, you may review DOT’s Richard W. Korthanke (KS) the switch is essential for the continued, complete Privacy Act Statement in the William E. Leimkuehler (CA) safe operations of DTC vehicles. DTC Federal Register published April 11, Michael R. Letson (MI) seeks a waiver for the switch because 2000 (65 FR 19477), or you may visit Jose A. Marco (TX) there are no domestic manufacturers of http://www.regulations.gov. Cole W. McLaughlin (SD) the switch. In addition, European design FOR FURTHER INFORMATION CONTACT: Javier R. Morales (CA) and the proprietary nature of the Laura Ames, FTA Attorney-Advisor, at Clarence L. Ogle (SD) equipment means that alternative (202) 366–2743 or [email protected]. Roy A. Quesada (PA) proposers would need to first SUPPLEMENTARY INFORMATION: The Rafael Quintero (TX) familiarize themselves with European purpose of this notice is to provide

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notice and seek public comment on automated control train system would Issued on March 16, 2016. whether the FTA should grant a Buy need to certify the switch’s performance Dana Nifosi, America non-availability waiver for the in order to ensure it could be safely Deputy Chief Counsel. Detroit Transportation Corporation used with the existing guideway switch [FR Doc. 2016–06375 Filed 3–21–16; 8:45 am] (DTC) for the procurement of machines. Moreover, DTC believes there BILLING CODE 4910–57–P replacement special trackwork turnout is inadequate competition for the project switch components. On July 13, 2015, and needs to move forward with this DTC requested a Buy America waiver important maintenance project. Thus, DEPARTMENT OF TRANSPORTATION for the switch because it is not produced DTC is seeking a Buy America non- in the United States in sufficiently and availability waiver under 49 CFR Federal Transit Administration reasonably available quantities or of a 661.7(c)(1) for the switch. [Docket No. FTA–2016–0006] satisfactory quality. 49 U.S.C. With certain exceptions, FTA’s Buy 5323(j)(2)(A); 49 CFR 661.7(c). Notice of Proposed Buy America America requirements prevent FTA By way of background, DTC is the Waiver for Steel Excavator With a from obligating an amount that may be owner and operator of the Detroit Continuous Wield Platform People Mover, which is the largest appropriated to carry out its program for municipal rail system in Michigan. It is a project unless ‘‘the steel, iron, and AGENCY: Federal Transit Administration, a fully automated light rail system that manufactured goods used in the project DOT. operates twelve (12) rail cars between are produced in the United States.’’ 49 ACTION: Notice of proposed Buy America thirteen (13) passenger stations on an U.S.C. 5323(j)(1). A manufactured waiver and request for comment. elevated single track in a 2.9 mile loop product is considered produced in the in Detroit’s central business district. In United States if: (1) All of the SUMMARY: The Federal Transit March 2015, DTC solicited bids to manufacturing processes for the product Administration (FTA) received a request procure special trackwork switch point take place in the United States; and (2) from the Metro North Railroad (MNR) for Turnout 3, which is located adjacent all of the components of the product are for a Buy America non-availability to the Maintenance Facility Building of U.S. origin. A component is waiver for the procurement of a steel excavator with a continuous wield and provides access to the building. The considered of U.S. origin if it is platform (CWP). MNR seeks to procure special trackwork of concern was manufactured in the United States, originally procured from Germany (by a CWP to clear the right-of-way after regardless of the origin of its Krupp Stahl AG) and is of European storms and thereby enabling the timely subcomponents. 49 CFR 661.5(d). If, standards, using AREMA 115RE rail resumption of passenger train service. however, FTA determines that ‘‘the throughout the turnout with special MNR seeks a waiver for the requirement 60E1A1 (formerly Zu-160) track point steel, iron, and goods produced in the that final assembly take place in the section. The project includes replacing United States are not produced in a United States because there is no stock rails that connect the switch point sufficient and reasonably available domestic manufacturer available to section to the original running rails, as amount or are not of a satisfactory produce the equipment. 49 U.S.C. well as rubber pads; both the rails and quality,’’ then FTA may issue a waiver 5323(j)(2) and 49 CFR 661.7(c)(2). In pads will be sourced domestically. The (non-availability waiver). 49 U.S.C. accordance with 49 U.S.C. 5323(j)(3)(A), waiver only applies to the switch 5323(j)(2)(B); 49 CFR 661.7(c). Under 49 FTA is providing notice of the non- component of the project. CFR 661.7(c)(1), ‘‘It will be presumed availability waiver request and seeks DTC issued the first RFP in March that the conditions exist to grant this public comment before deciding 2015 to thirteen (13) companies: non-availability waiver if no responsive whether to grant the request. If granted, Atlantic Track & Turnout Co.; LB Foster and responsible bid is received offering the waiver would apply to a one-time Co.; Cleveland Track Materials an item produced in the United States.’’ procurement only for the specific (Vossioh); Progress Rail Services Corp.; In addition, ‘‘If the Secretary denies an equipment identified in the waiver Unitrac Railroad Materials, Inc.; London application for a waiver . . . the request. Trackwork, Inc.; Skelton; Voestalpine Secretary shall provide to the applicant DATES: Nortrak, Inc.; RailWorks Projects, Inc.; Comments must be received by a written certification that—the steel, March 29, 2016. Late-filed comments All American Track; Construction Data iron, or manufactured goods, as Company; IntegriCo Composites; and will be considered to the extent applicable, (referred to in this practicable. Delta Railroad Construction, Inc. DTC subparagraph as the ‘item’) is produced received no responses. It contacted all in the United States in a sufficient and ADDRESSES: Please submit your the companies, and reissued the RFP in reasonably available amount; (i) the comments by one of the following May 2015 to six (6) firms that expressed item produced in the United States is of means, identifying your submissions by an interest in the project. From this RFP, a satisfactory quality; and (ii) includes docket number FTA–2016–0006: DTC only received one proposal, from a list of known manufacturers in the 1. Web site: http:// Delta Railroad Construction, Inc. (Delta). United States from which the item can www.regulations.gov. Follow the Delta, however, cannot comply with be obtained.’’ 49 U.S.C. 5323(j)(6). instructions for submitting comments Buy America requirements because the on the U.S. Government electronic only manufacturer of the switch is a The purpose of this notice is to docket site. German company. To change the publish DTC’s request and seek public 2. Fax: (202) 493–2251. manufacturer, Delta would need to re- comment from all interested parties in 3. Mail: U.S. Department of engineer the switch and modify the accordance with 49 U.S.C. 5323(j)(3)(A). Transportation, 1200 New Jersey ‘‘frog’’ section and guideway elements; Comments will help FTA understand Avenue SE., Docket Operations, M–30, this design would need to be certified. completely the facts surrounding the West Building, Ground Floor, Room Delta would then need to locate a request, including the merits of the W12–140, Washington, DC 20590–0001. domestic source to manufacture the re- request. A full copy of the request has 4. Hand Delivery: U.S. Department of engineered switch. Upon installation, been placed in docket number FTA– Transportation, 1200 New Jersey the proprietary software designer of the 2016–0005. Avenue SE., Docket Operations, M–30,

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West Building, Ground Floor, Room A CWP is a train that consists of second time an invitiation to re-bid W12–140, Washington, DC 20590–0001 several platform suitable for holding/ stating that the company’s workload between 9 a.m. and 5 p.m., Monday hauling and picking up or distributing was overbooked. Due to the fact that through Friday, except Federal holidays. a variety of materials, such as rocks, MNR did not receive a responsive bid Instructions: All submissions must riprap, dirt or debris. The equipment is for a CWP produced in the U.S. nor make reference to the ‘‘Federal Transit similar to a excavator which has an could it identify any potential bidders Administration’’ and include docket articulated arm, with the main through research and outreach, MNR number FTA–2016–0006. Due to the difference being that it rides on rails and seeks a non-availability waiver of the security procedures in effect since sits on a connected platform where it Buy America requirements for final can dump or pick up material from in October 2011, mail received through the assembly pursuant to 49 U.S.C. 5323 order to perform its functions. The main U.S. Postal Service may be subject to (j)(2)(B). delays. Parties making submissions tasks the MNR uses the CWP for is With certain exceptions, FTA’s Buy responsive to this notice should shoreline stabilization/restoration and consider using an express mail firm to for removing debris from the right-of- America requirements prevent FTA ensure the prompt filing of any way after storms. from obligating an amount that may be submissions not filed electronically or MNR prepared and advertised a appropriated to carry out its program for by hand. Note that all submissions solicitation for the CWP on January 9, a project unless ‘‘the steel, iron, and received, including any personal 2015. Bids were due and opened on manufactured goods used in the project February 5, 2015. The solicitation was information therein, will be posted are produced in the United States.’’ 49 advertised in local newspapers, the New without change or alteration to http:// U.S.C. 5323(j)(1). A manufactured York State Contract Report and the MTA www.regulations.gov. For more product is considered produced in the Metro-North Web site. A single bid was information, you may review DOT’s United States if: (1) All of the submitted by BRRI, a Canadian firm. complete Privacy Act Statement in the manufacturing processes for the product BRRI submitted a Certificate of Non- Federal Register published April 11, take place in the United States; and (2) Compliance because the final assembly 2000 (65 FR 19477), or you may visit all of the components of the product are of the equipment would take place in http://www.regulations.gov. Canada, although content of the material of U.S. origin. A component is FOR FURTHER INFORMATION CONTACT: used would be 77% domestic origin. considered of U.S. origin if it is Laura Ames, FTA Attorney-Advisor, at The total gross sum of the bid submitted manufactured in the United States, (202) 366–2743 or [email protected]. is $3,930,000.00. regardless of the origin of its MNR states that it received ‘‘No Bid’’ subcomponents. 49 CFR 661.5(d). If, SUPPLEMENTARY INFORMATION: The response forms from seven vendors and however, FTA determines that ‘‘the purpose of this notice is to provide that MNR contacted the vendors to steel, iron, and goods produced in the notice and seek public comment on determine why they did not submit United States are not produced in a whether the FTA should grant a non- bids. The responses from the vendors sufficient and reasonably available availability waiver to the Metro North varied from ‘‘not interested in selling’’ Railroad (MNR) for the procurement of amount or are not of a satisfactory to ‘‘could not meet the requested bid a steel excavator with a continuous quality,’’ then FTA may issue a waiver due date.’’ MNR then performed an wield platform (CWP). On May 13, (non-availability waiver). 49 U.S.C. internet search to for American made 2015, Metro requested a Buy America 5323(j)(2)(B); 49 CFR 661.7(c). excavators with no results. MNR states waiver for the CWP because the only that it then reached out to Herzog MNR is requesting a Buy America responsive bidder to its solicitation was Railroad Services, Inc. and Dymax Rail non-availability waiver for the a Canadian manufacturer. While 77% of and was told by both that they do not requirement that final assembly occur in the content of the material would be have the CWP in their fleet. Finally, the United States in order to procure a domestic origin, the CWP would be MNR also contacted the National CWP for its shoreline stabilization/ assembled in Canada. 49 U.S.C. Institute of Statistics and Technology restoration and for removing debris from 5323(j)(2)(A); 49 CFR 661.7(c). (NIST) to determine if there had been the right-of-way after storms. By way of background, MNR operates any research performed to identify U.S. The purpose of this notice is to commuter rail service spanning 787 manufacturers for this equipment. To publish MNR’s request and seek public track miles. Metro North has a large date NIST has not conducted any comment from all interested parties in length of track along the shore line and supplier scouting or analyses for the accordance with 49 U.S.C. 5323(j)(3)(A). flooding along the line can occur item. Comments will help FTA understand regularly at many of these locations. The On August 15, 2015, FTA contacted completely the facts surrounding the risk of flooding can be reduced by MNR, noting that one of the No-Reponse keeping drainage infrastructure, clear of bidders, Mecfor Inc. (Mecfor), stated request, including the merits of the debris. Specialized equipment such as that it could not meet the request bid request. A full copy of the request has the CWP can quickly clear the right of due date but that it was not clear if been placed in docket number FTA– way after storms enabling the Mecfor could meet FTA’s Buy America 2016–0006. resumption of passenger train service. requirements since it is a Canadian Issued on March 16, 2016. After Hurricane Sandy, MNR leased a Firm. FTA asked MNR to contact Mecfor Dana Nifosi, CWP, but given limited availability as to confirm whether it had the CWP that Deputy Chief Counsel. well as the higher cost of leasing, MNR would meet FTA’s Buy America believes that purchase of the CWP is requirements. On August 25, 2015, MNR [FR Doc. 2016–06417 Filed 3–21–16; 8:45 am] necessary to ensure that it will be provided FTA Mecfor’s response. BILLING CODE 4910–57–P available to expedite service restoration Mecfor stated that more than 60% of the and was provided funding to purchase main componeents would be American such equipment from FTA through the made and that assembly of the CWP Section 5324 Emergency Relief Funds would be sub-contracted in the USA; allocated for Superstorm Sandy. however, Mecfor also declined for the

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DEPARTMENT OF TRANSPORTATION conditioner systems because there are Public Transportation Corporation no domestic manufacturers. 49 U.S.C. (IPTC) for the procurement of an Federal Transit Administration 5323(j)(2) and 49 CFR 661.7(c)(2). In Enviroair inverter-driven ductless mini- [Docket No. FTA–2016–0004] accordance with 49 U.S.C. 5323(j)(3)(A), split system air conditioner, to the York FTA is providing notice of the non- Adams Transportation Authority Notice of Proposed Buy America availability waiver requests and seeks (YATA) for the procurement of ductless Waiver for Ductless Mini-Split System public comment before deciding split system air conditioning units Air Conditioning Systems whether to grant the requests. If granted, which are needed at the new Operations the waivers would apply to one-time and Maintenance Facility, to Key West AGENCY: Federal Transit Administration, procurements only for the specific air Transit (KWT) for the procurement of a DOT. conditioning systems identified in the variable refrigerant flow (VRF) ductless ACTION: Notice of Proposed Buy America waiver request. mini-split mechanical system, and to waiver and request for comment. DATES: Comments must be received by the Springfield Redevelopment Authority (SRA) in Springfield, SUMMARY: The Federal Transit March 29, 2016. Late-filed comments Massachusetts for the procurement of Administration (FTA) received requests will be considered to the extent nine ductless mini-split air conditioners from the Indianapolis Public practicable. for the Union Station Regional Transportation Corporation (IPTC) for a ADDRESSES: Please submit your Intermodal Transportation Center. IPTC, Buy America non-availability waiver for comments by one of the following YATA, KWT, and SRA requested Buy the procurement of an Enviroair means, identifying your submissions by America non-availability waivers on inverter-driven ductless mini-split docket number FTA–2016–0004: May 5, 2015, July 26, 2015, December 2, system air conditioner, from the York 1. Web site: http:// 2015, and on March 9, 2016, Adams Transportation Authority www.regulations.gov. Follow the respectfully. All seek non-availability (YATA) for ductless split system air instructions for submitting comments waivers since none of these air conditioning units, from Key West on the U.S. Government electronic conditioning systems are produced in Transit (KWT) for a ductless mini-split docket site. the United States in sufficient and mechanical system for the City of Key 2. Fax: (202) 493–2251. reasonably available quantities or of West Public Transportation Facility, and 3. Mail: U.S. Department of satisfactory qualities. 49 U.S.C. from the Springfield Redevelopment Transportation, 1200 New Jersey Avenue SE., Docket Operations, M–30, 5323(j)(2)(A); 49 CFR 661.7(c). Authority (SRA) for ductless mini-split By way of background, IPTC is West Building, Ground Floor, Room air conditioners for the Union Station constructing its Downtown Transit W12–140, Washington, DC 20590–0001. Regional Intermodal Transportation Center and the contractor and Center in Springfield, Massachusetts. 4. Hand Delivery: U.S. Department of Transportation, 1200 New Jersey subcontractor hired for the project, IPTC is constructing its Downtown Weddle Bros. Building Group, LLC and Transit Center which is expected to be Avenue SE., Docket Operations, M–30, West Building, Ground Floor, Room Commercial Air Inc., previously Leadership in Energy and certified Buy America compliance. After W12–140, Washington, DC 20590–0001 Environmental Design (LEED) certified awarding the contract, Commercial Air between 9 a.m. and 5 p.m., Monday and will incorporate many sustainable became aware that the inverter-driven and energy efficient elements. The through Friday, except Federal holidays. Instructions: All submissions must ductless mini split system air Enviroair inverter-driven ductless mini- conditioner selected for the center, was split system air conditioner will make reference to the ‘‘Federal Transit Administration’’ and include docket non-compliant. Enviroair manufactures contribute to the building’s efficiency this air conditioning system in China, and is essential to achieving silver LEED number FTA–2016–0004. Due to the security procedures in effect since although certain equipment is stocked certification. YATA is currently and shipped from Utica, New York. October 2011, mail received through the constructing a new Operations and IPTC selected the Enviroair system, U.S. Postal Service may be subject to Maintenance Facility in York, which will be installed in the transit delays. Parties making submissions Pennsylvania and seeks to install center’s information technology room, responsive to this notice should several ductless air conditioning units at because it will keep the room constantly consider using an express mail firm to the facility. KWT is finishing cool and is the only way to cool the ensure the prompt filing of any construction on the bus transit room in the space provided. IPTC also submissions not filed electronically or operation and maintenance facility, hopes to receive Silver LEED by hand. Note that all submissions which is a U.S. Green Building Council certification for the transit center and received, including any personal LEED project. The building contains the Enviroair system is critical for many sustainable and efficient information therein, will be posted achieving this certification. IPTC elements, including a variant refrigerant without change or alteration to http:// identified six other ductless mini-split flow (VRF) heating, ventilation, and air www.regulations.gov. For more air condition system manufacturers, all conditioning (HVAC) system. KWT information, you may review DOT’s of which are manufactured abroad. seeks a waiver for this VRF ductless complete Privacy Act Statement in the YATA seeks to install multiple mini-split mechanical system because Federal Register published April 11, ductless split system air conditioning there is no domestic manufacturer. The 2000 (65 FR 19477), or you may visit units in its Operations and Maintenance SRA seeks a waiver for ductless mini- http://www.regulations.gov. Facility. These units will regulate split air conditioners as part of the FOR FURTHER INFORMATION CONTACT: environmental conditions in areas with renovation of the existing Terminal Laura Ames, FTA Attorney-Advisor, at specific temperature and/or humidity Building and the construction of a six (202) 366–2743 or [email protected]. requirements, such as in server rooms or story garage at the Union Station SUPPLEMENTARY INFORMATION: The elevator machine rooms, or in rooms Regional Intermodal Transportation purpose of this notice is to provide where conventional ductwork is not Center, because there is no domestic notice and seek public comment on possible. YATA’s successful bidder manufacturer. IPIC, YATA, KWT, and whether the FTA should grant non- certified Buy America compliance, SRA seek waivers for these air availability waivers to the Indianapolis although later learned that the units

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from ECR international-EMI-USA of was unable to find a domestically and YATA are pursuing their non- Utica, New York, are in fact manufactured mini split air availability waiver applications. FTA manufactured abroad. YATA identified conditioning system. In fact, KWT states did not reach out to KWT or SRA as one ductless split system unit that is that it contacted the remaining America they submitted their waiver requests manufactured in the U.S. by Modine, manufacturer of VRF HVAC systems after scouting was complete. however, this unit has a larger capacity and this manufacturer ceased With certain exceptions, FTA’s Buy than YATA’s project requirements for production two years ago. As a result, America requirements prevent FTA the Operations and Maintenance KWT procured the Carrier ductless from obligating an amount that may be Facility. Use of this unit would result in mini-split air conditioning equipment appropriated to carry out its program for constant compressor cycling and a for the facility as no domestic a project unless ‘‘the steel, iron, and limited lifespan. Moreover, YATA states manufacturer was available. manufactured goods used in the project that it cannot use a standard split SRA is constructing the Union Station are produced in the United States.’’ 49 system unit as an alternative to the Regional Intermodal Transportation U.S.C. 5323(j)(1). A manufactured ductless split system, because a Center, which includes renovation of product is considered produced in the standard system is incapable of treating the existing Terminal Building and the United States if: (1) All of the ventilation air and the required construction of a six story parking manufacturing processes for the product ductwork cannot be installed in garage. SRA is seeking to procure nine take place in the United States; and (2) locations that need environmental ductless mini-split air conditioners for all of the components of the product are control. Therefore, no domestic the construction project. Each building of U.S. origin. A component is manufacturer exists that would satisfy within the transportation center will considered of U.S. origin if it is YATA’s project needs. have its own HVAC system. SRA states manufactured in the United States, KWT is completing construction of its that it is necessary to install ductless regardless of the origin of its City of Key West Public Transportation mini-split air conditioners in each subcomponents. 49 CFR 661.5(d). If, Facility, which is a U.S. Green Building individual room in order to maintain however, FTA determines that ‘‘the Council LEED project and includes environs in each room. The air steel, iron, and goods produced in the many sustainable and efficient conditioners will be independent of United States are not produced in a elements, including that of the HVAC other heating and cooling systems and sufficient and reasonably available system. The project consists of an will be backed up by a generator. amount or are not of a satisfactory 18,300 square foot bus operations and Initially, SRA’s contractor thought that quality,’’ then FTA may issue a waiver maintenance building, a 2,100 square Trane’s product was Buy America- (non-availability waiver). 49 U.S.C. foot bus wash building, fueling station, compliant. Subsequently, however, 5323(j)(2)(B); 49 CFR 661.7(c). and parking facilities. The facility will Trane notified SRA that its product was The purpose of this Notice is to serve as the City’s transportation mislabeled and is actually foreign-made. publish IPTC’s, YATA’s, KWT’s, and operations center and will provide SRA also contacted 8 other companies SRA’s requests and to seek public maintenance, repair, cleaning, and bus who manufacture ductless mini-split air comment from all interested parties in parking facilities. The front portion of conditioners, although none of these accordance with 49 U.S.C. 5323(j)(3)(A). the main building includes offices for companies manufacturer the product Comments will help FTA understand administration and operations, while domestically. As a result, SRA is completely the facts surrounding the the rear portion provides space for bus seeking a non-availability waiver for the requests, including the merits of the maintenance, repairs and cleaning, parts ductless mini-split air conditioners as requests. A full copy of the request has storage and technician amenities. there is no domestic manufacturer. been placed in docket number FTA– According to KWT’s waiver request, FTA also conducted a scouting search the HVAC system is Buy America- for ductless air conditioning systems 2016–0004. compliant, with the exception of the through its Interagency Agreement with Issued on March 16, 2016. VRF mechanical system which will be the U.S. Department of Commerce’s Dana Nifosi, placed in three of the electrical, National Institute of Standards and Deputy Chief Counsel. mechanical, and server rooms in the Technology (NIST). The scouting search [FR Doc. 2016–06416 Filed 3–21–16; 8:45 am] new facility. KWT states that these identified two domestic manufacturers BILLING CODE 4910–57–P rooms must be able to function as potential matches for this separately from the main operations opportunity: Kentuckiana Curb building. KWT also is building this Company/KCC International in DEPARTMENT OF TRANSPORTATION facility to be LEED silver certified and Louisville, Kentucky and Climate the energy-efficient VRF system will Conditioning Company, Inc./Liebert Federal Transit Administration help KWT attain this certification. The also in Louisville, Kentucky. The [Docket No. FTA–2016–0002] VRF system sought will also better manufacturers identified either produce accommodate spatial constraints since similar products to the ductless air Notice of Proposed Buy America the new facility is surrounded by a conditioning systems, possess the Waiver for a Radio Communications landfill, school bus parking lot, and capabilities to produce ductless air System other construction projects. It is also conditioning systems, have produced an located in a highly-trafficked area, item similar to ductless air conditioning AGENCY: Federal Transit Administration, which limits the footprint of the project. systems in the past, or have expressed DOT. Unlike other HVAC systems, the a business interest in producing ACTION: Notice of proposed Buy America ductless mini-split system will be able ductless air conditioning systems. Upon waiver and request for comment. to fit into the available space. request from FTA, IPTC and YATA KWT is installing a Carrier ductless reached out to these potential domestic SUMMARY: The Federal Transit mini-split system in the facility. Before suppliers. However, neither company Administration (FTA) received a request selecting this system, KWT conducted manufactures the specific mini-split air for a waiver to permit the use of FTA extensive research and reached out to conditioning systems sought and as funding to purchase a radio domestic manufacturers, however, KWT described in this Notice. As such, IPTC communication system that is non-

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compliant with the Buy America Federal Register published April 11, (‘‘Tait’’) expressed interest in the project requirements. The request is from the 2000 (65 FR 19477), or you may visit but noted that it is headquartered in Kansas City Area Transportation http://www.regulations.gov. New Zealand and that a majority of the Authority (KCATA). KCATA is in the FOR FURTHER INFORMATION CONTACT: products would be assembled in New process of updating its current analog Laura Ames, FTA Attorney-Advisor, at Zealand, making them non-compliant system with a digital voice system, (202) 366–2743 or [email protected]. with Buy America. Under 49 CFR compatible with its operating system. SUPPLEMENTARY INFORMATION: The 661.7(c)(1), ‘‘It will be presumed that KCATA also plans to enter into a tri- purpose of this notice is to provide the conditions exist to grant this non- party agreement with the City of Kansas notice and seek comment on whether availability waiver if no responsive and City, Missouri, and the Kansas City the FTA should grant a non-availability responsible bid is received offering an Streetcar Authority (KCSA) to install the waiver for KCATA’s purchase of a new item produced in the United States.’’ radio system into the new streetcars. radio communication system. The new Since receiving the Tait proposal, The new radio system will increase radio system will replace KCATA’s KCATA has not been able to identify KCATA’s systems capacity and allow analog system, increase its systems any companies in the United States that KCSA to have a dedicated talk group on capacity and allow KCSA to have a can meet the Buy America requirements KCATA’s system. In accordance with 49 dedicated talk group on KCATA’s for its project. U.S.C. 5323(j)(3)(A), FTA is providing system. FTA also conducted a scouting search notice of the waiver request and seeks With certain exceptions, FTA’s Buy for comparable radio system through its public comment before deciding America requirements prevent FTA Interagency Agreement with the U.S. whether to grant the request. If granted, from obligating an amount that may be Department of Commerce’s National the waiver only would apply to a one- appropriated to carry out its program for Institute of Standards and Technology time FTA-funded procurement by a project unless ‘‘the steel, iron, and (NIST). The scouting search identified KCATA. manufactured goods used in the project no domestic manufacturers as matches DATES: Comments must be received by are produced in the United States.’’ 49 for this opportunity. The scouting March 29, 2016. Late-filed comments U.S.C. 5323(j)(1). A manufactured search identified one domestic will be considered to the extent product is considered produced in the manufacturer as a partial match, but that practicable. United States if: (1) All of the manufacturer does not currently manufacture a comparable radio system. ADDRESSES: Please submit your manufacturing processes for the product take place in the United States; and (2) As such, KCATA is pursuing its non- comments by one of the following availability waiver applications. means, identifying your submissions by all of the components of the product are of U.S. origin. A component is The purpose of this notice is to docket number FTA–2016–0002: publish KCATA’s request and seek 1. Web site: http:// considered of U.S. origin if it is public comment from all interested www.regulations.gov. Follow the manufactured in the United States, parties in accordance with 49 U.S.C. instructions for submitting comments regardless of the origin of its 5323(j)(3)(A). Comments will help FTA on the U.S. Government electronic subcomponents. 49 CFR 661.5(d). If, understand completely the facts docket site. however, FTA determines that ‘‘the 2. Fax: (202) 493–2251. steel, iron, and goods produced in the surrounding the request, including the 3. Mail: U.S. Department of United States are not produced in a effects of a potential waiver and the Transportation, 1200 New Jersey sufficient and reasonably available merits of the request. A full copy of the Avenue SE., Docket Operations, M–30, amount or are not of a satisfactory request has been placed in docket West Building, Ground Floor, Room quality,’’ then FTA may issue a waiver number FTA–2016–0002. W12–140, Washington, DC 20590–0001. (non-availability waiver). 49 U.S.C. Dana Nifosi, 4. Hand Delivery: U.S. Department of 5323(j)(2)(B); 49 CFR 661.7(c). Deputy Chief Counsel. Transportation, 1200 New Jersey KCATA is a provider for public [FR Doc. 2016–06376 Filed 3–21–16; 8:45 am] Avenue SE., Docket Operations, M–30, transportation services for Kansas City, West Building, Ground Floor, Room Missouri. KCATA provides service to BILLING CODE 4910–57–P W12–140, Washington, DC 20590–0001 the entire Kansas City metropolitan between 9 a.m. and 5 p.m., Monday area, operating in seven counties. DEPARTMENT OF TRANSPORTATION through Friday, except Federal holidays. KCATA’s current radio system was Instructions: All submissions must purchased in 2002 and fully activated in Federal Transit Administration make reference to the ‘‘Federal Transit 2005. The radio system is analog and Administration’’ and include docket operates on two separate channels. It [Docket No. FTA–2016–0003] number FTA–2016–0002. Due to the has limited growth capabilities, issues Notice of Proposed Buy America security procedures in effect since with ‘‘talk over,’’ inaccessible voice Waiver for a Fall Arrest System October 2011, mail received through the connections, and after ten (10) years the U.S. Postal Service may be subject to maintenance costs are rising. KCATA is AGENCY: Federal Transit Administration, delays. Parties making submissions in the process of upgrading its radio DOT. responsive to this notice should system. ACTION: Notice of Proposed Buy America consider using an express mail firm to As part of its plan to upgrade the waiver and request for comment. ensure the prompt filing of any radio system, KCATA issued a Request submissions not filed electronically or for Proposals (RFP) seeking a ‘‘turnkey SUMMARY: The Federal Transit by hand. Note that all submissions project that includes a DMR Tier III Administration (FTA) received a request received, including any personal Trunked UHF Voice radio system, full from the Indianapolis Public information therein, will be posted integration of the radio system with the Transportation Corporation (IPTC) for a without change or alteration to http:// Trapeze TransitMaster CAD/AVL Buy America non-availability waiver for www.regulations.gov. For more system, and extended maintenance and the procurement of a Horizontal Lifeline information, you may review DOT’s support.’’ KCATA only received on Fall Protection Maintenance Tie Back complete Privacy Act Statement in the response to the RFP. Tait North America System (System). IPTC is constructing a

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new Downtown Transit Center, and complete Privacy Act Statement in the With certain exceptions, FTA’s Buy according to the Occupational Safety Federal Register published April 11, America requirements prevent FTA and Health Administration regulations, 2000 (65 FR 19477), or you may visit from obligating an amount that may be must provide fall protection for http://www.regulations.gov. appropriated to carry out its program for employees performing maintenance on FOR FURTHER INFORMATION CONTACT: a project unless ‘‘the steel, iron, and the building. IPTC seeks a waiver for the Laura Ames, FTA Attorney-Advisor, at manufactured goods used in the project system because there are no domestic (202) 366–2743 or [email protected]. are produced in the United States.’’ 49 manufacturers of the system that meet SUPPLEMENTARY INFORMATION: The U.S.C. 5323(j)(1). A manufactured the Buy America requirements. 49 purpose of this notice is to provide product is considered produced in the U.S.C. 5323(j)(2) and 49 CFR 661.7(c)(2). notice and seek public comment on United States if: (1) All of the IPTC issued a request for proposals whether the FTA should grant a Buy manufacturing processes for the product (RFPs) for procurement of the system, America non-availability waiver for the take place in the United States; and (2) and two firms were identified and Indianapolis Public Transportation all of the components of the product are showed an interest in providing the Corporation (IPTC) for the procurement of U.S. origin. A component is system. Neither firm, however, was Buy of a Horizontal Lifeline Fall Protection considered of U.S. origin if it is manufactured in the United States, America-complaint. In accordance with Maintenance Tie Back System (the regardless of the origin of its 49 U.S.C. 5323(j)(3)(A), FTA is ‘‘System’’). On June 2, 2015, IPTC providing notice of the non-availability subcomponents. requested a Buy America waiver for the 49 CFR 661.5(d). If, however, FTA waiver request and seeks public System because it is not produced in the comment before deciding whether to determines that ‘‘the steel, iron, and United States in sufficiently and goods produced in the United States are grant the request. If granted, the waiver reasonably available quantities or of a would apply to a one-time procurement not produced in a sufficient and satisfactory quality. 49 U.S.C. reasonably available amount or are not only for the specific fall arrest system 5323(j)(2)(A); 49 CFR 661.7(c). identified in the waiver request. of a satisfactory quality,’’ then FTA may IPTC is constructing a new Downtown issue a waiver (non-availability waiver). DATES: Comments must be received by Transit Center (DTC) in Indianapolis, 49 U.S.C. 5323(j)(2)(B); 49 CFR 661.7(c). March 29, 2016. Late-filed comments Indiana that will serve as the hub for Under 49 CFR 661.7(c)(1), ‘‘It will be will be considered to the extent public transit. It will include a large presumed that the conditions exist to practicable. indoor public waiting area and bus bays grant this non-availability waiver if no ADDRESSES: Please submit your while serving pedestrians, cyclists, and responsive and responsible bid is comments by one of the following bus riders. Per Occupational Safety and received offering an item produced in means, identifying your submissions by Health Administration (OSHA) the United States.’’ In addition, ‘‘If the docket number FTA–2016–0003: regulations, IPTC has a duty to provide Secretary denies an application for a 1. Web site: http:// fall protection for employees performing waiver . . . the Secretary shall provide www.regulations.gov. Follow the maintenance on the new building. IPTC to the applicant a written certification instructions for submitting comments entered into a contract with Weddle that—the steel, iron, or manufactured on the U.S. Government electronic Bros. Building Group (WBBG) in early goods, as applicable, (referred to in this docket site. September 2014 for the construction of subparagraph as the ‘item’) is produced 2. Fax: (202) 493–2251. the DTC. WBBG certified in good faith in the United States in a sufficient and 3. Mail: U.S. Department of that it would comply with Buy America. reasonably available amount; (i) the Transportation, 1200 New Jersey As part of the project, IPTC issued an item produced in the United States is of Avenue SE., Docket Operations, M–30, RFP for the complete design, supply and a satisfactory quality; and (ii) includes West Building, Ground Floor, Room installation of a fall protection a list of known manufacturers in the W12–140, Washington, DC 20590–0001. maintenance tie-back system to United States from which the item can 4. Hand Delivery: U.S. Department of safeguard personnel to include all cable, be obtained.’’ 49 U.S.C. 5323(j)(6). Transportation, 1200 New Jersey intermediate brackets, end terminations, FTA also conducted a scouting search Avenue SE., Docket Operations, M–30, and modifications of structural steel as for the fall arrest system through its West Building, Ground Floor, Room required for supplementary support of Interagency Agreement with the U.S. W12–140, Washington, DC 20590–0001 stanchions, user equipment, and Department of Commerce’s National between 9 a.m. and 5 p.m., Monday attachment to roof structure for a Institute of Standards and Technology through Friday, except Federal holidays. complete and working fall protection (NIST). The scouting search identified Instructions: All submissions must maintenance tie-back system. It also one domestic manufacturer as a make reference to the ‘‘Federal Transit included experience criteria for the potential match for this opportunity: Administration’’ and include docket professional engineer designing the Starr Products in Butler, Pennsylvania. number FTA–2016–00XX. Due to the system and a firm that has The manufacturer identified has either security procedures in effect since manufactured at least five (5) similar produced similar products to the fall October 2011, mail received through the systems with specific liability insurance arrest system, possesses the capabilities U.S. Postal Service may be subject to policies. to produce a fall arrest system, has delays. Parties making submissions The two firms that responded to the produced an item similar to a fall arrest responsive to this notice should RFP were American Anchor and Pro-Bel system in the past, or have expressed a consider using an express mail firm to Group. Neither firm was able to certify business interest in producing a fall ensure the prompt filing of any a system as compliant with the Buy arrest system. Upon request from FTA, submissions not filed electronically or America regulations. The cables and IPTC reached out to this potential by hand. Note that all submissions tensioning system are not manufactured domestic supplier. However, the received, including any personal domestically for Pro-Bel. The hands-free company does not design or install fall information therein, will be posted set ups are not manufactured arrest systems as defined in IPTC’s without change or alteration to http:// domestically for American Anchor. project manual. As such, IPTC is www.regulations.gov. For more IPTC thus requests approval for WBBG pursuing its non-availability waiver information, you may review DOT’s to procure a System from Pro-Bel. application.

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The purpose of this notice is to in the 21st Century Act. Section 31203 1. The kickoff meeting for the Tax publish IPTC’s request and seek public required NHTSA to provide an Design Challenge will take place at comment from all interested parties in interpretation of civil penalty factors in 1776, 1133 15th Street NW., accordance with 49 U.S.C. 5323(j)(3)(A). 49 U.S.C. 30165 for NHTSA1 to consider Washington, DC 20005. Comments will help FTA understand in determining the amount of penalty or 2. Challenge submissions must be completely the facts surrounding the compromise for violations of the submitted electronically at request, including the merits of the Vehicle Safety Act. Pub. L. 112–141, www.taxdesignchallenge.com. § 31203, 126 Stat. 758 (2012). The request. A full copy of the request has FOR FURTHER INFORMATION CONTACT: increases in maximum civil penalties in been placed in docket number FTA– Christopher Daggett, 503–330–6311 or Section 24110 of the FAST Act became 2016–0003. Michael Lin, 202–317–6381. Issued on March 16, 2016. effective the date of the Secretary’s certification. SUPPLEMENTARY INFORMATION: Dana Nifosi, NHTSA issued the final rule required Subject of Challenge Competition Deputy Chief Counsel. by Section 31203 of MAP–21 on [FR Doc. 2016–06419 Filed 3–21–16; 8:45 am] February 24, 2016. On March 17, 2016, Tax information is available to BILLING CODE P the Secretary certified to Congress by taxpayers across multiple IRS channels letter to the Chairman and Ranking and contains a wealth of information. Member of the Senate Committee on Many taxpayers, however, might not DEPARTMENT OF TRANSPORTATION Commerce, Science, and Transportation, know where to find this information or and to the Chairman and Ranking how to use it, as much of this Office of the Secretary of Member of the House Committee on information reads like a receipt and can Transportation Energy and Commerce that NHTSA had be incomprehensible to those who are not financial professionals. Notice of Increase in Civil Penalty for issued the Final Rule. Therefore, NHTSA shall enforce the increased The Challenge asks: How might we Violations of National Traffic and Motor design, organize, and present tax Vehicle Safety Act maximum civil penalties for violation of the Vehicle Safety Act in 49 U.S.C. information in a way that makes it AGENCY: Office of the Secretary of 30165 effective March 17, 2016. easier for taxpayers to manage their taxpayer responsibilities, and to use Transportation, Department of Authority: Pub. L. 114–94. Transportation. their own taxpayer data to make Issued on: March 17, 2016. informed and effective decisions about ACTION: Public notice. Anthony Foxx, their personal finances? SUMMARY: This notice is to inform the Secretary of Transportation. This is an incredible opportunity for public that NHTSA has satisfied the [FR Doc. 2016–06433 Filed 3–21–16; 8:45 am] civic-minded technologists, designers, requirements in the Fixing America’s BILLING CODE 4910–59–P and innovative thinkers to improve and Surface Transportation Act (FAST Act) shape the user experience of one of the necessary for increases in the maximum most visited government Web sites in amount of civil penalties that NHTSA DEPARTMENT OF THE TREASURY the U.S. may collect for violations of the Challenge entrants will submit a design National Traffic and Motor Vehicle Internal Revenue Service that Safety Act (Vehicle Safety Act) to become effective. Tax Design Challenge; Requirements * Improves the visual layout and and Procedures style of the information for the taxpayer DATES: Effective date: The amendments * Makes it easier for a taxpayer to to 49 U.S.C 30165(a) authorized by AGENCY: Internal Revenue Service, manage his/her taxpayer responsibilities Section 24110(a) of the FAST Act are Treasury. * Empowers a taxpayer to make effective March 17, 2016. ACTION: Notice. informed and effective decisions about FOR FURTHER INFORMATION CONTACT: his/her personal finances. Thomas Healy, Office of the Chief SUMMARY: This Notice announces the requirements and procedures for the Entrants should consider end users in Counsel, NHTSA, 1200 New Jersey Ave. developing their design. Our tax system SE., West Building, W41–211, Tax Design Challenge (‘‘the Challenge). The Challenge is a crowdsourcing includes people from many different Washington, DC 20590. Telephone: socioeconomic backgrounds, with (202) 366–2992 Fax: (202) 366–3820. competition, with cash prizes, that the IRS is hosting to begin reimagining the different needs and responsibilities. SUPPLEMENTARY INFORMATION: On taxpayer experience of the future. The The Challenge is an opportunity for December 4, 2015, the FAST Act, Public goal of this design challenge is to talented individuals to touch the lives of Law 114–94, was signed into law. develop new concepts for designing, Americans across the country through Section 24110 of the FAST Act organizing and presenting tax design. The most innovative designs increases the maximum civil penalty information in a way that makes it will be showcased in an online gallery. that NHTSA may collect for each easier for taxpayers to understand their Winning submissions will receive violation of the Vehicle Safety Act to taxpayer responsibilities and effectively monetary prizes. $21,000 per violation (currently $7,000) use their own taxpayer data. The IRS enthusiastically supports and the maximum amount of civil crowdsourcing competitions, as they DATES: Effective on April 17, 2016. penalties that NHTSA can collect for a Challenge submission period ends May have proven to be cost-efficient vehicle related series of violations to $105 10, 2016, 11:59 a.m. ET. for catalyzing innovation in million (currently $35 million). In order government. for these increases to become effective, ADDRESSES: the Secretary of Transportation must Submission Requirements 1 NHTSA has been delegated the Secretary of certify to Congress that NHTSA has Transportation’s authority to determine the amount In order for an entry to be eligible to issued the final rule required by Section of civil penalty or compromise for violations of the win the Challenge, it must meet the 31203 of the Moving Ahead for Progress Vehicle Safety Act. 49 CFR 1.95. following requirements:

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Deliverable: Must be an image or the Federal Government, its related Challenge, whether the injury, death, browser viewable file. The acceptable entities, and the Cosponsor, except in damage or loss arises through image formats: .PNG, .JPG, .GIF, .TIFF, the case of willful misconduct, for any negligence or otherwise. and .PDF. The acceptable browser injury, death, damage, or loss of (5) Challenge Judgments Final. viewable format is .HTML. property, revenue, or profits, whether Participants agree that the selection of Feasibility: The Challenge requires direct, indirect, or consequential, arising prize winners is a matter of discretion only that the design of the taxpayer from participation in the Challenge, for the judges, and all selections are experience be submitted. It is not the whether the injury, death, damage, or final and binding. responsibility of the entrant to build or loss arises through negligence or Registration Process for Participants code a working version of the design. otherwise. However, the design must be ultimately Entrants must also agree to indemnify To register for this challenge implementable using HTML, CSS, and the Federal Government against third- participants should either: JavaScript. party claims for damages arising from or Access the www.challenge.gov Web Data: The design must be built off the related to Challenge activities. site and search for the ‘‘Tax Design data fields found in the Tax Data Challenge’’. Terms and Conditions for Participating Document (TDD), which will be posted Access the Tax Design Challenge Web in the Challenge on www.taxdesignchallenge.com. site at: www.taxdesignchallenge.com. (1) Employment and Compensation. A registration link for the Challenge Eligibility Rules for Participating in the Participation in the Challenge does not can be found on the landing page under Challenge create an employment relationship the Challenge description. To be eligible to win a prize under the between participants and the IRS. Amount of the Prize Challenge, an individual or entity— Except for the prize winners, (1) Must register to participate in the participants will not receive any Each submission will be considered Challenge under the rules promulgated compensation or other payment for any for all three prize categories listed by the Internal Revenue Service. products or services that they provide to below. A review panel will select (2) Must comply with all the the IRS during the Challenge. winners based on defined criteria requirements under this section. (2) Contracting. Participation in the (below). An individual submission can (3) In the case of a private entity, shall Challenge does not establish a win multiple awards. be incorporated in and maintain a contractual relationship between the Overall Design: $10,000 (1st), and primary place of business in the United participants and the IRS. The Challenge $5,000 (2nd). States, and in the case of an individual, results are not subject to protest or Best Taxpayer Usefulness: $2,000 whether participating singly or in a appeal under federal contracting laws. (1st), and $1,000 (2nd). Best Financial Capability: $2,000 group, shall be a citizen or permanent (3) Intellectual Property. (i) Each participant retains title and (1st), and $1,000 (2nd). resident of the United States. Awards may be subject to Federal (4) Shall not be a Federal entity or full ownership in and to their income taxes and IRS will comply with Federal employee acting within the submissions. Participants expressly all tax withholding and reporting scope of their employment. reserve all intellectual property rights requirements, where applicable. (5) Shall not be an employee of the not expressly granted under this notice. Prizes will be funded by Cosponsor Internal Revenue Service or the (ii) By participating in the Challenge, (Mortgage Bankers Association) and Mortgage Bankers Association (‘‘the each participant grants the IRS a non- paid by IRS. Cosponsor’’). exclusive, royalty-free, worldwide, (6) Shall not be affiliated with any irrevocable license to use any of Basis Upon Which Winners Will Be judge on the review panel. In the case participant’s intellectual property Selected of a private entity, this means that no incorporated in the participant’s The review panel will make selections judge currently serves as a director, submission, in furtherance of the IRS’s based upon the following criteria: officer, or employee of the entity. In the mission. This license includes the right —Overall Appeal case of a private individual, the to incorporate the submission into IRS —Taxpayer Usefulness: Does it individual shall not have a close family products or processes, and to reproduce, address the taxpayer’s responsibilities? or professional relationship with any publicly perform, publicly display, and —Financial Capability: Does it make judge. use the submission, including, without it easier for the taxpayer to make (7) Federal grantees may not use limitation, for advertising and informed and effective decisions about Federal funds to develop Challenge promotional purposes related to the Tax his/her personal finances? applications unless consistent with the Design Challenge Series. —Visual Hierarchy: Can the most purpose of their grant award. (iii) Participants warrant that they important information be easily found? (8) Federal contractors may not use have permission to use any intellectual —Information Density: Is it easy to Federal funds from a contract to develop property of third parties that is included digest the information that is presented? Challenge applications or to fund efforts in their submissions, and that such —Accessibility: Can a varied in support of a Challenge submission. permission extends to the IRS to the population make use of this document? An individual or entity shall not be extent set forth in paragraph (3)(ii) of The review panel will operate in a deemed ineligible because the these Terms and Conditions. transparent manner. Following the individual or entity used Federal (4) Liability. Participants agree to Challenge, the IRS will publish facilities or consulted with Federal assume any and all risks and waive information about the panel’s decision. employees during a competition if the claims against the Federal Government, Authority: 15 U.S.C. 3719. facilities and employees are made its related entities, and the Cosponsor, available to all individuals and entities except in cases of willful misconduct, John Dalrymple, participating in the Challenge on an for any injury, death, damage or loss of Deputy Commissioner for Services and equitable basis. property, revenue, or profits, whether Enforcement. Entrants must agree to assume any direct, indirect or consequential, arising [FR Doc. 2016–06432 Filed 3–21–16; 8:45 am] and all risks and waive claims against from their participation in the BILLING CODE 4830–01–P

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DEPARTMENT OF THE TREASURY Executive Office Building, Room 10235, interviews and web-based products to Washington, DC 20503, or email at survey high school students and Submission for OMB Review; [email protected] and classroom teachers from approximately Comment Request (2) Treasury PRA Clearance Officer, two high schools to participate in the 1750 Pennsylvania Ave. NW., Suite March 17, 2016. evaluation of the Thrive ‘n’ Shine 8117, Washington, DC 20220, or email The Department of the Treasury will Financial Capability curriculum and at [email protected]. submit the following information technology application (app). The collection request to the Office of FOR FURTHER INFORMATION CONTACT: information collection is planned to be Management and Budget (OMB) for Copies of the submission may be implemented in the classroom setting in review and clearance in accordance obtained by emailing [email protected], spring 2016. The data collected will be with the Paperwork Reduction Act of calling (202) 622–1295, or viewing the used to evaluate the effectiveness of the 1995, Public Law 104–13, on or after the entire information collection request at new financial capability curriculum and date of publication of this notice. www.reginfo.gov. app. DATES: Comments should be received on Departmental Offices Affected Public: Individuals and or before April 21, 2016 to be assured OMB Control Number: 1505–NEW. households. of consideration. Type of Review: New information Estimated Total Annual Burden ADDRESSES: Send comments regarding collection. Hours: 806. the burden estimates, or any other Title: Information Collection for aspect of the information collection, Research to Evaluate the Effectiveness of Brenda Simms, including suggestions for reducing the the Thrive ‘n’ Shine Financial Treasury PRA Clearance Officer. burden, to (1) Office of Information and Capability Curriculum and Application. [FR Doc. 2016–06415 Filed 3–21–16; 8:45 am] Regulatory Affairs, Office of Abstract: The Department of the Management and Budget, Attention: Treasury, Office of Consumer Policy, BILLING CODE 4810–25–P Desk Officer for Treasury, New will use a combination of in-person

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Reader Aids Federal Register Vol. 81, No. 55 Tuesday, March 22, 2016

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING MARCH

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. 1774...... 11000 Presidential Documents 3 CFR 1775...... 11000 Executive orders and proclamations 741–6000 Proclamations: 1779...... 10456, 11000 The United States Government Manual 741–6000 9388 (Revoked by 1780...... 10456, 11000 9406) ...... 14683 Other Services 1781...... 11000 9399...... 11091 1782...... 11000 Electronic and on-line services (voice) 741–6020 9400...... 11093 1784...... 11000 Privacy Act Compilation 741–6064 9401...... 11095 1794...... 11000 Public Laws Update Service (numbers, dates, etc.) 741–6043 9402...... 11097 1924...... 11000 9403...... 11653 1940...... 11000 9404...... 12571 ELECTRONIC RESEARCH 1942...... 10456, 11000 9405...... 12789 1944...... 11000 World Wide Web 9406...... 14683 1948...... 11000 Executive Orders: 1951...... 11000 Full text of the daily Federal Register, CFR and other publications 13584 (Revoked by 1955...... 11000 is located at: www.fdsys.gov. 13721) ...... 14685 1962...... 11000 Federal Register information and research tools, including Public 13720...... 11089 1970...... 11000 Inspection List, indexes, and Code of Federal Regulations are 13721...... 14685 1980...... 11000 located at: www.ofr.gov. 13722...... 14943 3550...... 11000 Administrative Orders: 3555...... 11000 E-mail Memorandums: 3560...... 11000 3565...... 11000 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Memorandum of March 3570...... 10456, 11000 an open e-mail service that provides subscribers with a digital 1, 2016 ...... 11997 3575...... 10456, 11000 form of the Federal Register Table of Contents. The digital form Memorandum of March 4274...... 11000 of the Federal Register Table of Contents includes HTML and 11, 2016 ...... 14367 4279...... 10456, 11000 PDF links to the full text of each document. Notices: Notice of March 2, 4280...... 10456, 11000 To join or leave, go to http://listserv.access.gpo.gov and select 2016 ...... 11655 4284...... 11000 Online mailing list archives, FEDREGTOC-L, Join or leave the list Notice of March 2, 4287...... 11000 (or change settings); then follow the instructions. 2016 ...... 11657 4288...... 11000 PENS (Public Law Electronic Notification Service) is an e-mail Notice of March 3, 4290...... 11000 service that notifies subscribers of recently enacted laws. 2016 ...... 11999 Proposed Rules: To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Notice of March 9, 251...... 13290 and select Join or leave the list (or change settings); then follow 2016 ...... 12793 271...... 13290 the instructions. 272...... 13290 5 CFR 277...... 13290 FEDREGTOC-L and PENS are mailing lists only. We cannot Proposed Rules: 800...... 10530 respond to specific inquiries. 870...... 12032 915...... 14019 Reference questions. Send questions and comments about the 925...... 12605 6 CFR Federal Register system to: [email protected] 989...... 11678 5...... 14369, 14947 1214...... 10530 The Federal Register staff cannot interpret specific documents or 1250...... 14021 regulations. 7 CFR 1260...... 14022 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 25...... 11000 longer appears in the Federal Register. This information can be 65...... 10755 8 CFR found online at http://bookstore.gpo.gov/. 246...... 10433 214...... 13040 301...... 15153 234...... 14948 FEDERAL REGISTER PAGES AND DATE, MARCH 905...... 10451 274a...... 13040 906...... 13967 Proposed Rules: 10433–10754...... 1 14689–14946...... 18 1470...... 12573 212...... 12032 10755–11090...... 2 14947–15152...... 21 1703...... 11000 9 CFR 11091–11406...... 3 15153–15416...... 22 1709...... 11000 11407–11658...... 4 1710...... 11000 Proposed Rules: 11659–12000...... 7 1717...... 11000 1...... 12832 12001–12404...... 8 1720...... 11000 3...... 12832 1721...... 11000 50...... 12832 12405–12572...... 9 1724...... 11000 51...... 12832 12573–12794...... 10 1726...... 11000 71...... 12832 12795–13262...... 11 1737...... 11000 76...... 12832 13263–13712...... 14 1738...... 11000 77...... 12832 13713–13966...... 15 1739...... 11000 78...... 12832 13967–14368...... 16 1740...... 11000 86...... 12832 14369–14688...... 17 1753...... 11000 93...... 12832

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161...... 12832 43...... 13452 880...... 12354 34 CFR 71 ...... 10551, 11136, 11139, 884...... 12354 10 CFR Proposed Rules: 11692, 11694, 11695, 12845, 886...... 12354 300...... 10968 37...... 13263 12847 891...... 12354 Ch. VI...... 12622 72...... 13265, 15153 91...... 13452 903...... 12354 Proposed Rules: 121...... 13452 960...... 12354 36 CFR 50...... 10780, 11681 135...... 13452 966...... 12354 242...... 12590 52...... 11681 982...... 12354 1275...... 12007 54...... 11681 15 CFR 983...... 12354 Proposed Rules: 72...... 13295 990...... 12354 19...... 12810 1223...... 12432 100...... 11681 701...... 10472 Proposed Rules: 1224...... 12432 429 ...... 11686, 14528, 14632, 736...... 13972 266...... 12051 1227...... 12432 14642 740...... 13972 960...... 12613 1229...... 12432 430 ...... 11454, 13763, 14024, 744...... 12004, 14953 1232...... 12432 14528, 14632 25 CFR 746...... 13972 1233...... 12432 431...... 14642 2017...... 14716 20...... 10475 1239...... 12432 900...... 11686 Proposed Rules: 151...... 10477 12 CFR 30...... 12423 169...... 14976 38 CFR 922...... 13303 701...... 13530 26 CFR 17...... 10764, 13994 723...... 13530 16 CFR 38...... 10765 1 ...... 11104, 11431, 15156 70...... 10504 741...... 13530 1610...... 12587 301...... 10479 1026...... 11099 Proposed Rules: Proposed Rules: 1807...... 14307 Proposed Rules: 14...... 12625 23...... 11697 1 ...... 11160, 11486, 13305 Proposed Rules: 301...... 11486 39 CFR 4...... 13608 17 CFR 5...... 13608 Proposed Rules: 1...... 12820 27 CFR 7...... 13608 551...... 11164 3...... 12821 9...... 11110, 11103 9...... 13608 32...... 14966 40 CFR 10...... 13608 200...... 12821 28 CFR 11...... 13608 49...... 12825 240...... 12821 2...... 13974 12...... 13608 51...... 13275 300...... 14372 16...... 13608 29 CFR 52 ...... 11120, 11438, 11445, 18...... 13608 Proposed Rules: 11668, 11671, 11673, 12591, 1910...... 10490 31...... 13608 302...... 10798 12595, 13275, 14392, 14736 1985...... 14374 150...... 13608 75...... 10508 18 CFR 1988...... 13976 151...... 13608 82...... 14393 4022...... 13742 155...... 13608 11...... 10475, 12006 97...... 13275 4044...... 13742 162...... 13608 157...... 15156 180 ...... 10771, 10776, 11121, Proposed Rules: 12011, 12015 163...... 13608 19 CFR 193...... 13608 13...... 13306 Proposed Rules: 12...... 13721 194...... 13608 30 CFR 52 ...... 10559, 11497, 11711, 197...... 13608 113...... 15159 11716, 11717, 11726, 11727, 252...... 14328 122...... 14948 Proposed Rules: 12440, 12626, 12627, 12636, 583...... 15190 12637, 12849, 14025, 15200, 380...... 10798 21 CFR 31 CFR 15205 14 CFR 14...... 11663, 14975 68...... 13638 Ch. I ...... 13719 189...... 14718 515...... 13989 81...... 10563 11...... 13968 558...... 11664 605...... 11432 85...... 10822 25...... 10761, 13969 700...... 14718 1010...... 14389 86...... 10822 39 ...... 10457, 10460, 10465, 801...... 11428 Proposed Rules: 180...... 14030 10468, 11407, 11409, 12405, 830...... 11428 1010 ...... 11496, 12613, 14408 271...... 14808 12409, 12413, 12583, 12585, 1308...... 11429 300...... 14813 32 CFR 12795, 12796, 12799, 12802, Proposed Rules: 1036...... 10822 12804, 12806, 13271, 13713, 15...... 12430 104...... 10491 1037...... 10822 13714, 13717, 14307, 14689, 73...... 15173 199...... 11665 1065...... 10822 14693, 14698, 14700, 14702, 74...... 15173 706...... 11116 1066...... 10822 14704, 14707, 14711, 15154 573...... 14995 Proposed Rules: 1068...... 10822 71 ...... 11102, 11103, 11413, 820...... 11477 69...... 13765 11414, 12001, 12002, 12810 864...... 10553 89...... 11698 42 CFR 95...... 11659 878 ...... 11140, 11151, 15173 136...... 14977 252...... 11415 880...... 15173 33 CFR 435...... 11447, 12599 Proposed Rules: 888...... 12607 110...... 12822 495...... 11447 21...... 13452 895...... 15173 117 ...... 11118, 11434, 11668, 510...... 11449 23...... 13452, 14801 1308...... 11479, 15188 12007, 12824, 13274, 14732, Proposed Rules: 35...... 13452 14733, 14976 136...... 12851 22 CFR 39 ...... 10533, 10535, 10537, 165 ...... 10498, 10499, 10501, 405...... 10720, 12024 10540, 10544, 10545, 10549, Proposed Rules: 10762, 11435, 11437, 12588, 410...... 12024 11132, 11134, 11465, 11467, 41...... 12050 14734 411...... 12024 11469, 11471, 11473, 11475, 401...... 13744 414...... 12024 11687, 11690, 12039, 12041, 23 CFR 402...... 14390 424...... 10720 12044, 12047, 12833, 12834, 490...... 13882 Proposed Rules: 425...... 12024 12836, 12838, 12841, 12843, 924...... 13722 100...... 10557 455...... 10720 13298, 13301, 13303, 13764, 165 ...... 10820, 11161, 11706, 457...... 10720 14402, 14404, 14804, 14990, 24 CFR 14806, 14995, 14998, 15000 495...... 12024 15171 5...... 12354 167...... 13307 511...... 13230

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43 CFR 47 CFR 1832...... 13747 240...... 12642 2...... 11124 64...... 14984 1833...... 13747 242...... 12642 76...... 13997 1834...... 13747 350...... 12062 44 CFR 90...... 10519 1835...... 13747 365...... 12062 1836...... 13747 380...... 11944 64...... 14395, 14398 Proposed Rules: 15...... 11166, 15210 1839...... 13747 383...... 11944, 14052 1841...... 13747 45 CFR 63...... 11500 384...... 11944, 14052 1843...... 13747 385...... 12062 144...... 12204 64...... 12062 73...... 15216 1844...... 13747 386...... 12062 147...... 12204 1847...... 13747 387...... 12062 153...... 12204 74...... 11166 76...... 14033 1849...... 13747 391...... 12642 154...... 12204 1850...... 13747 393...... 15217 155...... 12204 48 CFR 1851...... 13747 395 ...... 12062, 12443, 15217 156...... 12204 Ch. I...... 11988, 11993 1852 ...... 10519, 12420, 13747, 523...... 10822 158...... 12204 1...... 11988 14739 534...... 10822 1201...... 12599 4...... 11988, 11992 2404...... 13747 535...... 10822 2505...... 12599 9...... 11988 2406...... 13747 571...... 12647 2507...... 12599 22...... 11988, 11992 2408...... 13747 595...... 12852 2508...... 12599 25...... 11992 2409...... 13747 Proposed Rules: 36...... 11992 2411...... 13747 50 CFR 170...... 11056 52 ...... 11988, 11992, 13998 2415...... 13747 1802...... 13747 2427...... 13747 17...... 13124, 14264 46 CFR 1804...... 13747 2428...... 13747 100...... 12590 105...... 13279 1805...... 13747 2432...... 13747 300...... 14000 401...... 11908 1806...... 13747 2437...... 13747 622 ...... 11451, 12601, 12826, 403...... 11908 1807...... 13747 2444...... 13747 12828 404...... 11908 1808...... 13747 2452...... 13747 635...... 12602 501...... 10508 1809...... 12420 Proposed Rules: 648 ...... 12030, 12420, 14986 502...... 10508 1811...... 13747 1815...... 13308 679 ...... 11452, 12829, 13288, Proposed Rules: 1812...... 10519 1852...... 13308 13289, 14017, 14740, 14773, 502...... 15002 1813...... 13747 14988, 14989 49 CFR 503...... 15002 1814...... 13747 Proposed Rules: 515...... 15002 1815...... 13747 390...... 13998 17...... 13174, 14058 520...... 15002 1819...... 10519 578...... 10520 91...... 13769 530...... 15002 1822...... 13747 674...... 14230 223...... 14820 535...... 15002 1824...... 13747 1111...... 13287 224...... 14820 540...... 15002 1825...... 13747 1540...... 11364 622...... 11166, 11502 550...... 15002 1828...... 13747 Proposed Rules: 648 ...... 11168, 14072, 14409, 555...... 15002 1830...... 13747 218...... 13918 14817, 15003 560...... 15002 1831...... 13747 222...... 11734 660...... 12676

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List March 11, 2016 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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